TITLE 9. Rehabilitative And Developmental Services
Division 1. Department of Mental Health
Chapter 1. Requirements for Operation of Private Institutions
HISTORY

1. Repealer of Subchapter 1 (Sections 1 through 153) and new Subchapter 1 (Sections 1 through 295) filed 5-29-62; designated effective 7-1-62 (Register 62, No. 11). For prior history see Register 54, No. 22.
2. Repealer of Subchapter 1 and new Subchapter 1 (Sections 1, 2, 2.5, 3-34, 40-47, 50-59, 59.1, 60-62, 70-72, 80, 90-92, 100, 101, 110-118, 120, 130-132, 140-152, 160-163, 170, 171, 180-187, 190, 200-213, 220-225, 230-238, 240-247, 250-253, 260, 270-275, 280-285, 290, 300, 301, 310-313, 320-324) filed 6-30-65 as an emergency; effective upon filing. Certificate of Compliance--Sec. 11422.1, Gov. Code included (Register 65, No. 11).
3. Repealer of Subchapter 1 (Articles 1-28, Sections 1-313, not consecutive) filed 1-13-83; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 83, No. 3). For prior history, see Registers 78, No. 44; 75, No. 31; 75, No. 24; and 69, No. 26.
Chapter 2. Conflict of Interest Code
§400. General Provisions.
Note     •     History

The Political Reform Act, Government Code Sections 81000, et seq., requires state and local government agencies to adopt and promulgate Conflict of Interest Codes. The Fair Political Practices Commission has adopted Section 18730 of Title 2, California Code of Regulations (CCR), containing the terms of a standard Conflict of Interest Code. Section 18730 may be incorporated by reference, and may be amended by the Fair Political Practices Commission to conform to amendments in the Political Reform Act after public notice and hearings. Therefore, the terms of Section 18730 of Title 2, CCR and any amendments to it duly adopted by the Fair Political Practices Commission, along with the attached Appendices (in which officials and employees are designated and disclosure categories are set forth), are hereby incorporated by reference. These terms, amendments and Appendices constitute the Conflict of Interest Code of the Department of Mental Health.
Designated employees shall file statements of economic interests with the Department of Mental Health. The Director's original statement shall be sent to the Fair Political Practices Commission and a copy retained by the filing officer.
NOTE

Authority cited: Sections 87300 and 87306, Government Code. Reference: Section 87300, et seq., Government Code.

Appendix A

	Assigned
	Disclosure
Designated Employees	Categories

DIRECTOR'S OFFICE

Director	1

Chief Deputy Director	1

Assistant Director, External Affairs	1

Special Assistant to the Director	1

Consumer Liaison	2

All Staff Counsels	1

 Career Executive Assignments (CEA)

Assistant Director, Clinical Services	1

Assistant Director, Legislation	1

Chief, Office of Multicultural Services	1

Chief, Office of Human Rights	3

Chief Counsel	1

 California Mental Health Planning Council

Executive Officer	1

SYSTEMS OF CARE

 CEA

Deputy Director, Systems of Care	1

Assistant Deputy Director, Systems of Care	1

Chief, Evaluation Statistics and Support	2, 3 & 4

Chief, Program Policy and County Operations	2, 3 & 4

Chief, Medi-Cal Mental Health Policy	2 & 3

 Program Support/County Operations -- North and South

Mental Health Program Supervisor	2

ADMINISTRATIVE SERVICES

 CEA

Deputy Director, Administrative Services	1

Chief, Human Resources	3

Chief, Financial Services	1 & 4

Chief, County Financial Program Support	3

Chief, Information Technology	3

 Human Resources

Staff Services Manager	3

Associate Business Management Analyst	3

Health and Safety Officer	2 

Business Services Officer	3 

 Financial Services

Accounting Administrators	2

Associate Budget Analyst	4

 Information Technology

Data Processing Managers	3

LONG TERM CARE SERVICES

 CEA

Deputy Director, Long Term Care	1

Assistant Deputy Director, Long Term Care	1

Chief, Hospital Operations	1 & 3

Chief, Hospital Security	1 & 3

Chief, Forensic Services	2

Chief, Sex Offender Commitment Program	3

Chief, Program Policy & Fiscal Support	2, 3 & 4

 Forensic Services

Mental Health Program Supervisors	2

 State Hospitals

 CEA

Executive Director	1

Medical Director	1 & 6

Hospital Administrator	1 & 3

Clinical Administrator	1 & 6

Accounting Administrators	2

Accounting Officers	2

Assistant Hospital Administrator	3 & 6

Chief, Physician and Surgeon	3 & 6

Chiefs of Plant Operations	3

Chief of Professional Education	3 & 6

Data Processing Managers	2

Director of Dietetics	3

Assistant Director of Dietetics	3

Hospital General Services Administrators	3 & 6

Patient Benefit and Insurance Officers	1

Pharmacy Services Manager	3 & 6

Senior Special Investigators	4, 5 & 6

Training Officers	3

PROGRAM COMPLIANCE

Deputy Director, Program Compliance	1

Mental Health Program Supervisor	2

Supervising Governmental Auditors	1

 All Department Consultants*	1 

*Consultants should be included in the list of designated employees and should disclose pursuant to the broadest disclosure category in the Code subject to the following limitation:
With respect to Consultants, the Director, however, may determine in writing that a particular consultant, although a “designated person”, is hired to perform a range of duties that are limited in scope and thus not required to comply with the disclosure requirements described in this Section. Such determination shall include a description of the consultant's duties and, based upon that description, a statement of the extent of disclosure requirements. Nothing herein excuses any such consultant from any other provision of this Economic Interest Code.

Appendix B
Disclosure Categories
Category 1
Designated employees assigned to this category must report:
Interests in real property located within one mile of any hospital subject to the Department jurisdiction, and all investments and business positions in business entities and sources of income, including loans, gifts, and travel payments.
Category 2
Designated employees assigned to this category must report:
All investments and business positions in business entities and sources of income, including loans, gifts, and travel payments.
Category 3
Designated employees assigned to this category must report:
Investments and business positions in business entities and sources of income, including loans, gifts, and travel payments, of the type to contract with the Department of Mental Health.
Category 4
Designated employees assigned to this category must report:
Investments and business positions in business entities and sources of income, including loans, gifts, and travel payments, of the type to be eligible to receive grants or other monies (excluding monies received pursuant to the contracts as specified above in Category 3 disclosure).
Category 5
Designated employees assigned to this category must report:
Investments and business positions in business entities and sources of  income, including loans, gifts, and travel payments, that are regulated by the division of the Department of Mental Health in which the designated employee holds his or her position.
Category 6
Designated employees assigned to this category must report: 
Investments and business positions in business entities and sources of income, including gifts, loans, and travel payments, of the type to be eligible to receive patient referrals for the delivery of health care services or supplies by the hospital to which the employee is assigned.
HISTORY

1. New Subchapter 2 (Sections 400-420, not consecutive) filed 3-27-79; effective thirtieth day thereafter. Approved by the Fair Political Practices Commission 1-17-79 (Register 79, No. 13). For history of former Subchapter 2, see Register 75, No. 31.
2. Repealer of Subchapter 2 (Sections 400-420 and Appendices A-C) and new Subchapter 2 (Section 400 and Appendix) filed 2-26-81; effective thirtieth day thereafter. Approved by Fair Political Practices Commission 12-1-80. (Register 81, No. 9).
3. Repealer of section and Appendix and new section and Appendices A and B filed 3-12-2001; operative 4-11-2001. Approved by Fair Political Practices Commission 1-26-2001  (Register 2001, No. 11). 
4. Amendment of Appendices A and B filed 1-19-2006; operative 2-18-2006. Approved by Fair Political Practices Commission 11-22-2005  (Register 2006, No. 3). 
Chapter 3. Community Mental Health Services Under the Short-Doyle Act
Article 1. Application
§500. Application of Subchapter.
Note     •     History

Subchapter 3 shall apply to Community Mental Health Services and Local Mental Health Services as defined in and for which state reimbursement is claimed under the provisions of Part 2 of Division 5 of the Welfare and Institutions Code.
NOTE

Authority cited: Section 5750, Welfare and Institutions Code. Reference: Section 5750, Welfare and Institutions Code.
HISTORY

1. Repealer of Subchapter 3, Community Mental Health Services under the Short-Doyle Act, and Subchapter 3, Community Mental Health Services, and new Subchapter 3, Community Mental Health Services under the Short-Doyle Act (Sections 500, 501, 510-517, 520-527, 540-552, 560-563, 580-583, 600, 601, 620, 620.1, 621-630, 640-642, 660-663, 680, 690, 691, 700, 710-716, 730, 740-742, 750, 760, 761, 770-772) filed 5-21-69; all designated effective 7-1-69, except sections 580 and 581, designated effective on thirtieth day after filing (Register 69, No. 21). For prior history, see Register 68, No. 27.
2. Editorial correction of NOTE filed 10-26-82 (Register 82, No. 44).
§501. Section Headings.
History

HISTORY

1. Repealer filed 1-13-83; effective thirtieth day thereafter (Register 83, No. 3).
Article 2. Definitions
§510. Act.
Note     •     History

``Act'' means Part 2 of Division 5 of the Welfare and Institutions Code, known as the Short-Doyle Act.
NOTE

Authority cited: Section 5750, Welfare and Institutions Code. Reference: Sections 5600 and 5750, Welfare and Institutions Code.
HISTORY

1. Editorial correction adding NOTE filed 10-26-82 (Register 82, No. 44).
§511. Local Director.
Note     •     History

``Local director'' means the administrator or director of the Local Mental Health Service appointed by the governing body.
NOTE

Authority cited: Sections 5607, 5751 and 5751.1, Welfare and Institutions Code. Reference: Sections 5607 and 5650, Welfare and Institutions Code.
HISTORY

1. Editorial correction adding NOTE filed 10-26-82 (Register 82, No. 44).
§512. Local Mental Health Service.
Note     •     History

``Local Mental Health Service'' means community mental health services established under the Short-Doyle Act.
NOTE

Authority cited: Section 5750, Welfare and Institutions Code. Reference: Section 5602, Welfare and Institutions Code.
HISTORY

1. Editorial correction adding NOTE filed 10-26-82 (Register 82, No. 44).
§513. Department.
Note     •     History

``Department'' means the State Department of Mental Health.
NOTE

Authority cited: Section 5750, Welfare and Institutions Code. Reference: Sections 4001, 4011 and 5750, Welfare and Institutions Code.
HISTORY

1. Amendment filed 6-29-73 as an emergency; designated effective 6-30-73 (Register 73, No. 26).
2. Certificate of Compliance filed 10-24-73 (Register 73, No. 43). 
3. Amendment filed 6-30-78 as an emergency; designated effective at 11:59 p.m. on 6-30-78 (Register 78, No. 26).
4. Certificate of Compliance transmitted to OAH 10-27-78; filed 10-31-78 (Register 78, No. 44).
5. Editorial correction of NOTE filed 10-26-82 (Register 82, No. 44).
§514. May, Shall and Should.

``May'' is permissive. ``Shall'' is mandatory. ``Should'' means desirable.
§515. General Hospital.
History

HISTORY

1. Repealer filed 1-13-83; effective thirtieth day thereafter (Register 83, No. 3).
§516. Psychiatric Hospital.
History

HISTORY

1. Repealer filed 1-13-83; effective thirtieth day thereafter (Register 83, No. 3).
§517. County Plan.
Note     •     History

``County Plan'' means the County Short-Doyle Plan which must be adopted by each county, or counties acting jointly, in accordance with Section 5650 of the act.
NOTE

Authority cited: Sections 5650 and 5750, Welfare and Institutions Code. Reference: Sections 5651, 5651.1, 5651.2, 5651.5, 5651.7, 5652 and 5653, Welfare and Institutions Code.
HISTORY

1. Editorial correction adding NOTE filed 10-26-82 (Register 82, No. 44).
2. Editorial correction of History 1 (Register 95, No. 10).
Article 3. General Provisions
§520. Establishment of Local Services.
History

HISTORY

1. Repealer filed 1-13-83; effective thirtieth day thereafter (Register 83, No. 3).
§521. Supervision by Local Director.
Note     •     History

The Local Director shall maintain general supervision over all Local Mental Health Services through direct operation of the services or by written arrangement with the person or agency providing the service. Such arrangement shall permit the Local Director to supervise and specify the kind, quality and amount of the services and criteria for determining the persons to be served.
NOTE

Authority cited: Section 5750, Welfare and Institutions Code. Reference: Sections 5607, 5608, 5609 and 5609.5, Welfare and Institutions Code.
HISTORY

1. Editorial correction adding NOTE filed 10-26-82 (Register 82, No. 44).
§522. Medical Responsibility.
Note     •     History

A physician meeting the qualifications of Section 620 (a) shall assume responsibility for all those acts of diagnosis, treatment, or prescribing or ordering of drugs which may only be performed by a licensed physician.
NOTE

Authority cited: Sections 5751 and 5751.1, Welfare and Institutions Code. Reference: Sections 5751 and 5751.1, Welfare and Institutions Code.
HISTORY

1. Amendment filed 1-12-73; effective thirtieth day thereafter (Register 73, No. 2).
2. Editorial correction adding NOTE filed 10-26-82 (Register 82, No. 44).
§523. Contracts for Service.
Note     •     History

