DHS 163.30(2)
(2)
Other agency action. Any other state agency in the course of the performance of its duties may determine that an individual, company or training provider has violated or is violating one or more requirements of this chapter. If that agency determines that there is a potential violation of this chapter, the agency may notify the department of that potential violation. The department may delegate all or part of its enforcement authority to any other state or federal agency through a memorandum of understanding.
DHS 163.30(3)(a)
(a) Whenever the department is advised or has reason to believe that any person is violating or has violated any provision of this chapter, the department may make an investigation to determine the facts. For purposes of this investigation, the department shall have authority to inspect the site where the violation is alleged to be occurring or to have occurred.
DHS 163.30(3)(b)
(b) An authorized representative of the department may enter a site where a regulated activity is being or has been conducted or a site that the authorized representative of the department has reason to believe may be involved with a regulated activity. An authorized representative of the department may also enter the site where a person regulated under this chapter conducts business. The representative may conduct tests, take samples, review work practices, review and copy records and perform other activities necessary to determine compliance with this chapter. No person who is required to establish or maintain records under this chapter may refuse to provide or copy records, or refuse to permit entry or access to an authorized representative of the department if that representative presents a valid identification issued to the representative by the department and if that representative is complying with par.
(a). No person may obstruct, hamper or interfere with the actions of that representative under this paragraph.
DHS 163.30(3)(c)
(c) An authorized representative of the department may conduct an audit under s.
DHS 163.22 (6) to ascertain whether an accredited training course continues to meet requirements for accreditation.
DHS 163.30(3)(d)
(d) An authorized representative of the department entering the site of an investigation under this subsection shall present identification and any authorization issued by the department and shall comply with applicable health and safety procedures established by law.
DHS 163.30(4)
(4)
Referral to district attorney. The department may report any violation of this chapter or orders issued under this chapter to the district attorney of the county in which the dwelling is located. Pursuant to s.
254.30, Stats., the district attorney shall enforce this chapter or orders issued under this chapter upon receiving a report from the department or from the department's designee under s.
254.152, Stats.
DHS 163.30 History
History:
CR 00-172: cr.
Register February 2002 No. 554, eff. 3-1-02;
EmR0928: emerg. am. (1) and (2), eff. 10-16-09;
CR 09-085: am. (1) and (2)
Register March 2010 No. 651, eff. 4-1-10.
DHS 163.31
DHS 163.31 Reasons for enforcement actions. DHS 163.31(1)(1)
Execution of a consent agreement. In addition to an administrative or judicial finding of violation, execution of a consent agreement in settlement of an enforcement action may constitute, for purposes of this section, conclusive evidence of a failure to comply with relevant statutes or rules.
DHS 163.31(2)
(2)
Reasons for accreditation enforcement actions. The department may take an action under s.
DHS 163.32 against a person offering or conducting a training course that is required to be accredited under this chapter if the person has violated any provision of this chapter. Reasons for accreditation enforcement actions may include any of the following violations:
DHS 163.31(2)(c)
(c) The person misrepresented a training course or the contents of a training course to the department, EPA, another EPA-authorized state, an EPA-authorized tribe or the student population.
DHS 163.31(2)(d)
(d) The person made false or misleading statements to the department in its application for accreditation or reaccreditation.
DHS 163.31(2)(e)
(e) The person falsified accreditation records, instructor qualifications or other accreditation-related information or documentation.
DHS 163.31(2)(f)
(f) The person offered or conducted a course that failed to meet a requirement of this chapter.
DHS 163.31(2)(g)
(g) The person failed to comply with the accreditation standards and requirements under this chapter.
DHS 163.31(2)(h)
(h) The person falsified records or failed or refused to establish, maintain, provide, copy or permit access by an authorized representative of the department to records or reports.
DHS 163.31(2)(i)
(i) The person failed to submit required information or notices to the department in a timely manner.
DHS 163.31(2)(j)
(j) The person failed to comply with any other federal, state or local lead-based paint statute, ordinance, rule or regulation.
DHS 163.31(2)(k)
(k) The person failed or refused to permit a department representative entry to a training course without charge or hindrance to attend, evaluate or monitor the course.