(a) Where a person or agency is providing treatment services for the Local Mental Health Service, the service shall be provided through written agreement. The provider of services and the Local Mental Health Service shall comply with the provisions of this subchapter.
(b) All applications to provide services by written agreement shall be made in writing to the Local Mental Health Director within such time as is necessary to permit a thorough review by the Local Mental Health Director and such county administrative officers as the board of supervisors may require to allow an orderly review, prior to the submission of the annual county plan to the Department.
(c) When a treatment service being provided through written agreement is terminated during the fiscal year or a new service is initiated, applications will be accepted to provide the service during the fiscal year if the Local Mental Health Director desires to continue the service or to initiate a new service.
(d) In evaluating the applications of potential providers of service, the ocal Mental Health Director shall consider, but not be limited to, the following characteristics to determine the appropriateness and desirability of the written agreement:
(1) Compatibility with county plan.
(2) Assurance of continuity of care to patients being served.
(3) Local availability, accessibility and degree of acceptability to population to be served.
(4) Unique service to target group of special importance.
(5) Appropriate business and administrative practices which show evidence of ability to comply with the Act's requirements, regulations, accounting, reporting and auditing standards.
(6) Degree of citizens' participation in the planning and implementation of the proposed contract.
(7) Evidence of demonstrated competence and experience in the area of the program proposal.
(e) Written agreements shall be consummated in compliance with all local rules and regulations. All written agreements shall be approved by the Local Mental Health Director or his or her designee and, when fully negotiated, a copy of such written agreements shall be forwarded by the county to the Department to be filed with the annual county plan.
NOTE

Authority cited: Sections 5600.5 and 5750, Welfare and Institutions Code. Reference: Sections 5609.5, 5650 and 5651, Welfare and Institutions Code.
HISTORY

1. Amendment filed 12-8-72; effective thirtieth day thereafter (Register 72, No. 50).
2. Amendment filed 6-5-78; effective thirtieth day thereafter (Register 78, No. 23).
3. Change without regulatory effect of subsections (b) and (e) (Register 88, No. 3).
§524. Fee Schedules.
Note     •     History

Fees for service to an individual shall be charged in accordance with the ability of the patient or responsible relative to pay, but not in excess of actual costs. Fees shall be charged in accordance with a uniform fee schedule adopted by the Director of the state Mental Department of health pursuant to this Act.
NOTE

Authority cited: Section 5750, Welfare and Institutions Code. Reference: Sections 5717 and 5718, Welfare Institutions Code.
HISTORY

1. Change without regulatory effect (Register 88, No. 3).
§525. Auxiliary Personnel.
Note     •     History

Each Local Mental Health Service should have sufficient clerical personnel, and such accounting and statistical assistance as may be necessary to maintain adequate records.
NOTE

Authority cited: Section 5751, Welfare and Institutions Code. Reference: Section 5751, Welfare and Institutions Code.
HISTORY

1. Editorial correction adding NOTE filed 10-26-82 (Register 82, No. 44).
§526. Admission Policies.
Note     •     History

Each Local Mental Health Service shall have admission policies which shall be in writing and available to the public. Such policies shall include a provision that patients will be accepted for care without unlawful discrimination on the basis of ethnic group identification, color, religion, age, sex, physical or mental disability. This section shall apply to services provided by contract as well as those provided directly by the Local Mental Health Service.
NOTE

Authority cited: Section 11138, Government Code; and Section 5750, Welfare and Institutions Code. Reference: Section 11135, Government Code; and Selection 5325.1, Welfare and Institutions Code.
HISTORY

1. Change without regulatory effect (Register 88, No.3). 
§527. Discriminatory Practices.
Note     •     History

The Local Mental Health Service shall not employ unlawful discriminatory practices in the admission of patients, assignment of accommodations, employment of personnel, or in any other respect on the basis of color, religion,age, sex, or physical or mental disability. This section shall apply to services provided by contract as well as those provided directly by the Local Mental Health Service.
NOTE

Authority cited: Section 11138, Government Code; and Section 5750, Welfare and Institutions Code. Reference: Section 11135, Government Code; and Section 5325.1, Welfare and Institutions Code.
HISTORY

1. Change without regulatory effect (Register 88, No. 3).
§529. Mental Health Advisory Board Composition.
Note     •     History

(a) The composition of the Mental Health Advisory Board shall reflect the minority populations found in the county.
(b) Each county shall indicate in the county mental health plan the minority group affiliations of current board members.
(c) Each county shall describe in the plan efforts being made to place presently unrepresented and under-represented minority group members on the Board, including a timetable to achieve equitable representation.
(d) Each county may reimburse mental health advisory board members for reasonable expenses incurred incident to the performance of their official duties and responsibilities. Such expenses may include travel, lodging, child care, and meals for the members of the advisory board while on official business as may be approved by the director of the local mental health program.
NOTE

Authority cited: Sections 5604, 5604.5, 5606.1, 5715, and 5750, Welfare and Institutions Code. Reference: Sections 5604, 5604.5, 5606, 5606.1, 5606.2, and 5715, Welfare and Institutions Code.
HISTORY

1. New section filed 12-20-79; effective thirtieth day thereafter (Register 79, No. 51).
§530. Mental Health Advisory Board Committee Composition.
Note     •     History

(a) The composition of various standing committees and other advisory groups addressed in the county mental health plan whose function it is to assist and advise the County Mental Health Advisory Board shall reflect the minority populations found in the county.
(b) Each county mental health plan submitted to the State Department of Mental Health shall list the standing committees of and advisory groups to the County Mental Health Advisory Board that have participated in the development of the county mental health plan. The minority group affiliations of current committee and group members shall be listed.
(c) The Department shall waive all or part of the requirements of this section where it is agreed by the Department and the county that there is not a significant number of any minority group in the county. 
NOTE

Authority cited: Sections 5606.1 and 5750, Welfare and Institutions Code. Reference: Sections 5604, 5606, 5606.1 and 5606.2, Welfare and Institutions Code.
HISTORY

1. New section filed 12-20-79; effective thirtieth day thereafter (Register 79, No. 51).
Article 3.5. Standards for the Certification of Social Rehabilitation Programs
§531. Program Standards and Requirements.
Note     •     History

(a) To be certified as a Short-Term Crisis Residential Treatment Program, a program shall provide:
(1) Services as specified in either subsection (e) or (f) of section 541 as an alternate to hospitalization for individuals experiencing an acute psychiatric episode or crisis. The planned length of stay in the program shall be in accordance with the client's assessed needs, but not to exceed thirty (30) days, unless circumstances require a longer length of stay to ensure successful completion of the treatment plan and appropriate referral. The reasons for a length of stay beyond thirty (30) days shall be documented in the client's case record. Under no circumstances may the length of stay exceed three (3) months.
(2) Scheduling of staff which provides for at least two (2) staff members to be on duty 24 hours a day, seven (7) days per week. If program design results in some clients not being in the facility during specific hours of the day, scheduling adjustments may be made so that coverage is consistent with and related to the number and needs of clients in the facility. During the night time hours, when clients are sleeping, only one of the two on duty staff members need be awake, providing the program does not accept admissions at that time. There shall be a staffing ratio of at least one (1) full-time equivalent direct service staff for each 1.6 clients served.
(b) To be certified as a Transitional Residential Treatment Program, a program shall provide:
(1) Services as specified in either subsection (h) or (i) of section 541 which shall provide a therapeutic environment in which clients are supported in their efforts to acquire and apply interpersonal and independent living skills. The program shall also assist the client in developing a personal community support system to substitute for the program's supportive environment and to minimize the risk of hospitalization and enhance the capability for independent living upon discharge from the program. The planned length of stay in the program shall be in accordance with the client's assessed need, but not to exceed one (1) year; however, a length of stay not exceeding a maximum total of 18 months is permitted to ensure successful completion of the treatment plan and appropriate referral. The reasons for a length of stay beyond one (1) year shall be documented in the client's case record.
(2) Greater number of staff shall be present during times when there are greater numbers of clients in programmed activities. Staff schedules shall be determined by the program based on the number of clients in the program during specific hours of the day, level of care provided by the program, and the range of services provided within the facility.
At least one staff member shall be present at any time there are clients at the facility. There shall be a staffing ratio of at least one (1) full-time equivalent direct service staff for each 2.5 clients served. All scheduled hours in the facility shall be considered part of this required full-time equivalent staffing ratio.
(c) To be certified as a Long-Term Residential Treatment Program, a program shall provide:
(1) Services as specified in subsection (j) of section 541 in order to provide a 24-hour therapeutic residential setting with a full range of social rehabilitation services, as defined in section 532 of these regulations, including day programming for individuals who require intensive support in order to avoid long-term hospitalization or institutionalization. The planned length of stay shall be in accordance with the client's assessed needs but under no circumstances may that length of stay be extended beyond eighteen (18) months.
(2) Scheduling of staff which provides for the maximum number of staff to be present during the times when clients are engaged in structured activities. At least one direct service staff shall be on the premises 24-hours a day, seven (7) days per week. Additional staff, including part-time or consulting services staff, shall be on duty during program hours to provide specialized services and structured evening services. When only one staff member is on the premises there shall be staff on call who can be contacted by telephone if an additional staff person is needed, and can be at the facility and on duty within 60 minutes after being contacted. There shall be a staffing ratio of at least one (1) full-time equivalent direct service staff member for each 2.8 clients served.
(d) “Direct service staff” shall mean employees whose duties include the treatment, training, care and/or supervision of the program's clients.
NOTE

Authority cited: Section 5458.1, Welfare and Institutions Code. Reference: Sections 5450, 5453, 5454 and 5458, Welfare and Institutions Code.
HISTORY

1. New section filed 1-3-91; operative 2-2-91 (Register 91, No. 7).
§532. Service Requirements.
Note     •     History

(a) Structured day and evening services shall be available seven (7) days a week. Services in all programs shall include, but not be limited to:
(1) Individual and group counseling; 
(2) Crisis intervention;
(3) Planned activities;
(4) Counseling, with available members of the client's family, when indicated in the client's treatment/rehabilitation plan;
(5) The development of community support systems for clients to maximize their utilization of non-mental health community resources;
(6) Pre-vocational or vocational counseling; 
(7) Client advocacy, including assisting clients to develop their own advocacy skills;
(8) An activity program that encourages socialization within the program and general community, and which links the client to resources which are available after leaving the program; and,
(9) Use of the residential environment to assist clients in the acquisition, testing, and/or refinement of community living and interpersonal skills.
(b) In addition to the services in subsection (a), Transitional Residential Treatment Programs shall provide services which emphasize the development of vocational skills, and linkages to services offering transitional employment or job placement.
(c) In addition to the services in subsection (a), Long-Term Residential Treatment Programs shall provide pre-vocational and vocational services. These services shall be designed to provide a continuum of vocational training and experience including volunteer activities, supported employment, transitional employment and job placement. When any of these vocational services are provided by outside agencies or programs, written agreements or documented treatment plans shall be developed consistent with the treatment goals and orientation of the program. Long-Term Residential Treatment Programs shall also include provisions for special education services and learning disability assessment and remediation.
NOTE

Authority cited: Section 5458.1, Welfare and Institutions Code. Reference: Sections 5450, 5453, 5454 and 5458, Welfare and Institutions Code.
HISTORY

1. New section filed 1-3-91; operative 2-2-91 (Register 91, No. 7).
§532.1. Medical Requirements.
Note     •     History

Medical and psychiatric policies and practices of all programs shall be in writing and shall include, but not be limited to:
(a) A plan for the monitoring of medications by a person licensed to prescribe or dispense prescription drugs which will include but not be limited to the name and qualifications of the person or persons who will conduct the monitoring, its frequency and procedures;
(b) Screening for medical complications which may contribute to disability conducted by a physician, nurse practitioner or physician's assistant and a plan for follow-up. The screening for medical complications shall occur within 30 calendar days prior to, or after admission. If a client refuses a screening for medical complications, the program shall document the refusal in the client case record.
(c) Client education, provided by program staff or consultants, about the role of medications and their potential side effects, with the goal of enabling the client to become responsible for his or her own medication;
(d) Entries in client case records indicating all prescribed and non-prescribed medications;
(e) Provisions for program staff to discuss medication issues with a person licensed to prescribe or dispense prescription drugs;
(f) Provisions for central storage of medication when necessary; and,
(g) Encouragement to clients, when part of the treatment/rehabilitation plan, to be personally responsible for holding, managing and safeguarding all of their medications.
NOTE

Authority cited: Section 5458.1, Welfare and Institutions Code. Reference: Sections 5450, 5453, 5454 and 5458, Welfare and Institutions Code.
HISTORY

1. New section filed 1-3-91; operative 2-2-91 (Register 91, No. 7).
§532.2. Treatment/Rehabilitation Plan and Documentation Requirements.
Note     •     History

(a) Each program shall have an admission agreement, signed on entry by the client or an authorized representative and program representative, describing the services to be provided and the expectations and rights of the client regarding house rules, client involvement in the program, and fees. The client shall receive a copy of the signed admission agreement.
(b) There shall be a written assessment of each client on admission which includes at least:
(1) Health and psychiatric histories; 
(2) Psychosocial skills;
(3) Social support skills;
(4) Current psychological, educational, vocational and other functional limitations;
(5) Medical needs, as reported; and,
(6) Meal planning, shopping and budgeting skills.
(c) The program and client shall together develop a written treatment/rehabilitation plan specifying goals and objectives and the staff and client's responsibilities for their achievement. Clients shall be involved in an on-going review of progress towards reaching established goals and be involved in the planning and evaluation of their treatment goals. The plan shall contain at least the following elements:
(1) Statement of specific treatment needs and goals.
(2) Description of specific services to address identified treatment needs.
(3) Documentation of reviews by staff and client of the treatment/rehabilitation plan adhering to the following schedule:
(A) Short-term Crisis Residential Treatment Program: at least weekly.
(B) Transitional Residential Treatment Program: at least once every 30 days.
(C) Long Term Residential Treatment Program: at least once every 60 days.
(4) Anticipated length of stay needed to accomplish identified goals, and methods to evaluate the achievement of these goals.
(d) If an individual treatment/rehabilitation plan requires services to be provided by another program or agency, there shall be documented evidence in the client's case record of communication between all persons responsible for carrying out specific aspects of the treatment/rehabilitation plan. 
(e) The agency or program shall arrange for clients to attend community programs when needs are identified in the treatment/rehabilitation plan which cannot be met by the facility, but can be met in the community.
(f) There shall be a written discharge summary prepared by staff and client, which includes an outline of services provided, goals accomplished, reason and plan for discharge, and referral follow-up plans.
(g) The admission assessment, treatment/rehabilitation plan, and discharge summary shall be prepared by staff who have received training in the development and preparation of these documents.
(1) Training required to be provided by the facility shall include:
(A) A minimum of one hour of instruction on the development and preparation of the admission assessment. 
(B) A minimum of one hour of instruction on the development and preparation of the treatment/rehabilitation plan.
(C) A minimum of one hour of instruction on the development and preparation of the discharge summary. 
(D) Subject matter for all training provided for in this subsection shall include the expected content of documentation, methods used to prepare the document, timeframes for completion of documentation, and consultative sources to be utilized in preparing the document.
(2) Training provided for in this subsection shall consist of one or more of the following presentation methods: 
(A) Formal classroom instruction; 
(B) Oral presentation;
(C) Videotape, film, or audiovisual presentation; 
(D) Audiotape presentation; or
(E) Performing the duties, on the job, under the direct supervision of the instructor.
NOTE

Authority cited: Section 5458.1, Welfare and Institutions Code. Reference: Sections 5450, 5453, 5454 and 5458, Welfare and Institutions Code.
HISTORY

1. New section filed 1-3-91; operative 2-2-91 (Register 91, No. 7).
§532.3. Admission/Discharge Criteria.
Note     •     History

(a) Admission and discharge criteria of all programs shall be written and consistent with program goals.
The program's exclusionary criteria shall also be written and clearly defined.
(b) The program shall have written policies and procedures for orienting new clients to the service. 
(c) The range of services provided shall be discussed prior to admission with the prospective client or an authorized representative so that the program's services are clearly understood.
NOTE

Authority cited: Section 5458.1, Welfare and Institutions Code. Reference: Sections 5450, 5453, 5454 and 5458, Welfare and Institutions Code.
HISTORY

1. New section filed 1-3-91; operative 2-2-91 (Register 91, No. 7).
§532.4. Client Involvement Requirements.
Note     •     History

(a) Clients shall be involved in the development and implementation of his/her treatment/rehabilitation plan. 
(b) Clients shall be involved, depending on capability, in the operation of the household. This shall include participation in the formulation and monitoring of house rules, as well as in the daily operation of the facility, including but not limited to cooking, cleaning, menu planning and activity planning.
(c) Clients shall be encouraged to participate in program evaluations and reviews.
NOTE

Authority cited: Section 5458.1, Welfare and Institutions Code. Reference: Sections 5450, 5453, 5454 and 5458, Welfare and Institutions Code.
HISTORY

1. New section filed 1-3-91; operative 2-2-91 (Register 91, No. 7).
§532.5. Physical Environmental Requirements.
Note     •     History

(a) Programs shall meet the facility requirements of section 5453(a) of the Welfare and Institutions Code. 
(b) Program location shall allow for access by clients to community resources and public transportation.
NOTE

Authority cited: Section 5458.1, Welfare and Institutions Code. Reference: Sections 5450, 5453, 5454 and 5458, Welfare and Institutions Code.
HISTORY

1. New section filed 1-3-91; operative 2-2-91 (Register 91, No. 7).
§532.6. Staff Characteristics, Qualifications and Duty Requirements.
Note     •     History

(a) Programs shall meet the staffing requirements of section 5453(b) of the Welfare and Institutions Code. 
(b) The program shall document the use of multi- disciplinary professional consultation and staff when necessary to meet the specific diagnostic and treatment needs of the clients.
(c) Paraprofessionals and persons who have been consumers of mental health services shall be utilized in the program when consistent with the program design and services provided.
(d) All social rehabilitation facilities shall have a program director.
(e) The program director shall be on the premises the number of hours necessary to manage and administer the program component of the facility in compliance with applicable laws and regulations.
(f) The program director of a certified Short-Term Crisis Residential Treatment Program shall have the following qualifications prior to employment.
(1) A Bachelor's Degree in Psychology, Social Work or any other major which includes at least 24 semester college units in one or more of the following subject areas:
(A) Psychology
(B) Social Work
(C) Sociology
(D) Behavioral Sciences
(E) Psychiatric Nursing; and
(2) Two (2) years of full-time work experience in a community program that serves clients who have a mental illness. Such experience must be in the direct provision of services to clients, of which one (1) year must be in the position of supervising direct care staff, or
(3) As an alternative to the Bachelor Degree and experience required in paragraph (1) and (2) of this subsection, a total of four (4) years of experience in a community program providing direct services to persons with mental disabilities, of which one (1) year must be in the position of supervising direct care staff, and graduation from high school or possession of a GED may be substituted.
(g) The program director of a certified Transitional Residential Treatment Program or a certified Long-Term Residential Treatment Program shall have the following qualifications prior to employment.
(1) A Bachelor's Degree in Psychology, Social Work or any other major which includes at least 24 semester college units in one or more of the following subject areas:
(A) Psychology
(B) Social Work
(C) Sociology
(D) Behavioral Sciences
(E) Psychiatric Nursing; and
(2) One (1) year of full-time work experience in a community program that serves clients who have a mental illness. Such experience must be in the direct provision of services to clients, of which four (4) months must be in a position of supervising direct care staff.
(3) As an alternative to the Bachelor's Degree and experience required in paragraphs (1) and (2) of this subsection, a total of three years of experience in providing direct services in the community to persons with mental illnesses, of which six (6) months must be in a position of supervising direct care staff, and graduation from high school or possession of a GED may be substituted.
(h) All direct care staff shall have graduated from high school or possess a GED and have a minimum of one (1) year of full-time experience, or its part-time equivalent, working in a program serving persons with mental disabilities. Such experience must be in the direct provision of services to clients. If the employee does not have the required experience, the program shall document a specific plan of supervision and in-service training for the employee which will guarantee the ongoing qualification of the employee to perform the job. The plan should include but not be limited to the frequency and number of hours of training, the subjects to be covered, and a description of the supervision to be provided.
(i) Program directors and all direct care staff of social rehabilitation programs as of the date that this section is adopted shall be considered as meeting all of the requirements of this section until two (2) years after the effective date of this section, at which time the requirements of this section shall be met in full.
(j) The program director must provide and document a specific plan of supervision and at least 20 hours of in-service training per year for the employee to ensure the ongoing qualifications of the individual to perform the job. 
NOTE

Authority cited: Section 5458.1, Welfare and Institutions Code. Reference: Sections 5450, 5453, 5454 and 5458, Welfare and Institutions Code.
HISTORY

1. New section filed 1-3-91; operative 2-2-91 (Register 91, No. 7).
§533. Administrative Policies and Procedures.
Note     •     History

(a) The organizational entity legally responsible for program administration, under applicable law and regulation, shall:
(1) Have written policies defining the purpose, goals, and services of the organization.
(2) Establish and maintain financial records in accordance with generally accepted accounting principles and an annual budget.
(b) Each program shall be directed by a designated individual who is responsible for its overall administration and management.
(c) Each residential program shall have an individual(s) designated as the administrator of the facility. The program shall identify the qualifications, experience, skills, and knowledge required of an individual who is designated the facility administrator. These requirements shall at least satisfy the minimum requirements established by the Community Care Licensing Division of the Department of Social Services for this position.
(d) The agency or program shall have a financial plan of operation that is consistent with the goals and purpose of the organization and in accordance with generally accepted accounting practices and legal requirements.
NOTE

Authority cited: Section 5458.1, Welfare and Institutions Code. Reference: Sections 5450, 5453, 5454 and 5458, Welfare and Institutions Code.
HISTORY

1. New section filed 1-3-91; operative 2-2-91 (Register 91, No. 7).
§534. Program Certification.
Note     •     History

(a) All Social Rehabilitation Programs, as defined in section 5458 of the Welfare and Institutions Code, must be certified by the Department of Mental Health, or its delegated agent, prior to being licensed by the Department of Social Services.
(1) The Department of Mental Health shall provide written notice by certified mail to an applicant, within 30 calendar days of the receipt of the application for certification, that the application is complete and accepted for filing, or that the application is deficient and shall specify the missing information required to complete the application. 
(2) The Department of Mental Health shall approve or deny any application for certification within 60 calendar days of receipt of a completed application. The 60 days shall not begin until all information required for certification is received. The Department of Mental Health shall provide written notice to the applicant by certified mail of its decision concerning the request for certification.
(b) All certified programs are also governed by the provisions in Title 22, division 6 General Licensing Requirement section 80000 - 80088.
(c) All Social Rehabilitation Programs, defined in section 5458 of the Welfare and Institutions Code, must be recertified on an annual basis by the Department of Mental Health, or its delegated agent, prior to being issued a renewal license by the Department of Social Services.
(d) The Department of Mental Health, or its delegated agent, shall have the responsibility of conducting initial and annual site visits for the purpose of certifying that programs are in compliance with the provisions of this article. 
(e) The Department of Mental Health, or its delegated agent, shall initiate an action to rescind the certification of a program whenever a determination is made that the program is not in compliance with the provisions of this article. 
(f) Actions initiated to withhold certification or to rescind certification shall be subject to notice and review in accordance with section 535.
(g) The Department shall provide the Department of Social Services any documents pertaining to certification, recertification or decertification.
NOTE

Authority cited: Section 5458.1, Welfare and Institutions Code. Reference: Sections 5450, 5453, 5454 and 5458, Welfare and Institutions Code.
HISTORY

1. New section filed 1-3-91; operative 2-2-91 (Register 91, No. 7).
§535. Review Procedures.
Note     •     History

(a) When the Department of Mental Health or its delegated agent withholds or rescinds the certification of a program, the program shall be given written notice of the action by certified mail. The notice shall be accompanied by a written statement setting forth the reasons and justifications for the action including any documents or information relied upon. 
(b) A program may request review of an action to withhold or rescind certification by sending a written request for review by certified mail to the Deputy Director, Division of Community Programs, Department of Mental Health, 1600 9th Street, Room 250, Sacramento, California 95814. A request for review must be postmarked no later than fifteen (15) days after receipt of the notification required by subsection (a). 
(c) A program requesting review in accordance with this section shall be responsible for submitting in writing all documents, information, and arguments which the program wishes to be considered during the review. The documents, information, and arguments which the program wishes to be considered may be submitted with the request for review or sent separately by certified mail, but shall be postmarked no later than thirty (30) days after receipt of the notice required in subsection (a). 
(d) The Deputy Director, Division of Community Programs, Department of Mental Health or a designee shall review the notice and written justification for the action required by subsection (a), the request for review submitted by the program, and the documents, information and arguments submitted by the program. If deemed necessary for completion of the review, the Deputy Director, Division of Community Programs may request clarification or additional information from the program.
(e) A proposed decision to either affirm or reverse the action to withhold or rescind the certification of the program shall be prepared and submitted to the Director of Mental Health.
(f) The Director of Mental Health may adopt the proposed decision as written, order the proposed decision rewritten, or direct that additional information be obtained. 
(g) A proposed decision shall become final when adopted by the Director of Mental Health. Notice of the decision and a copy of the decision shall be sent to the program by certified mail. A decision adopted by the Director of Mental Health which affirms the action to withhold or rescind the certification of the program shall become effective upon receipt by the program.
NOTE

Authority cited: Section 5458.1, Welfare and Institutions Code. Reference: Sections 5450, 5453, 5454 and 5458, Welfare and Institutions Code.
HISTORY

1. New section filed 1-3-91; operative 2-2-91 (Register 91, No. 7).
§536. Waivers and Exceptions.
Note     •     History

NOTE

Authority cited: Section 5458.1, Welfare and Institutions Code. Reference: Sections 5450, 5453, 5454 and 5458, Welfare and Institutions Code.
HISTORY

1. New section filed 6-5-91 as an emergency; operative 6-5-91 (Register 91, No. 28). A Certificate of Compliance must be transmitted to OAL by 10-3-91 or emergency language will be repealed by operation of law on the following day.
2. Repealed by operation of Government Code section 11346.1(g) (Register 92, No. 39).
Article 4. Services Subject to State Reimbursement
§540. Reimbursement Conditions.
Note     •     History

Subject to the provisions of the Act and of these regulations, state reimbursement will be made for expenditures for the services described in this article.
NOTE

Authority cited: Sections 5705.1(a) and 5715, Welfare and Institutions Code. Reference: Sections 5401, 5651, 5705, 5712, 5714, 5714.1 and 5715, Welfare and Institutions Code.
HISTORY

1. Editorial correction adding NOTE filed 10-26-82 (Register 82, No. 44).
2. Amendment filed 8-23-83 as an emergency; effective upon filing (Register 83, No. 35). A Certificate of Compliance must be transmitted to OAL within 180 days or emergency language will be repealed on 2-19-84.
3. Reinstatement of section as it existed prior to emergency amendment filed 8-23-83 by operation of Government Code Section 11346.1(f) (Register 84, No. 15).
4. Amendment filed 2-27-84 as an emergency; effective upon filing (Register 84, No. 15). A Certificate of Compliance must be transmitted to OAL within 180 days or emergency language will be repealed on 8-27-84.
5. Editorial correction of HISTORY NOTE No. 4 (Register 84, No. 28).
6. Editorial correction of NOTE and HISTORY NOTE No. 4 (Register 84, No. 34).
7. Certificate of Compliance transmitted to OAL 8-14-84 and filed 9-28-84 (Register 84, No. 37).
§541. 24-Hour Services.
Note     •     History