DHS 163.31(2)(L)
(L) The person used an instructor to teach a course accredited under this chapter who was not qualified to teach at the time the course was offered.
DHS 163.31(2)(m)
(m) The person failed to respond to a letter of inquiry, notice of noncompliance, or written orders within the required time.
DHS 163.31(2)(n)
(n) The person continues to violate or resumes violation of a provision for which notice of noncompliance was previously issued.
DHS 163.31(3)
(3)
Reasons for approval enforcement actions. The department may take an action under s.
DHS 163.32 against a person required to be approved as a training manager, principal instructor or guest instructor under this chapter if the person has violated any provision of this chapter. The reason for an approval enforcement action may include any of the following violations:
DHS 163.31(3)(a)
(a) The training manager, principal instructor or guest instructor has violated a provision of this chapter or any related state, federal or local statute, ordinance, rule or regulation.
DHS 163.31(3)(b)
(b) The training manager, principal instructor or guest instructor has misrepresented his or her credentials or documentation of qualifications submitted to the department as the basis for approval.
DHS 163.31(3)(c)
(c) The principal instructor failed to maintain the instructor approval or certification upon which the approval was granted, before teaching a course accredited under subch.
III.
DHS 163.31(4)
(4)
Reasons for certification enforcement actions. The department may take an action under s.
DHS 163.32 against a person required to be certified under this chapter, whether an individual or a company, if the person has violated any provision of this chapter. Reasons for certification enforcement actions may include any of the following violations:
DHS 163.31(4)(b)
(b) The person used a training diploma or electronic equivalent without having successfully completed the course for which the diploma was issued.
DHS 163.31(4)(c)
(c) The person obtained training documentation through fraudulent means.
DHS 163.31(4)(d)
(d) The person gained admission to and completed an accredited training program through misrepresentation of admission requirements.
DHS 163.31(4)(e)
(e) The person misrepresented facts or made false or misleading statements in applying for certification.
DHS 163.31(4)(f)
(f) The person obtained certification through misrepresentation of certification requirements or related documents dealing with education, training, professional registration or experience.
DHS 163.31(4)(g)
(g) The person permitted the use of one person's training diploma, certification card or certificate, or copies of those documents by another.
DHS 163.31(4)(h)
(h) The person withheld or confiscated an employee's valid training diploma or valid certification card.
DHS 163.31(4)(i)
(i) The person performed work requiring certification at a job site without having proof of certification on site.
DHS 163.31(4)(j)
(j) The person performed, advertised, claimed to provide or offered to perform or supervise work for which certification is required without being appropriately certified.
DHS 163.31(4)(k)
(k) The person performed work using individuals who were not certified when certification was required.
DHS 163.31(4)(L)
(L) The person falsified records or reports required under this chapter.
DHS 163.31(4)(Lm)
(Lm) The person failed or refused to establish, maintain, provide, or permit department access to, the records or reports required under this chapter.
DHS 163.31(4)(m)
(m) The person failed or refused to permit entry or inspection by an authorized representative of the department.
DHS 163.31(4)(n)
(n) The person failed or refused to comply with, or to ensure that employed or contracted persons comply with, the work practice standards and protocols under this chapter.
DHS 163.31(4)(o)
(o) The person committed an action or created a condition relating to a regulated activity that in the department's judgment constitutes unreasonable risk to the health, safety, or welfare of any person.
DHS 163.31(4)(p)
(p) The person displayed a pattern of conduct that in the department's judgment constitutes unreasonable risk to the health and safety of persons or the environment.
DHS 163.31(4)(q)
(q) The person failed the mandatory certification examination 3 times in any 6-month period.
DHS 163.31(4)(s)
(s) The person failed to comply with any federal, state or local government lead-based paint statute, ordinance, rule or regulation.
DHS 163.31(4)(t)
(t) The person performed regulated work under provisional certification without meeting all conditions for provisional certification.
DHS 163.31(4)(u)
(u) The person failed to respond to a letter of inquiry, notice of noncompliance, or written orders within the required time.
DHS 163.31(4)(v)
(v) The person continues to violate or resumes violation of a provision for which notice of noncompliance was previously issued.