24-Hour Services mean services designed to provide a therapeutic environment of care and treatment within a residential setting for adults and minors. Depending on the severity of the disorder, dangerousness to self or others, and the need for related medical care, treatment is provided through one of the following service functions:
(a) State Hospital, which means a health facility as defined in Section 1250 of the Health and Safety Code which is operated by the Departments of Mental Health or Developmental Services, and which provides treatment services for the mentally disordered.
(b) Local Hospital, which means an acute psychiatric hospital as defined in Section 1250 of the Health and Safety Code, or a distinct acute psychiatric part of a general hospital as defined in Section 1250 of the Health and Safety Code which is approved by the Department of Health Services to provide psychiatric services.
(c) Psychiatric Health Facility, which means a health facility as defined in Section 1250.2 of the Health and Safety Code, or such facility which has a waiver of licensure from the Department, which provides intensive care.
(d) Intensive Skilled Nursing Facility, which means a health facility as defined in Section 1250 of the Health and Safety Code, and staffed to provide intensive psychiatric care.
(e) Short-Term-Crisis Residential Service (Less than 14 Days), which means a licensed residential community care facility available for admissions 24-hours a day, 7 days a week, and staffed to provide crisis treatment as an alternative to hospitalization. Admissions are generally limited to a stay of less than 14 days for voluntary patients without medical complications requiring nursing care. Twenty-four hour capability for prescribing and supervising medication must be available for patients requiring this level of care. The prescribing capability shall be provided by written agreement.
(f) Short-Term Crisis Residential Service (Less than 30 Days), which means a licensed residential community care facility available for admissions 24-hours a day, 7 days a week, and staffed to provide mental health treatment services for voluntary patients without medical complications requiring nursing care and who generally require an average stay of 14-30 days for crisis resolution or stabilization. Twenty-four hour capability for prescribing and supervising medication must be available. The prescribing capability shall be provided by written agreement. Respite care, in accordance with Welfare and Institutions Code, Chapter 5, up to a maximum of 30 days, may be provided within this definition.
(g) Jail Inpatient Unit, which means a distinct unit within an adult or juvenile detention facility, designated by a County Board of Supervisors pursuant to Section 5404 of the Welfare and Institutions Code and staffed to provide intensive psychiatric treatment of inmates. Treatment services on the unit shall be under the control of the Local Mental Health Director.
(h) Transitional Residential On-Site Service, which means a licensed residential community care facility, designed to provide a comprehensive program of care consisting of a therapeutic residential community plus an all-inclusive structured treatment and rehabilitation program for individuals recovering from an acute stage of illness who are expected to move towards a more independent living situation, or higher level of functioning, within a 3-to-12-month period.
(i) Transitional Residential Off-Site Service, which means a licensed residential community care facility, designed to provide, for a 3-to-12-month period, a therapeutic residential community including a range of social rehabilitation activities for individuals who are in remission from an acute stage of illness, and interim support to facilitate movement towards the highest possible level of functioning. Individuals may receive day, outpatient and other treatment services outside the transitional residence.
(j) Long-Term Services, which mean services provided in a variety of community facilities for individuals who require care, supervision, resocialization, rehabilitation, and life-enrichment for up to 3 years. Consistent with individual level of care needs, services shall be provided in skilled nursing facilities, intermediate care facilities, residential community care facilities, or other similar facilities.
(k) Semi-Supervised Living Services, which mean services provided for persons living alone or together in small cooperative housing units, who require support in case of emergencies, as well as regular assessment and evaluation of the problems of daily living. Services may include provision of a rent subsidy. This service provides a transition to independent living or an indefinite arrangement.
(l) Independent Living Services, which mean services, including psychological support and rent subsidy, if necessary, provided to persons who require only minimal support to remain in the community. 
NOTE

Authority cited: Section 5705.1, Welfare and Institutions Code. Reference: Section 5600, Welfare and Institutions Code.
HISTORY

1. Amendment filed 8-23-83 as an emergency; effective upon filing (Register 83, No. 35). A Certificate of Compliance must be transmitted to OAL within 180 days or emergency language will be repealed on 2-19-84.
2. Reinstatement of section as it existed prior to emergency amendment filed 8-23-83 by operation of Government Code Section 11346.1(f) (Register 84, No. 15).
3. Amendment filed 2-27-84 as an emergency; effective upon filing (Register 84, No. 15). A Certificate of Compliance must be transmitted to OAL within 180 days or emergency language will be repealed on 8-27-84.
4. Editorial correction of HISTORY NOTE No. 3 (Register 84, No. 28).
5. Editorial correction of HISTORY NOTE No. 3 (Register 84, No. 34).
6. Certificate of Compliance including amendment transmitted to OAL 8-14-84 and filed 9-28-84 (Register 84, No. 39).
§542. Day Services.
Note     •     History

Day Services mean services designed to provide alternatives to 24-hour care and supplement other modes of treatment and residential services. These service functions are the following:
(a) Day Care Intensive Services, which mean services designed and staffed to provide a multidisciplinary treatment program of less than 24 hours per day as an alternative to hospitalization for patients who need active psychiatric treatment for acute mental, emotional, or behavioral disorders and who are expected, after receiving these services, to be referred to a lower level of treatment, or maintain the ability to live independently or in a supervised residential facility.
(b) Day Care Habilitative Services, which mean services designed and staffed to provide counseling and rehabilitation to maintain or restore personal independence at the best possible functional level for the patient with chronic psychiatric impairments who may live independently, semi-independently, or in a supervised residential facility which does not provide this service.
(c) Vocational Services, which mean services designed to encourage and facilitate individual motivation and focus upon realistic and obtainable vocational goals. To the extent possible, the intent is to maximize individual client involvement in skill seeking and skill enhancement, with the ultimate goal of meaningful productive work.
(d) Socialization Services, which mean services designed to provide life-enrichment and social skill development for individuals who would otherwise remain withdrawn and isolated. Activities should be gauged for multiple age groups, be culturally relevant, and focus upon normalization.
NOTE

Authority cited: Section 5705.1, Welfare and Institutions Code. Reference: Section 5600, Welfare and Institutions Code.
HISTORY

1. Amendment filed 8-23-83 as an emergency; effective upon filing (Register 83, No. 35). A Certificate of Compliance must be transmitted to OAL within 180 days or emergency language will be repealed on 2-19-84.
2. Reinstatement of section as it existed prior to emergency amendment filed 8-23-83 by operation of Government Code Section 11346.1(f) (Register 84, No. 15).
3. Amendment filed 2-27-84 as an emergency; effective upon filing (Register 84, No. 15). A Certificate of Compliance must be transmitted to OAL within 180 days or emergency language will be repealed on 8-27-84.
4. Editorial correction of HISTORY NOTE No. 3 (Register 84, No. 34).
5. Certificate of Compliance including amendment transmitted to OAL 8-14-84 and filed 9-28-84 (Register 84, No. 39).
§543. Outpatient Services.
Note     •     History

Outpatient Services mean services designed to provide short-term or sustained therapeutic intervention for individuals experiencing acute or ongoing psychiatric distress. These service functions are the following:
(a) Collateral Services, which mean sessions with significant persons in the life of the patient, necessary to serve the mental health needs of the patient.
(b) Assessment, which means services designed to provide formal documented evaluation or analysis of the cause or nature of the patient's mental, emotional, or behavioral disorder. Assessment services are limited to an intake examination, mental health evaluation, physical examination, and laboratory testing necessary for the evaluation and treatment of the patient's mental health needs.
(c) Individual Therapy, which means services designed to provide a goal directed therapeutic intervention with the patient which focuses on the mental health needs of the patient.
(d) Group Therapy, which means services designed to provide a goal directed, face-to-face therapeutic intervention with the patient and one or more other patients who are treated at the same time, and which focuses on the mental health needs of the patients.
(e) Medication, which includes the prescribing, administration, or dispensing of medications necessary to maintain individual psychiatric stability during the treatment process. This service shall include evaluation of side effects and results of medication.
(f) Crisis Intervention, which means immediate therapeutic response which must include a face-to-face contact with a patient exhibiting acute psychiatric symptoms to alleviate problems which, if untreated, present an imminent threat to the patient or others.
NOTE

Authority cited: Section 5705.1, Welfare and Institutions Code. Reference: Section 5600, Welfare and Institutions Code.
HISTORY

1. Amendment filed 8-23-83 as an emergency; effective upon filing (Register 83, No. 35). A Certificate of Compliance must be transmitted to OAL within 180 days or emergency language will be repealed on 2-19-84.
2. Reinstatement of section as it existed prior to emergency amendment filed 8-23-83 by operation of Government Code Section 11346.1(f) (Register 84, No. 15).
3. Amendment filed 2-27-84 as an emergency; effective upon filing (Register 84, No. 15). A Certificate of Compliance must be transmitted to OAL within 180 days or emergency language will be repealed on 8-27-84.
4. Certificate of Compliance including amendment transmitted to OAL 8-14-84 and filed 9-28-84 (Register 84, No. 39).
5. Editorial correction of HISTORY NOTE No. 3 (Register 84, No. 28).
6. Certificate of Compliance including amendment transmitted to OAL 8-14-84 and filed 9-28-84 (Register 84, No. 39).
§544. Emergency Services.
History

HISTORY

1. Repealer filed 8-23-83 as an emergency; effective upon filing (Register 83, No. 35). A Certificate of Compliance must be transmitted to OAL within 180 days or emergency language will be repealed on 2-19-84.
2. Reinstatement of section as it existed prior to emergency repealer filed 8-23-83 by operation of Government Code Section 11346.1(f) (Register 84, No. 15).
3. Repealer filed 2-27-84 as an emergency; effective upon filing (Register 84, No. 15). A Certificate of Compliance must be transmitted to OAL within 180 days or emergency language will be repealed on 8-27-84.
4. Editorial correction of HISTORY NOTE No. 3 (Register 84, No. 28).
5. Editorial correction of HISTORY NOTE No. 3 (Register 84, No. 34).
6. Cerificate of Compliance transmitted to OAL 8-14-84 and filed 9-28-84 (Register 84, No. 39).
§545. Outreach Services.
Note     •     History

Outreach Services, which means a program of services delivered to the community-at-large, special population groups, human services agencies, and to individuals and families for whom there is no case record. The purposes of these services are to: (1) enhance the mental health of the general population, (2) prevent the onset of mental health problems in individuals and communities; and (3) assist those persons experiencing stress who are not reached by traditional mental health treatment services to obtain a more adaptive level of functioning. Outreach program services are provided through the following service functions:
(a) Mental Health Promotion, which means activities and projects directed toward:
(1) strengthening individuals' and communities' skills and abilities to cope with stressful life situations before the onset of such events; and 
(2) enhancing and expanding agencies' or organizations' mental health knowledge and skills in relation to the community-at-large or special population groups.
(b) Community Client Services, which means activities directed toward:
(1) strengthening individuals' coping skills and abilities during a stressful life situation; and
(2) enhancing or expanding knowledge and skills of human services agency staff to handle the mental health problems of particular clients.
NOTE

Authority cited: Section 5705.1, Welfare and Institutions Code. Reference: Section 5600, Welfare and Institutions Code.
HISTORY

1. Amendment filed 8-23-83 as an emergency; effective upon filing (Register 83, No. 35). A Certificate of Compliance must be transmitted to OAL within 180 days or emergency language will be repealed on 2-19-84.
2. Reinstatement of section as it existed prior to emergency amendment filed 8-23-83 by operation of Government Code Section 11346.1(f) (Register 84, No. 15).
3. Amendment filed 2-27-84 as an emergency; effective upon filing (Register 84, No. 15). A Certificate of Compliance must be transmitted to OAL within 180 days or emergency language will be repealed on 8-27-84.
4. Editorial correction of HISTORY NOTE No. 3 (Register 84, No. 28).
5. Editorial correction of HISTORY NOTE No. 3 (Register 84, No. 34).
6. Certificate of Compliance including amendment transmitted to OAL 8-14-84 and filed 9-28-84 (Register 84, No. 39).
§546. Diagnostic Services.
History

HISTORY

1. Repealer filed 8-23-83 as an emergency; effective upon filing (Register 83, No. 35). A Certificate of Compliance must be transmitted to OAL within 180 days or emergency language will be repealed on 2-19-84.
2. Reinstatement of section as it existed prior to emergency repealer filed 8-23-83 by operation of Government Code Section 11346.1(f) (Register 84, No. 15).
3. Repealer filed 2-27-84 as an emergency; effective upon filing (Register 84, No. 15). A Certificate of Compliance must be transmitted to OAL within 180 days or emergency language will be repealed on 8-27-84.
4. Editorial correction of HISTORY NOTE No. 3 (Register 84, No. 28).
5. Editorial correction of HISTORY NOTE No. 3 (Register 84, No. 34).
6. Certificate of Compliance transmitted to OAL 8-14-84 and filed 9-28-84 (Register 84, No. 39).
§547. Rehabilitative Services.
History

HISTORY

1. Amendment filed 1-28-76; effective thirtieth day thereafter (Register 76, No. 5).
2. Repealer filed 8-23-83 as an emergency; effective upon filing (Register 83, No. 35). A Certificate of Compliance must be transmitted to OAL within 180 days or emergency language will be repealed on 2-19-84.
3. Reinstatement of section as it existed prior to emergency repealer filed 8-23-83 by operation of Government Code Section 11346.1(f) (Register 84, No. 15).
4. Repealer filed 2-27-84 as an emergency; effective upon filing (Register 84, No. 15). A Certificate of Compliance must be transmitted to OAL within 180 days or emergency language will be repealed on 8-27-84.
5. Editorial correction of HISTORY NOTE No. 4 (Register 84, No. 28).
6. Editorial correction of HISTORY NOTE No. 4 (Register 84, No. 34).
7. Certificate of Compliance transmitted to OAL 8-14-84 and filed 9-28-84 (Register 84, No. 39).
§548. Continuing Care Services.
Note     •     History

Continuing Care Services, which means services designed and staffed to provide, directly or indirectly, the mental health and other community-based assistance required to assure continuity of care and maintenance for adults and minors whose mental or emotional disabilities preclude independent functioning. These services are provided through the following: 
(a) Case Management, which means services designed and staffed to provide continuity of care within the mental health system, to prevent neglect or exploitation of the mentally disabled, and to the extent possible, to prevent rehospitalization. The intent is to identify individuals in need, track and monitor progress and movement within the system, and to intervene as needed, directly, or indirectly, to assure the availability and adequacy of treatment services and necessary mental health social services.
(b) Conservatorship, which means services designed for the financial and personal protection of individuals deemed to be gravely disabled under the provisions of the Act. Conservatorship services are:
(1) Conservatorship Investigation, which means services provided by a designated investigator or agency to collect, assess, and document for the court of jurisdiction the psychosocial and financial information necessary to support or deny a finding of grave disability consistent with established statutory criteria, evaluate the feasibility of available alternatives to conservatorship, and make a recommendation to the court about conservatorship status and continuing care needs.
(2) Conservatorship Administration, which means services provided by a designated conservator to manage a conservatee's financial resources and to assure the availability and adequacy of necessary treatment services and mental health social services.
NOTE

Authority cited: Section 5705.1, Welfare and Institutions Code. Reference: Section 5600, Welfare and Institutions Code.
HISTORY

1. Editorial correction adding NOTE filed 10-26-82 (Register 82, No. 44).
2. Amendment filed 8-23-83 as an emergency; effective upon filing (Register 83, No. 35). A Certificate of Compliance must be transmitted to OAL within 180 days or emergency language will be repealed on 2-19-84.
3. Reinstatement of section as it existed prior to emergency amendment filed 8-23-83 by operation of Government Code Section 11346.1(f) (Register 84, No. 15).
4. Amendment filed 2-27-84 as an emergency; effective upon filing (Register 84, No. 15). A Certificate of Compliance must be transmitted to OAL within 180 days or emergency language will be repealed on 8-27-84.
5. Editorial correction of HISTORY NOTE No. 4 (Register 84, No. 28).
6. Editorial correction of HISTORY NOTE No. 4 (Register 84, No. 34).
7. Certificate of Compliance including amendment transmitted to OAL 8-14-84 and filed 9-28-84 (Register 84, No. 39).
§549. Supplemental Residential Care Services.
Note     •     History

Supplemental Residential Care Services mean services designed to augment basic living and care services for mentally disordered adults in licensed community care facilities, as defined in Section 1502 of the Health and Safety Code. These supplemental services include, but are not limited to, supportive, supervisory, and rehabilitative services, as identified in the client's service plan, and are provided in addition to the basic care and supervision required for licensure as a community care facility. Supplemental services are intended to facilitate the movement of clients to less restrictive levels of care.
(a) Facilities eligible to be certified for payment for supplemental services from county mental health programs shall be licensed community care facilities authorized by the State Department of Social Services to provide care and supervision to mentally disordered adults. Such facilities shall be certified for participation by the county, and services shall be provided through written agreement. These facilities shall agree to:
(1) Cooperate with county staff in developing a facility program plan to meet the goals, objectives, and activities outlined in the client's service plan subsequent to referral and authorization by the county. The service plan shall be developed with the client and the facility administrator by the county's designated case manager.
(2) Participate in the county's training activities.
(3) Obtain a minimum of 20 hours of training per year for supervisory staff in relevant mental health programming, certified by a recognized residential care association, or approved by the county.
(4) Maintain individual client records in accordance with county requirements.
(5) Allow access to the facility, to the extent authorized by law, by county and state staff for client assessment, monitoring, record review, and consultation.
(6) Maintain the capability to meet the specialized needs of mentally disordered adults, as identified by the county and in the facility's program plan.
(7) Participate in the county's management information system.
(b) Supplemental services shall consist of, but not be limited to, some but not necessarily all of the following components, as specified in the client's service plan:
(1) Providing or arranging transportation to meet the client's mental health needs and for participation in planned programs.
(2) Encouraging the client to take increasing responsibility for the client's own treatment by supporting self-established goals and the use of support and treatment system.
(3) Encouraging the client's use of public transportation, use of leisure time in a constructive manner, and maintenance of adequate grooming.
(4) Assisting the client to learn social relationship skills, such as communication with others and the appropriate expression of feelings. 
(5) Participating with county staff in meetings in the facility.
(6) Assisting the client in developing skills of budgeting, personal shopping, monetary transactions, menu planning, and shopping for,and the preparation of, basic meals.
(7) Assisting the client in becoming responsible for self-medication, as prescribed by the treating physician.
(8) Providing close supervision of, and intensive interactions with, clients who require the management of difficult behavioral problems, consistent with the client's service plan.
The services described in paragraphs (1) and (5) of this subdivision shall constitute supplemental services only if performed in conjunction with one or more services described in paragraphs (2), (3), (4), (6), (7) and (8).
(c) Clients who receive supplemental services shall be assessed and monitored by the county's designated case management staff initially, and at least every 90 days thereafter, utilizing a standardized assessment procedure established by the Department. This procedure shall be used to assist in the determination of the functional ability and programmatic needs of mentally disordered clients, and the appropriate placement in facilities providing supplemental services. 
(d) Each county shall apply for these funds within the county's Short-Doyle Plan in accordance with Section 5651 of the Welfare and Institutions Code, or within proposals for negotiated net amount contracts in accordance with Section 5705.2(c) of the Welfare and Institutions Code. In applying for these funds within the Short-Doyle Plan or within proposals for negotiated net amount contracts, the county shall describe a client monitoring system which is integrated with case management services. The county shall also evaluate and certify facilities annually in accordance with the criteria identified in Subsections (a) and (b).
(e) Rates of payment for supplemental services to clients shall be established in accordance with Section 4075 of the Welfare and Institutions Code. The total amount of reimbursement to a county for providing supplemental services shall be limited to the amount allocated to the county for such services in each fiscal year. Payment for supplemental services shall only be made after facility certification and client assessment by the county.
(f) Reimbursement rates shall be fixed by the Department in accordance with Section 4075 of the Welfare and Institutions Code, and shall not be subject to cost adjustment. Facilities providing supplemental services shall submit budgetary data and claims for reimbursement, and report service and cost data to the county in the manner and form prescribed by the county. The county shall provide the Department with service units and related cost data as required for fixed (negotiated) rate services.
(g) The county may claim reimbursement for costs incurred in the administration of these services, subject to the Department's approval, utilizing existing claiming procedures.
NOTE

Authority cited: Provisions 15 and 16, Item 4440-101-001, Budget Act of 1985 (Chapter 111 of the Statutes of 1985); and Section 4075, Welfare and Institutions Code. Reference: Sections 4076, 4077, 5600, 5675, 5676 and 5677, Welfare and Institutions Code; and Section 1502, Health and Safety Code.
HISTORY

1. Renumbering of former Section 549 to Section 550 and new Section 549 filed 10-1-85 as an emergency; effective upon filing (Register 85, No. 40). A Certificate of Compliance must be transmitted to OAL within 180 days or emergency language will be repealed on 3-31-86.
2. Certificate of Compliance including amendment of subsection (d) transmitted to OAL 3-31-86 and filed 4-30-86 (Register 86, No. 18).
§550. Training.
Note     •     History

Training services shall mean:
(a) Staff development programs for employees which are designed to improve existing skills, knowledge and attitudes or to provide new skills, knowledge and attitudes, to increase the employee's effectiveness or to develop potential for more responsible positions.
(b) Preservice education programs designed to provide the categories of treatment, professionals, and other mental health personnel needed to staff programs.
(c) Post-graduate professional education programs designed to provide the categories of personnel in professional sub-specialties needed to staff programs in Local Mental Health Services.
NOTE

Authority cited: Sections 5712 and 5751, Welfare and Institutions Code. Reference: Sections 5601(g), 5651(c) and 5751, Welfare and Institutions Code.
HISTORY

1. Editorial correction adding NOTE filed 10-26-82 (Register 82, No. 44).
2. Renumbering of former Section 550 to Section 551, and renumbering of former Section 549 to Section 550 filed 10-1-85 as an emergency; effective upon filing (Register 85, No. 40). A Certificate of Compliance must be transmitted to OAL within 180 days or emergency language will be repealed on 3-31-86.
3. Certificate of Compliance transmitted to OAL 3-31-86 and filed 4-30-86 (Register 86, No. 18).
§551. Research and Evaluation.
History

(a) Research services shall mean:
(1) Basic research is directed toward the increase of knowledge to understand the particular subject under study. Its purpose is to expand existing knowledge about the nature, cause, prevention, and treatment of mental, emotional or behavioral disorders, including mental retardation and alcoholism, for the purpose of improving the ability of professional personnel to predict and control these disorders and to maximize human effectiveness.
(2) Clinical Research is concerned with identification, implementation, development and evaluation of therapeutic techniques and agents. These are studies directed toward the effectiveness of the treatment program and the development of new methods of diagnosis, treatment and rehabilitation. The acquisition of normative and base rate data is an essential aspect of clinical research.
(3) Program Research is concerned with identification, development, and evaluation of consultative, educational or community organizational techniques in mental health services.
(4) Socio-cultural Research is concerned with investigating the relationship between mental, emotional or behavioral disorders, including mental retardation and alcoholism, and the cultural and personal impact of community disorganization, social change and socio-cultural deprivation. This includes the relationship between various social and cultural factors and post-hospital adjustment and demographic and epidemiological investigation.
(b) Evaluation services shall mean:
(1) Studies of the effectiveness and efficiency of specific programs in Local Mental Health Services in achieving the goals of the program and the process by which such efforts are organized. Such management analysis will include studies of the relative cost and effectiveness of services and the efficient use of manpower, facilities and equipment.
(2) Studies of the effectiveness or state of progress of the local community in achieving overall mental health goals or the process by which such goals are defined or pursued.
HISTORY

1. Amendment filed 5-11-70; effective thirtieth day thereafter (Register 70, No. 20).
2. Renumbering of former Section 551 to Section 552, and renumbering of former Section 550 to Section 551 filed 10-1-85 as an emergency; effective upon filing (Register 85, No. 40). A Certificate of Compliance must be transmitted to OAL within 80 days or emergency language will be repealed on 3-31-86.
3. Certificate of Compliance transmitted to OAL 3-31-86 and filed 4-30-86 (Register 86, No. 18).
§552. Equipment Expense.
Note     •     History

(a) The following definitions of equipment shall apply:
(1) Equipment shall mean moveable personal property of a relatively permanent nature and of significant value, such as furniture, machines, tools and vehicles.
(A) “Relatively permanent” is defined as a useful life of one year or longer.
(B) “Significant value” is defined as a minimum value of $100 to $1,000 as established by the County Auditor.
(b) All plans for equipment expenditures shall be submitted as part of the annual county plan.
NOTE

Authority cited: Section 5750, Welfare and Institutions Code. Reference: Sections 5651 and 5715, Welfare and Institutions Code.
HISTORY

1. Repealer and new section filed 8-18-78; effective thirtieth day thereafter (Register 78, No. 33).
2. Renumbering of former section 552 to section 553, and renumbering of former section 551 to section 552 filed 10-1-85 as an emergency; effective upon filing (Register 85, No. 40). A Certificate of Compliance must be transmitted to OAL within 180 days or emergency language will be repealed on 3-31-86.
3. Certificate of Compliance transmitted to OAL 3-31-86 and filed 4-30-86 (Register 86, No. 18).
4. Change without regulatory effect (Register 88, No. 3).
5. Amendment of subsection (a), repealer of subsections (b), (c), (d), (e) and (g) and renumbering of subsection (f) to subsection (b) filed 4-11-91; operative 5-11-91 (Register 91, No. 17).
§553. Remodeling Expense.
Note     •     History

Remodeling shall include only the changing or improving of existing structures. Remodeling expense shall be determined by local option and by the State of California's financial participation subject to approval by the state Department of Mental Health. All plans for remodeling shall be submitted as part of the annual county plan.
NOTE

Authority cited: Section 5750, Welfare and Institutions Code. Reference: Sections 5671 and 5715, Welfare and Institutions Code.
HISTORY

1. Renumbering of former Section 552 to Section 553 filed 10-1-85 as an emergency; effective upon filing (Register 85, No. 40). A Certificate of Compliance must be transmitted to OAL within 180 days or emergency language will be repealed on 3-31-86. For history of former Section 553, see Registers 83, No. 3; 73, No. 28; and 73, No. 11.
2. Certificate of Compliance transmitted to OAL 3-31-86 and filed 4-30-86 (Register 86, No. 18).
3. Change without regulatory effect (Register 88 No. 3).
4. Editorial correction of first sentence (Register 95, No. 43).
§554. 72-Hour Detoxification Treatment and Evaluation Service.
History

HISTORY

1. New section filed 3-16-73 as an emergency; effective upon filing (Register 73, No. 11).
2. Certificate of Compliance filed 7-12-73 (Register 73, No. 28).
3. Repealer filed 1-13-83; effective thirtieth day thereafter (Register 83, No. 3).
Article 5. Limitations on Reimbursements
§560. Inpatient Service.