DHS 163.31(5)
(5)
Reasons for denial. In addition to reasons for enforcement actions under subs.
(1) to
(4), the department may deny an application for certification, recertification, accreditation, renewal of accreditation or approval under this chapter to any of the following persons:
DHS 163.31(5)(a)
(a) A person who has had a certification, recertification, accreditation, renewal of accreditation or approval under this chapter revoked within the previous 5 years.
DHS 163.31(5)(b)
(b) A person whom the department determines is not fit or qualified. In determining whether a person is fit or qualified, the department shall consider the person's qualifications and any history of civil or criminal violation of statutes, regulations or ordinances of the United States, this state, any other state or any tribal or local government substantially related to regulated activities or other environmental remediation.
DHS 163.31(6)
(6)
Reasons for summary suspension. A finding of a requirement for summary suspension under s.
DHS 163.32 (5) may be based on, but is not limited to, any the following:
DHS 163.31(6)(a)
(a) The person has committed a substantial violation of this chapter or an order under this section, as determined by the department. A substantial violation may include one of the following:
DHS 163.31(6)(a)1.
1. Performance of work for which certification is required but for which appropriate certification was not received.
DHS 163.31(6)(a)2.
2. Performance of work using individuals who were not certified when certification was required.
DHS 163.31(6)(a)3.
3. Failure or refusal to comply with the work practice standards under s.
DHS 163.14, or to ensure that employed or contracted persons comply with those work practice standards.
DHS 163.31(6)(b)
(b) The person has committed an action or has created a condition relating to a regulated activity that in the department's judgment directly threatens the health, safety or welfare of any person.
DHS 163.31 History
History:
CR 00-172: cr.
Register February 2002 No. 554, eff. 3-1-02;
EmR0928: emerg. am. (1), (2) (d), (h), (4) (intro.), (L), (n), (5) (b), and (6) (a) 3., cr. (2) (L) and (3) (c), eff. 10-16-09;
CR 09-085: am. (1), (2) (d), (h), (4) (intro.), (L), (n), (5) (b), and (6) (a) 3., cr. (2) (L) and (3) (c)
Register March 2010 No. 651, eff. 4-1-10;
CR 19-110: am. (2) (b), (i), cr. (2) (m) to (o), am. (4) (b), (g) to (j), (L), cr. (4) (Lm), am. (4) (o), cr. (4) (t) to (w), am. (6) (a), (b)
Register June 2021 No. 786, eff. 7-1-21; correction in (2) (o), (4) (w) made under s.
35.17, Stats.,
Register June 2021 No. 786.
DHS 163.32
DHS 163.32 Enforcement actions. In addition to issuing letters of inquiry, warning letters and noncompliance statements, which are not appealable, the department may take one or more of the following appealable actions for any reason stated under s.
DHS 163.31 against a person performing or offering to perform activities regulated under this chapter:
DHS 163.32(1)
(1)
Order. If the department provides written notice of the grounds for an order and an explanation of the process for appealing an order imposed under this subsection, the department may order any of the following when a person violates a provision under this chapter or continues to violate or resumes violation of a provision for which notice was previously issued:
DHS 163.32(1)(a)
(a) That the person stop performing, supervising, advertising, claiming to provide or offering activities for which certification is required under this chapter.
DHS 163.32(1)(b)
(b) That the person advertising or conducting a training course that is represented as qualifying persons for certification under this chapter stop advertising or conducting the course.
DHS 163.32(1)(c)
(c) That the person not function as a principal instructor or training manager of a lead training course for which accreditation under this chapter is required.
DHS 163.32(1)(d)
(d) That the person stop violating any other provision of this chapter.
DHS 163.32(1)(e)
(e) That within a specified time the person submit a plan of correction for department approval, and implement the plan as approved by the department for a violation of any provision under this chapter.
DHS 163.32(1)(f)
(f) That within a specified time the person implement and comply with a plan of correction provided by the department or previously submitted by the person and approved by the department.
DHS 163.32(1)(g)
(g) That the person stop performing or supervising activities for which certification is required under this chapter until all violations are corrected. The order may require all activities that are regulated under this chapter to cease until the violation is corrected.