Reimbursement for inpatient service shall be limited to reimbursement for those services set forth in Section 541, including the prescribing or furnishing of necessary drugs, together with such general medical and surgical procedures as are necessary in the treatment of the psychiatric condition, but excluding other medical treatment or other surgery.
§561. Other Mental Health Services.
Note     •     History

Reimbursement for mental health services (other than inpatient service) shall be limited to reimbursement for those services set forth in Article 4, including the prescribing or furnishing of necessary drugs but excluding other medical care or treatment not necessary to evaluation of psychiatric disorders.
NOTE

Authority cited: Section 5712, Welfare and Institutions Code. Reference: Sections 5401, 5703, 5704, 5712 and 5715, Welfare and Institutions Code.
HISTORY

1. Editorial correction adding NOTE filed 10-26-82 (Register 82, No. 44).
§562. Non-State-Reimbursable Charges.
History

HISTORY

1. Repealer filed 1-13-83; effective thirtieth day thereafter (Register 83, No. 3).
§563. Reimbursement for Services.
History

HISTORY

1. Repealer filed 1-13-83; effective thirtieth day thereafter (Register 83, No. 3).
§565.5. Funding.
Note     •     History

Short-Doyle funding for acute inpatient psychiatric services shall be used only when the following sources of reimbursement are unavailable or have been exhausted:
(a) Patient payment in accordance with Welfare and Institutions Code Section 5718;
(b) Private third party payors; and,
(c) Other governmental third party payors.
NOTE

Authority cited: Section 4073, Welfare and Institutions Code. Reference: Sections 5705, 5713 and 5718, Welfare and Institutions Code. 
HISTORY

1. New section filed 2-24-83 as an emergency; effective upon filing (Register 83, No. 9). A Certificate of Compliance must be transmitted to OAL within 180 days or emergency language will be repealed on 8-23-83.
2. Editorial correction of HISTORY Note No. 1 (Register 83, No. 34). 
3. Emergency language repealed by operation of Government Code Section 11346.1(g) (Register 83, No. 35).
4. New section filed 8-24-83 as an emergency; effective upon filing (Register 83, No. 35). A Certificate of Compliance must be transmitted to OAL within 180 days or emergency language will be repealed on 2-20-84.
5. Certificate of Compliance transmitted to OAL 1-31-84 and filed 3-2-84 (Register 84, No. 9).
6. Order of Repeal filed 3-2-84 by OAL pursuant to Government Code Section 11349.6 (Register 84, No. 9).
7. New section filed 3-14-84 as an emergency; effective upon filing (Register 84, No. 13). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 7-12-84.
8. New section refiled 4-27-84; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 84, No. 18).
Article 5.5.  Maximum Allowable Rates
§570. Application of Article.
Note     •     History

The maximum allowable rates established in accordance with the provisions of this Article shall apply to all mental health treatment services provided in accordance with the approved county Short-Doyle plans, except when exempted by statute, unless the Director of the State Department of Mental Health approves either a waiver of the maximum allowable rates, pursuant to subdivision (c) of Section 5705.1, Welfare and Institutions Code, or a negotiated net amount or rate, pursuant to Section 5705.2, Welfare and Institutions Code.
NOTE

Authority cited: Sections 5705.1 and 5750, Welfare and Institutions Code. Reference: Sections 5600, 5705.1 and 5705.2, Welfare and Institutions Code.
HISTORY

1. New Article 5.5 (Sections 570-574) filed 10-1-82 as an emergency; effective upon filing (Register 82, No. 40). A Certificate of Compliance must be transmitted to OAL within 180 days or emergency language will be repealed on 3-30-83.
2. Editorial correction of HISTORY NOTE No. 1 (Register 83, No. 18).
3. Certificate of Compliance including amendments transmitted to OAL 3-23-83 and filed 4-27-83 (Register 83, No. 18).
§571. Reimbursement.
Note

Reimbursement for services specified in the approved county plans shall be the lower of either the individual provider's actual cost or the maximum allowable rates established in accordance with the provisions of this Article. However, the total reimbursement to a county for any one fiscal year pursuant to this provision shall not exceed the final county Short-Doyle allocation for that fiscal year.
NOTE

Authority cited: Sections 5705.1 and 5750, Welfare and Institutions Code. Reference: Section 5600, Welfare and Institutions Code.
§572. Maximum Allowable Rate Determination and Publication.
Note     •     History

NOTE

Authority cited: Sections 5705.1 and 5750, Welfare and Institutions Code. Reference: Section 5600, Welfare and Institutions Code.
HISTORY

1. Certificate of Compliance including amendment of subsection (a) transmitted to OAL 3-23-83 and filed 4-27-83 (Subsections (b) and (c) were withdrawn on 4-25-83) (Register 83, No. 18).
2. New subsections (b) and (c) refiled 4-25-83 as an emergency; effective upon filing (Register 83, No. 18). A Certificate of Compliance must be transmitted to OAL within 180 days or emergency language will be repealed on 10-22-83.
3. Amendment of subsection (b) and repealer of subsection (c) filed 8-23-83 as an emergency; effective upon filing (Register 83, No. 35). A Certificate of Compliance must be transmitted to OAL within 180 days or emergency language will be repealed on 2-19-84.
4. Reinstatement of section as it existed prior to emergency amendment filed 8-23-83 by operation of Government Code Section 11346.1(f) (Register 84, No. 15).
5. Amendment of subsection (b) and repealer of subsection (c) filed 2-27-84 as an emergency; effective upon filing (Register 84, No. 15). A Certificate of Compliance must be transmitted to OAL within 180 days or emergency language will be repealed on 8-27-84.
6. Editorial correction of HISTORY NOTE No. 5 (Register 84, No. 28).
7. Editorial correction of HISTORY NOTE No. 5 (Register 84, No. 34).
8. Certificate of Compliance transmitted to OAL 8-14-84 and filed 9-28-84 (Register 84, No. 39).
9. Change without regulatory effect repealing Section 572 (Register 88, No.3).
§573. Monitoring Compliance.
Note

Compliance with the maximum allowable rates shall be monitored through the budget, cost report, and audit processes. Local Directors shall ensure that individual providers rates are within the established maximum allowable rates for the various service functions. If the county's year-end cost report indicates that a provider's rate is in excess of the established maximum allowable rate and no waiver or statutory exemption applies, the state's final payment to the county (cost report settlement) shall be based on the maximum allowable rate, as established in accordance with the provisions of this Article.
NOTE

Authority cited: Sections 5705.1 and 5750, Welfare and Institutions Code. Reference: Sections 5600, 5705.1 and 5705.2, Welfare and Institutions Code.
§574. County Augmentation.
Note

Nothing in the provisions of this Article shall prohibit a county from using county general funds, other than those required for the county match mandated by the Short-Doyle Act, to augment or offset any amount by which an individual provider exceeds the maximum allowable rates.
NOTE

Authority cited: Sections 5705.1 and 5750, Welfare and Institutions Code. Reference: Section 5600, Welfare and Institutions Code.
Article 6. Utilization Review of Short-Doyle Funded Acute Inpatient Psychiatric Services
§590. Review Process.
Note     •     History

Counties shall comply with the Department's Quality Assurance Standards and Guidelines section titled Utilization Review of Short-Doyle Funded Acute Inpatient Psychiatric Services--Requirements and Procedures (March 1, 1984). Review of patient admission and continued stay necessity shall be performed concurrently with hospitalization. Admission and continued stay reviews for acutely ill patients shall determine the existence and continuance of the necessity for acute inpatient psychiatric treatment. Continued stay reviews shall be performed at least as often as indicated by the length of stay intervals specified in the Department's Requirements and Procedures. Admission and continued stay reviews for non-acutely ill patients shall determine the existence and continuance of special administrative circumstances as categorized in Section 591. Continued stay reviews shall be performed at five (5) working day intervals and must include review of the continuing efforts being made to resolve the administrative circumstances preventing discharge.
At each continued stay review, Short-Doyle funded inpatients shall be re-evaluated for eligibility for other funding as required by Section 565.5.
All patients admitted to and provided services within Short-Doyle funded acute inpatient psychiatric facilities shall be included in the utilization review process pursuant to this Article.
NOTE

Authority cited: Section 4073, Welfare and Institutions Code. Reference: Sections 4070 and 5624, Welfare and Institutions Code.
HISTORY

1. New Article 6 (Sections 590-594) filed 2-24-83 as an emergency; effective upon filing (Register 83, No. 9). A Certificate of Compliance must be transmitted to OAL within 180 days or emergency language will be repealed on 8-23-83.
2. Editorial correction of HISTORY NOTE No. 1 (Register 83, No. 35).
3. Article 6 (Sections 590-594) repealed by operation of Government Code Section 11346.1(g) (Register 83, No. 35).
4. New Article 6 (Sections 590-594) filed 8-24-83 as an emergency; effective upon filing (Register 83, No. 35). A Certificate of Compliance must be transmitted to OAL within 180 days or emergency language will be repealed on 2-20-84.
5. Certificate of Compliance as to 8-24-83 order transmitted to OAL 1-31-84 and filed 3-2-84 (Register 84, No. 9).
6. Order of Repeal as to Sections 590, 591 and 592 only filed 3-2-84 by OAL pursuant to Government Code Section 11349.6 (Register 84, No. 9).
7. New section filed 3-14-84 as an emergency; effective upon filing (Register 84, No. 13). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 7-12-84.
8. New section refiled 4-27-84; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 84, No. 18). 
§591. Administrative Days.
Note     •     History

All patients served in acute inpatient psychiatric facilities and funded by Short-Doyle must have a diagnosable mental disorder. If, however, symptoms do not meet the admission or continued stay criteria specified in the Department's Requirements and Procedures, the following categories of special circumstances warrant Short-Doyle funded acute inpatient psychiatric care:
(a) The patient is hospitalized due to the action of an authority over whom the local mental health director has no direct control and without the concurrence of whom the patient cannot be discharged;
(b) Alternative community care is not immediately available due to 
(1) temporary lack of placement funds, or
(2) temporary lack of a therapeutically appropriate facility.
For patients in the above situations, continued stay reviews shall be conducted at five (5) working day intervals. Discharge shall occur at the earliest opportunity following resolution of the above circumstances.
NOTE

Authority cited: Section 4073, Welfare and Institutions Code. Reference: Sections 4070, 4071, 4072 and 5624, Welfare and Institutions Code.
HISTORY

1. New section filed 3-14-84 as an emergency; effective upon filing (Register 84, No. 13). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 7-12-84. For history of former section, see Register 84, No. 9.
2. New section refiled 4-27-84; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 84, No. 18).
§592. Documentation and Reporting.
Note     •     History

Utilization review activities shall be documented, including review of administrative days, in accordance with the Department's Requirements and Procedures. In accordance with the Requirements and Procedures, special circumstances justifying administrative days must be documented, aggregated and reported quarterly to the local mental health director. These reports shall address the following factors of utilization:
(a) number of inpatients who do not meet the test of medical necessity;
(b) number of patient-days so used; and
(c) reasons other than medical necessity that inpatient care is required. Documentation of administrative days must reflect continuing efforts to resolve the circumstances preventing discharge.
NOTE

Authority cited: Section 4073, Welfare and Institutions Code. Reference: Sections 4070 and 5624, Welfare and Institutions Code.
HISTORY

1. New section filed 3-14-84 as an emergency; effective upon filing (Register 84, No. 13). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 7-12-84. For history of former section, see Register 84, No. 9.
2. New section refiled 4-27-84; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 84, No. 18).
§593. Compliance.
Note

Counties shall amend existing utilization review plans to include these requirements. Counties shall be responsible for complying with these regulations ninety (90) days from the effective date of this Article.
NOTE

Authority cited: Section 4073, Welfare and Institutions Code. Reference: Sections 4071 and 5624, Welfare and Institutions Code.
§594. Enforcement.
Note

The Department shall enforce utilization review by counties of Short-Doyle funded acute inpatient psychiatric services through the following means:
(a) Review and approval/disapproval of the utilization review plans;
(b) Onsite visits to evaluate required systems, audit clinical and administrative documentation, and request corrective action;
(c) Sanctions for non-compliance which can include any or all of the following:
(1) Wihholding future allocations until compliance is achieved;
(2) Requiring increased resources to be channeled into quality assurance activities from existing allocations; 
(3) Recouping inappropriately used Short-Doyle funds from current allocations.
Counties shall be allowed the opportunity to appeal both clinical and administrative audit decisions and financial penalties.
NOTE

Authority cited: Section 4073, Welfare and Institutions Code. Reference: Sections 4071, 4072, 5655 and 5712, Welfare and Institutions Code.
Article 7. Claims for Reimbursement
§600. Forms and Information.
History

HISTORY

1. Order of Repeal filed 6-3-85 by OAL pursuant to Government Code Section 11349.7; effective thirtieth day thereafter (Register 85, No. 26).
§601. Approval of Reimbursements.

Reimbursement for any fiscal year shall be limited to the amount fixed by the Director of Mental Hygiene when the plan is approved, unless additional expenditure is authorized after filing of a supplementary application. Expenditures incurred in support of new activities prior to approval of a plan by the Director of Mental Hygiene or for costs or expenditures not included in the approved plan may not be subject to reimbursement. Actual and necessary expenses incurred by members of the California Conference of Local Mental Health Directors at meetings called to implement the Act and for attendance at meetings, pursuant to Section 5760 of the Act, prior to approval of local plans, shall be subject to reimbursement in accordance with the Act. Actual and necessary expenses incurred by members of the local mental health advisory boards in the performance of official duties, pursuant to Section 5715 of the Act, shall be subject to reimbursement in accordance with the Act.
Article 8. Professional and Technical Personnel Standards
§620. Director of Local Mental Health Services.
Note     •     History

Where the Local Mental Health Director is other than the local health officer or medical administrator of the county hospital, he or she shall be one of the following:
(a) A physician and surgeon licensed in the State of California showing evidence of having completed the required course of graduate psychiatric education as defined in Section 623 to be supplemented by an additional period of two years of training or practice limited to the field of psychiatry, one year of which shall have been administrative experience.
(b) A psychologist who shall be licensed in the State of California and shall possess a doctorate degree in psychology from an institution of higher education. In addition, the psychologist shall have had at least three years of acceptable clinical psychology experience, two years of which shall be administrative experience.
(c) A clinical social worker who shall possess a master's degree in social work or higher and shall be a licensed clinical social worker under provisions of the California Business and Professions Code, and shall have had at least five years mental health experience, two years of which shall have been administrative experience.
(d) A marriage, family, and child counselor who shall have a master's degree in an approved behavioral science course of study, and who shall be a licensed marriage, family, and child counselor and have received specific instruction, or its equivalent, as required for licensure on January 1, 1981. In addition, the marriage, family, and child counselor shall have had at least five years of mental health experience, two years of which shall have been administrative experience. The term, specific instruction, contained in Sections 5751 and 5751.3 of the Welfare and Institutions Code, shall not be limited to school, college, or university classroom instruction, but may include equivalent demonstrated experience in assessment, diagnosis, prognosis, and counseling, and psychotherapeutic treatment of premarital, marriage, family, and child relationship dysfunctions.
(e) A nurse who shall possess a master's degree in psychiatric or public health nursing and shall be licensed as a registered nurse by the Board of Registered Nursing in the State of California, and shall have had at least five years mental health experience, two of which shall have been administrative experience. Additional post-baccalaureate experience in a mental health setting may be substituted on a year-for-year basis for the educational requirements.
(f) An administrator who shall have a master's degree in hospital administration, public health administration, or public administration from an accredited college or university, and who shall have at least three years experience in hospital or health care administration, two of which shall have been in the mental health field. Additional qualifying experience may be substituted for the required education on a year-for-year basis with the approval of the Department of Mental Health.
NOTE

Authority cited: Sections 5600.5 and 5751, Welfare and Institutions Code. Reference: Sections 5607, 5751, 5751.1 and 5751.3, Welfare and Institutions Code.
HISTORY

1. Amendment filed 1-12-73; effective thirtieth day thereafter (Register 73, No. 2).
2. Amendment filed 1-28-76; effective thirtieth day thereafter (Register 76, No. 5).
3. Amendment filed 11-28-88; operative 12-28-88 (Register 89, No. 11).
§620.1. Acting Director of Local Mental Health Services.
Note     •     History

If a county is unable to secure the services of a person who meets the standards set forth in Section 620, the county may select an Acting Director of Local Mental Health Services with appointment limited to a 12-month period subject to the approval of the Director of the state Department of Mental Health.
NOTE

Authority cited: Section 5751, Welfare and Institutions Code. Reference: Sections 5751 and 5751.1, Welfare and Institutions Code.
HISTORY

1. Amendment filed 5-11-70; effective thirtieth day thereafter (Register 70, No. 20).
2. Amendment filed 1-12-73; effective thirtieth day thereafter (Register 73, No. 2).
3. Change without regulatory effect (Register 88, No. 3).
§621. Medical Program Responsibility.
History

If the Local Director does not meet the qualifications of Section 620 (a), the local mental health service shall provide a psychiatrist licensed to practice medicine in this State as defined in Section 623 who shall have the medical responsibility as defined in Section 522.
HISTORY

1. Amendment filed 1-12-73; effective thirtieth day thereafter (Register 73, No. 2).
2. Amendment filed 1-28-76; effective thirtieth day thereafter (Register 76, No. 5).
§622. Requirements for Professional Personnel.
Note     •     History

Wherever in these regulations the employment of a particular professional person is required, the minimum qualifications for that person shall be as hereinafter specified in this Article. Required experience shall mean full time equivalent experience. It is intended that these minimum qualifications shall apply to the head or chief of a particular service or professional discipline but not necessarily to subordinate employees of the same profession.
NOTE

Authority cited: Section 5751, Welfare and Institutions Code. Reference: Section 5751, Welfare and Institutions Code.
HISTORY

1. Amendment filed 1-28-76; effective thirtieth day thereafter (Register 76, No. 5).
2. Change without regulatory effect (Register 88, No. 3).
3. Change without regulatory effect reinstating text as amended in Register 76, No. 5 filed 10-27-88 (Register 88, No. 45).
4. Editorial correction of History 1 (Register 95, No. 43).
§623. Psychiatrist.
Note     •     History

A psychiatrist who directs a service shall have a license as a physician and surgeon in this state and show evidence of having completed the required course of graduate psychiatric education as specified by the American Board of Psychiatry and Neurology in a program of training accredited by the Accreditation Council for Graduate Medical Education, the American Medical Association or the American Osteopathic Association.
NOTE

Authority cited: Sections 5600.5 and 5751, Welfare and Institutions Code. Reference: Sections 5751 and 5751.1, Welfare and Institutions Code.
HISTORY

1. Amendment filed 11-28-88; operative 12-28-88 (Register 89, No. 11).
§624. Psychologist.
Note     •     History

A psychologist who directs a service shall have obtained a California license as a psychologist granted by the State Board of Medical Quality Assurance or obtain such licensure within two years following the commencement of employment, unless continuously employed in the same class in the same program or facility as of January 1, 1979; and shall have two years of post doctoral experience in a mental health setting.
NOTE

Authority cited: Sections 5600.5 and 5751, Welfare and Institutions Code. Reference: Sections 5600.2, 5751 and 5751.3, Welfare and Institutions Code.
HISTORY

1. Amendment filed 1-28-76; effective thirtieth day thereafter (Register 76, No. 5).
2. Amendment filed 11-28-88; operative 12-28-88 (Register 89, No. 11).
§625. Social Worker.
Note     •     History

A social worker who directs a service shall have a California license as a clinical social worker granted by the State Board of Behavioral Science Examiners or obtain such licensure within three years following the commencement of employment, unless continuously employed in the same class in the same program or facility as of January 1, 1979, or enrolled in an accredited doctoral program in social work, social welfare, or social science; and shall have two years of post master's experience in a mental health setting.
NOTE

Authority cited: Sections 5600.5 and 5751, Welfare and Institutions Code. Reference: Sections 5600.2, 5751 and 5751.3, Welfare and Institutions Code.
HISTORY

1. Amendment filed 1-28-76; effective thirtieth day thereafter (Register 76, No. 5).
2. Amendment filed 11-28-88; operative 12-28-88 (Register 89, No. 11).
§626. Marriage, Family and Child Counselor.
Note     •     History

A marriage, family, and child counselor who directs a service shall have obtained a California license as a marriage, family, and child counselor granted by the State Board of Behavioral Science Examiners and have received specific instruction, or its equivalent, as required for licensure on January 1, 1981, and shall have two years of post master's experience in a mental health setting. The term, specific instruction, contained in Sections 5751 and 5751.3 of the Welfare and Institutions Code, shall not be limited to school, college, or university classroom instruction, but may include equivalent demonstrated experience in assessment, diagnosis, prognosis, and counseling, and psychotherapeutic treatment of premarital, marriage, family, and child relationship dysfunctions.
NOTE

Authority cited: Sections 5600.5 and 5751, Welfare and Institutions Code. Reference: Sections 5751 and 5751.3, Welfare and Institutions Code.
HISTORY

1. New section filed 11-28-88; operative 12-28-88 (Register 89, No. 11). For prior history, see Register 88, No. 45.
§627. Nurses.
History

A nurse shall be licensed to practice as a registered nurse by the Board of Nursing Education and Nurse Registration in this State and possess a master's degree in psychiatric or public health nursing, and two years of nursing experience in a mental health setting. Additional post baccalaureate nursing experience in a mental health setting may be substituted on a year-for-year basis for the educational requirement.
HISTORY

1. Amendment filed 1-28-76; effective thirtieth day thereafter (Register 76, No. 5).
2. Change without regulatory effect renumbering former Section 627 to Section 628, and renumbering former Section 626 to Section 627 filed 10-27-88 (Register 88, No. 45).
§628. Licensed Vocational Nurse.
History

A licensed vocational nurse shall have a license to practice vocational nursing by the Board of Vocational Nurse and Psychiatric Technician Examiners and possess six years of post license experience in a mental health setting. Up to four years of college or university education may be substituted for the required vocational nursing experience on a year-for-year basis.
HISTORY

1. Amendment filed 1-28-76; effective thirtieth day thereafter (Register 76, No. 5). For prior history, see Register 71, No. 40.
2. Change without regulatory effect renumbering former Section 628 to Section 629, and renumbering former Section 627 to Section 628 filed 10-27-88 (Register 88, No. 45).
3. Editorial correction of HISTORY (Register 89, No. 3).
§629. Psychiatric Technician.
Note     •     History

A psychiatric technician shall have a current license to practice as a psychiatric technician by the Board of Vocational Nurse and Psychiatric Technician Examiners and six years of post license experience in a mental health setting. Up to four years of college or university education may be substituted for the required psychiatric technician experience on a year-for-year basis.
NOTE

Authority cited: Sections 4011 and 5750, Welfare and Institutions Code. Reference: Sections 5600 and 5767, Welfare and Institutions Code.
HISTORY

1. Amendment filed 1-28-76; effective thirtieth day thereafter (Register 76, No. 5). For history of former Section 628, see Register 71, No. 40.
2. Change without regulatory effect renumbering former Section 629 to Section 630, and renumbering former Section 628 to Section 629 filed 10-27-88 (Register 88, No. 45).
3. Editorial correction of HISTORY (Register 89, No. 3).
§630. Mental Health Rehabilitation Specialist.
History

A mental health rehabilitation specialist shall be an individual who has a baccalaureate degree and four years of experience in a mental health setting as a specialist in the fields of physical restoration, social adjustment, or vocational adjustment. Up to two years of graduate professional education may be substituted for the experience requirement on a year-for-year basis; up to two years of post associate arts clinical experience may be substituted for the required educational experience in addition to the requirement of four years' experience in a mental health setting.
HISTORY

1. Change without regulatory effect renumbering former Section630 to Section 631, and renumbering former Section 629 to Section 630 filed 10-27-88 (Register 88, No. 45). For prior history, see Register 76, No. 5.
2. Editorial correction replacing text of Section 630 inadvertently omitted during production of Register 88, No. 45 (Register 89, No. 3).
§631. Administrative Support Responsibility.
Note     •     History

Any local mental health service which serves a population in excess of 100,000 shall have at least one administrative person who does not have clinical program responsibility and who shall be responsible for all administrative and supportive services as defined in Section 5751.2 of the Welfare and Institutions Code.
After March 1, 1976 new personnel employed into these positions shall have three years of experience with increasing responsibility performing health administration or staff administrative services such as accounting, auditing, budgeting, administrative analysis, or personnel and have a minimum education equivalent to graduation with a baccalaureate degree from an accredited college or university. Additional qualifying experience may be substituted for the required education on a year-for-year basis.
NOTE

Authority cited: Sections 5751 and 5751.2, Welfare and Institutions Code. Reference: Sections 5751 and 5751.2, Welfare and Institutions Code.
HISTORY

1. Change without regulatory effect renumbering former Section 631 to Section 632, and renumbering former Section 630 to Section 631 filed 10-27-88 (Register 88, No. 45). For prior history, see Register 88, No. 3.
2. Editorial correction of HISTORY (Register 89, No. 3).
3. Amendment filed 11-28-88; operative 12-28-88 (Register 89, No. 11).
§632. Other Mental Health Personnel.
Note     •     History

The definitions of professional, administrative, and technical personnel listed above shall not be construed as limiting the establishment of positions in other categories. If, after persistent recruitment, persons with qualifications specified above cannot be obtained, the Department may permit exceptions to the requirements upon receiving a written request describing the recruitment efforts. Such exceptions to the personnel requirements shall be limited to a 12-month period subject to annual renewal by the Department.
NOTE

Authority cited: Section 5751, Welfare and Institutions Code. Reference: Sections 5751 and 5751.1, Welfare and Institutions Code.
HISTORY

1. Change without regulatory effect renumbering former Section 631 to Section 632 filed 10-27-88 (Register 88, No. 45). For history of former Section 631, see Registers 88, No. 3 and 76, No. 5.
2. Editorial correction of HISTORY (Register 89, No. 3).
Article 9. Accounting and Records
§640. Financial Records.

Records shall be kept so that they clearly reflect the cost of each type of service for which reimbursement is claimed. Where apportionment of costs is necessary, such as for inpatient psychiatric service in a general hospital, such apportionment shall be made according to accepted accounting principles in order to reflect the true cost of the services rendered.
§641. Patient Records.
History

HISTORY

1. Order of Repeal filed 6-3-85 by OAL pursuant to Government Code Section 11349.7; effective thirtieth day thereafter (Register 85, No. 26).
§642. Statistical Data.

Statistical data shall be kept and reports made as required by the department. Reports shall be made on forms provided by the department.
Article 10. Requirements for Inpatient Services
§660. Admission Procedures.
History

HISTORY

1. Repealer filed 1-13-83; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 83, No. 3).
§661. Medical-Surgical Services.
History

HISTORY

1. Repealer filed 1-13-83; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 83, No. 3).
§662. Discharges and Transfers.
History

HISTORY

1. Repealer filed 1-13-83; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 83, No. 3).
§663. Minimum Staff.
Note     •     History

Inpatient services shall be under an administrative director who qualifies under Section 620(d), 623, 624, 625, or 627. In addition to the director of the service, the minimum professional staff shall include a psychiatrist if the administrative director of the service is not a psychiatrist, who shall assume medical responsibility as defined in Section 522; a psychologist, social worker, registered nurse, and other nursing personnel under supervision of a registered nurse. Nursing personnel shall be present at all times. Physicians, psychiatrists, registered nurses and other mental health personnel shall be present or available at all times. Psychologists and social workers may be present on a time-limited basis.
Rehabilitation therapy, such as occupational therapy, should be available to the patients.
The minimum ratio of the full-time professional personnel to resident patients shall be as follows: 

	Ratio per
Personnel	100 Patients
Physicians	 5
Psychologists	 2
Social Workers	 2
Registered Nurses.	 20
Other Mental Health Personnel	 25

Total.	 54
NOTE

Authority cited: Sections 4011 and 5750, Welfare and Institutions Code. Reference: Secs. 5600 and 5767, W. & I. Code. Additional authority cited: Sections 5650, 5703.1, 5751, Welfare and Institutions Code. Additional references: Sections 5650, 5703.1, 5751, 5751.1, 5751.2, Welfare and Institutions Code.
HISTORY

1. Amendment filed 10-1-71; effective thirtieth day thereafter (Register 71, No. 40).
2. Amendment filed 1-28-76; effective thirtieth day thereafter (Register 76, No. 5).
3. Change without regulatory effect correcting internal cites filed 10-27-88 (Register 88, No. 45).
Article 11. Requirements for Outpatient Services
§680. Basic Requirements.
Note     •     History