DHS 163.32(1)(h)
(h) That the person stop advertising or conducting a training course accredited or approved under this chapter until all violations are corrected.
DHS 163.32(2)
(2)
Denial. The department may deny an application for certification, recertification, accreditation, renewal of accreditation or approval if the department provides an applicant with a written notice of its decision to deny the application, including the reason for the denial and an explanation of the process under s.
DHS 163.33 for appealing the denial.
DHS 163.32(3)
(3)
Civil forfeiture. The department may impose a daily forfeiture of not less than $100 nor more than $5,000 for each violation against any person who violates a provision under this chapter if the department provides written notice of the grounds for a forfeiture and an explanation of the process under s.
DHS 163.33 for appealing a forfeiture. Each day of continued violation constitutes a separate offense. All of the following apply to a civil forfeiture:
DHS 163.32(3)(a)
(a) The department may directly assess a forfeiture by specifying the amount of the forfeiture in the notice provided under this subsection.
DHS 163.32(3)(b)
(b) A person against whom the department has assessed a forfeiture shall pay that forfeiture to the department within 10 working days after receipt of notice of the assessment or, if that person contests that assessment under s.
DHS 163.33, within 10 working days after receipt of the final decision after exhaustion of administrative review or, if that person petitions for judicial review under ch.
227, Stats., within 10 working days after receipt of the final decision after exhaustion of judicial review. The department shall remit all forfeitures paid under this subsection to the state treasurer for deposit in the school fund.
DHS 163.32 Note
Note: The attorney general may bring an action in the name of the state to collect any forfeiture imposed under this subsection that has not been paid as provided in par. (b).
DHS 163.32(4)
(4)
Suspension. The department may suspend a certification, an accreditation or an approval issued under this chapter if the department provides written notice of suspension, the grounds for suspension and an explanation of the process under s.
DHS 163.33 for appealing a suspension not less than 30 days before the date of the suspension, and the violation on which the suspension is based remains substantially uncorrected at the end of the 30-day notice period. Any suspension of a certification, accreditation or approval shall remain in effect until the department determines the interests of the residents of the state are served.
DHS 163.32(5)(a)(a) Under the authority of s.
227.51 (3), Stats., the department may summarily suspend a certification when the department finds that this action is required to protect the health, safety or welfare of any person. A finding of a requirement for summary suspension may be based on but is not limited to one or more reasons under s.
DHS 163.31 (6).
DHS 163.32(5)(b)
(b) An order by a representative of the department to summarily suspend certification of a person and therefore stop a regulated activity may be a verbal or written order. Within 10 working days after the order takes effect, the department shall either permit the continuation of the regulated activity or initiate proceedings to revoke certification. Unless waived by the certified person, an informal hearing on the sole issue of whether certification shall remain suspended during revocation proceedings shall be conducted by a department designee within 20 working days after the date of suspension if the department has initiated revocation proceedings.
DHS 163.32(6)
(6)
Revocation. The department may revoke a certification, an accreditation or an approval issued under this chapter if the department provides written notice of revocation, the grounds for revocation and an explanation of the process under s.
DHS 163.33 for appealing a revocation not less than 30 days before the date of the revocation, and the violation on which the revocation is based remains substantially uncorrected at the end of the 30-day notice period.
DHS 163.32 Note
Note: Pursuant to s.
254.30 (2) (b), Stats., any person who knowingly violates any provision of this chapter or an order issued under sub. (3) shall be subject to criminal penalty and shall be fined not less than $100 or more than $5,000 per day for each violation. The court may also place the person on probation under s.
973.09, Stats., for a period not to exceed 2 years.
DHS 163.32 History
History:
CR 00-172: cr.
Register February 2002 No. 554, eff. 3-1-02;
EmR0928: emerg. am. (intro.) and (3) (intro.), eff. 10-16-09;
CR 09-085: am. (intro.) and (3) (intro.)
Register March 2010 No. 651, eff. 4-1-10;
CR 19-110: am. (1) (a) to (c), (e), (f), (2), (3), (5) (b)
Register June 2021 No. 786, eff. 7-1-21.