Outpatient services in Local Mental Health Services shall include:
(a) Minimum Professional Staff. Outpatient services shall be under the direction of a person who qualifies under Section 623, 624, 625, 626, 627, 628, 629 or 630. In addition to the director, the minimum professional staff shall include a psychiatrist, psychologist, and social worker, except that under special circumstances the Department may authorize the operation of an outpatient service with less personnel. In addition, the staff may include qualified registered nurses and other professional disciplines.
A psychiatrist must assume medical responsibility as defined in Section 522, and be present at least half-time during which the services are provided except that under special circumstance the Department may modify this requirement.
In developmental disabilities and substance abuse programs a physician other than a psychiatrist may be substituted when this would be more appropriate to the treatment needs of the patient upon approval of the Department.
(b) Availability of Service. Outpatient services shall be reasonably available and accessible.
(c) Care and Staffing. A program of outpatient services should provide for continuity of care and flexibility of staffing to meet the needs of the individual patients.
(d) Integration of Staff Services. The services of the various professional disciplines shall be integrated through regular staff meetings and other conferences for joint planning and evaluation of treatment.
NOTE

Authority cited: Sections 5600.5 and 5751, Welfare and Institutions Code. Reference: Sections 5600.5, 5704, 5712, 5751 and 5751.3, Welfare and Institutions Code.
HISTORY

1. Amendment filed 1-28-76; effective thirtieth day thereafter (Register 76, No. 5).
2. Change without regulatory effect correcting internal cites filed 10-27-88 (Register 88, No. 45).
3. Amendment of subsection (a) filed 11-28-88; operative 12-28-88 (Register 89, No. 11).
Article 12. Requirements for Partial Hospitalization Services
§690. Minimum Professional Staff.
Note     •     History

Partial hospitalization service shall be under the direction of a person who qualifies under Section 623, 624, 625, 626, 627, 628, 629 or 630. In addition to the director the minimum professional staff shall include personnel necessary to achieve program objectives, such as psychiatrists, psychologists, social workers, nurses, educators, occupational therapists, mental health rehabilitation therapists, recreational therapists, psychiatric technicians, psychiatric aides, and other such personnel deemed necessary. Participation by different disciplines may vary according to program design and objectives.
NOTE

Authority cited: Sections 5600.5 and 5751, Welfare and Institutions Code. Reference: Sections 5600.5, 5704, 5712, 5751 and 5751.3, Welfare and Institutions Code.
HISTORY

1. Amendment filed 1-28-76; effective thirtieth day thereafter (Register 76, No. 5).
2. Change without regulatory effect correcting internal cites filed 10-27-88 (Register 88, No. 45).
3. Amendment filed 11-28-88; operative 12-28-88 (Register 89, No. 11).
§691. Medical Responsibility.
History

HISTORY

1. Amendment filed 1-28-76; effective thirtieth day thereafter (Register 76, No. 5).
2. Order of Repeal filed 6-3-85 by OAL pursuant to Government Code Section 11349.7; effective thirtieth day thereafter (Register 85, No. 26).
Article 13. Requirements for Emergency Services
§700. Basic Requirement.

The emergency service shall be readily available and accessible 24 hours a day, seven days a week.
Article 14. Purposes, Processes and Requirements of Consultation, Education and Information Services
§710. Purpose of Consultation Services.
Note     •     History

The purpose of consultation services with professionals and community agencies shall be to expand to their potential for:
(a) The promotion of mental health.
(b) The prevention of emotional disorders.
(c) The identification and resolution of mental health problems.
(d) The development and sustenance of the effectiveness of social systems.
NOTE

Authority cited: Sections 4012, 5651 and 5751, Welfare and Institutions Code. Reference: Sections 4012, 5453, 5601, 5651, 5661.5 and 5751, Welfare and Institutions Code.
HISTORY

1. Editorial correction adding NOTE filed 10-26-82 (Register 82, No. 44).
§711. Process of Consultation Services.
Note     •     History

The process for providing consultation services may include:
(a) Interaction with an agency or professional person in planning for collaboratively evaluating the client.
(b) Assistance to agencies in focusing their service functions and internal relationships.
(c) Involvement with other community agencies, groups, and individuals in planning, developing, integrating, coordinating, and evaluating a broad range of community services.
NOTE

Authority cited: Sections 4012, 5651 and 5751, Welfare and Institutions Code. Reference: Sections 4012, 5453, 5601, 5651, 5661.5 and 5751, Welfare and Institutions Code.
HISTORY

1. Editorial correction adding NOTE filed 10-26-82 (Register 82, No. 44).
§712. Purpose of Education Services.

The purpose of education services shall be:
(a) To motivate such individuals and groups to accept responsibility for personal and community mental health.
(b) To develop attitudes and practices facilitating positive interpersonal relationships.
§713. Process of Education Services.

The process of education services may be characterized by:
(a) The systematic structuring of experiences which will result in learning about mental health concepts.
(b) Involving as participants those individuals and groups, who, by reason of their functional role in the community, have a significant potential for affecting the mental health of others.
(c) A high degree of interpersonal interacting between participants of seminars, workshops, classes, and discussion groups to facilitate change.
(d) A major focusing on general aspects of a subject rather than on solutions of specific case problems.
(e) Assisting professionals in developing mental health knowledge and skills in the detection of emotional disorders and management of problems appropriate to their work.
§714. Purpose of Information Services.
Note     •     History

The purpose of information services is to inform the general public as to:
(a) Basic facts of mental health and emotional disorders.
(b) Mental health needs of the community.
(c) Existing community services and their utilization.
NOTE

Authority cited: Sections 4012, 5651 and 5751, Welfare and Institutions Code. Reference: Sections 4012, 5601, 5651, 5651.7, 5661.5 and 5751, Welfare and Institutions Code.
HISTORY

1. Editorial correction adding NOTE filed 10-26-82 (Register 82, No. 44).
§715. Process of Information Services.
History

HISTORY

1. Order of Repeal filed 6-3-85 by OAL pursuant to Government Code Section 11349.7; effective thirtieth day thereafter (Register 85, No. 26).
§716. Direction and Supervision.
Note     •     History

Consultation, education, and information services shall be provided by mental health personnel under the general direction of a person who qualifies under Sections 623, 624, 625, 626, or 627.
NOTE

Authority cited: Sections 5600.5 and 5751, Welfare and Institutions Code. Reference: Sections 5600.5, 5704, 5712, 5751 and 5751.3, Welfare and Institutions Code.
HISTORY

1. Amendment filed 1-28-76; effective thirtieth day thereafter (Register 76, No. 5).
2. Change without regulatory effect correcting internal cites filed 10-27-88 (Register 88, No. 45).
3. Amendment filed 11-28-88; operative 12-28-88 (Register 89, No. 11).
Article 15. Requirements for Diagnostic Services
§730. Basic Requirements.
Note     •     History

Where diagnostic services are reimbursable as a separate service under this subchapter, this service may include diagnosis, evaluation, referral, pre-petition screening and conservatorship recommendations.
NOTE

Authority cited: Sections 5600.5, 5712 and 5751, Welfare and Institutions Code. Reference: Sections 5150, 5151, 5008(a), (d), (f), 5152, 5202, 5352, 5352.5, 5458(a) and 5651(b), Welfare and Institutions Code.
HISTORY

1. Editorial correction adding NOTE filed 10-26-82 (Register 82, No. 44).
Article 16. Requirements for Rehabilitative Services
§740. Psychiatric Direction and Supervision.
Note     •     History

(a) Direction and Supervision. Rehabilitative services provided by a local mental health service or by contract shall be under the general direction of a person who qualifies under Section 623, 624, 625, 626, 627, 628, 629 or 630.
(b) Medical Responsibility. For rehabilitative services provided, a physician shall assume responsibility for all those acts of diagnosis, treatment, or prescribing or ordering of drugs which may only be performed by a licensed physician as authorized by Section 2051 of the Business and Professions Code.
NOTE

Authority cited: Sections 5600.5 and 5751, Welfare and Institutions Code. Reference: Sections 5453(c), 5600, 5651(f) and 5705.5, Welfare and Institutions Code.
HISTORY

1. Amendment filed 1-28-76; effective thirtieth day thereafter (Register 76, No. 5).
2. Change without regulatory effect correcting internal cites filed 10-27-88 (Register 88, No. 45).
3. Amendment filed 11-28-88; operative 12-28-88 (Register 89, No. 11).
§741. Treatment Plan for Patients.
History

A diagnosis taken from the Diagnostic and Statistical Manual of Mental Disorders is required for all patients served in rehabilitative services. At its inception, part of the treatment plan of each patient shall include an assessment of is potential for rehabilitation and the place of rehabilitative services in his total program. This plan should be reviewed and modified according to the patient's progress.
HISTORY

1. Amendment filed 1-28-76; effective thirtieth day thereafter (Register 76, No. 5).
§742. Minimum Staff.
History

HISTORY

1. Order of Repeal filed 6-3-85 by OAL pursuant to Government Code Section 11349.7; effective thirtieth day thereafter (Register 85, No. 26).
Article 17. Requirements for Precare and Aftercare Services
§750. Referral to Provide Continuity of Care.
History

HISTORY

1. Repealer of Article 17 (Section 750) filed 1-13-83; effective thirtieth day thereafter (Register 83, No. 3).
Article 18. Requirements for Training Services
§760. Reimbursement for Training Services.
Note     •     History

Training services in the Local Mental Health Service may be reimbursable as a separate service under this subchapter.
When the Training service is included in one of the other services in this subchapter as a reimbursable item it may include administrative costs, stipends and scholarships.
NOTE

Authority cited: Section 5751, Welfare and Institutions Code. Reference: Section 5761, Welfare and Institutions Code.
HISTORY

1. Editorial correction adding NOTE filed 10-26-82 (Register 82, No. 44).
§761. Minimum Staff.
History

HISTORY

1. Order of Repeal filed 6-3-85 by OAL pursuant to Government Code Section 11349.7; effective thirtieth day thereafter (Register 85, No. 26).
Article 19. Requirements for Research and Evaluation Services
§770. Standards for Research Personnel.
History

HISTORY

1. Amendment filed 5-11-70; effective thirtieth day thereafter (Register 70, No. 20).
2. Order of Repeal filed 6-3-85 by OAL pursuant to Government Code Section 11349.7; effective thirtieth day thereafter (Register 85, No. 26).
§771. Contracting for Services.

The Local Mental Health Service may contract for Research and Evaluation studies through public and private agencies, including the Department of Mental Hygiene. Personnel providing Research or Evaluation services by contract should have qualifications equal to similar personnel providing a direct Research or Evaluation service to the Local Mental Health Service.
§772. Method of Program Evaluation.
History

HISTORY

1. Amendment filed 5-11-70; effective thirtieth day thereafter (Register 70, No. 20).
2. Order of Repeal filed 6-3-85 by OAL pursuant to Government Code Section 11349.7; effective thirtieth day thereafter (Register 85, No. 26).
§773. Local Mental Health Service Research Committee.
Note     •     History

NOTE

Authority cited for Sections 773 through 780: Sections 5400 and 5750, Welfare and Institutions Code. Reference: Sections 5000 through 5767, Welfare and Institutions Code.
HISTORY

1. New Sections 773 through 780 filed 5-11-70; effective thirtieth day thereafter (Register 70, No. 20).
2. Order of Repeal filed 6-3-85 by OAL pursuant to Government Code Section 11349.7; effective thirtieth day thereafter (Register 85, No. 26).
§774. Research Funds.
History

Local Mental Health Services may apply directly to the grantor for non-state research funds, singly or collectively. When Local Mental Health Services apply with a facility of the Department for non-departmental research grant support, these grants shall come under the general administration of the Department of Mental Hygiene and require the approval of the Local Director before submission to the grantor. The application for the grant must include all direct and indirect costs of the proposed research, unless a specific exception to this requirement is authorized by the Department of Mental Hygiene.
HISTORY

1. New section filed 5-11-70; effective thirtieth day thereafter (Register 70, No. 20).
§775. Local Research Trust Fund.
History

HISTORY

1. New section filed 5-11-70; effective thirtieth day thereafter (Register 70, No. 20).
2. Order of Repeal filed 6-3-85 by OAL pursuant to Government Code Section 11349.7; effective thirtieth day thereafter (Register 85, No. 26).
§776. Application Review.
History

HISTORY

1. New section filed 5-11-70; effective thirtieth day thereafter (Register 70, No. 20).
2. Order of Repeal filed 6-3-85 by OAL pursuant to Government Code Section 11349.7; effective thirtieth day thereafter (Register 85, No. 26).
§777. Scientific Merit of Research Study.
History

The Local Director in charge of the local mental health service in which a research study is to be conducted in order to insure the scientific merit and relevance of the research shall obtain a written description of the proposed research study and determine the competence and integrity of the researchers prior to the commencement of a research study.
HISTORY

1. New section filed 5-11-70; effective thirtieth day thereafter (Register 70, No. 20).
§778. Personal Safety and Welfare of Research Subjects.
History

The local mental health service shall develop uniform policies, procedures, and forms prior to undertaking any research, to provide for the personal safety and welfare of all subjects involved in research conducted at any of the facilities under its jurisdiction. The participation of subjects in research shall be on the basis of informed consent. Satisfactory evidence of compliance with these procedures will be a necessary condition for Department of Mental Hygiene research support or reimbursement. To meet this condition, the local mental health service may comply with the department's policies and procedures pertaining to research subjects. These safeguards concerning human rights and welfare shall apply to all research at the facility.
HISTORY

1. New section filed 5-11-70; effective thirtieth day thereafter (Register 70, No. 20).
§779. Confidential Nature of Information and Records.
History

All personal data and information obtained from medical records in the course of research studies shall be confidential and may be disclosed only to qualified professional persons providing services to the patient or to other research personnel engaged in the study. No information obtained in the course of research may be released through publication or other research communication unless the person studied is unidentifiable.
HISTORY

1. New section filed 5-11-70; effective thirtieth day thereafter (Register 70, No. 20).
§780. Requirement of Oath of Confidentiality.
History

In order to perform research in facilities all researchers shall sign an oath of confidentiality, as follows:
                   _____________
                   Date
As a condition of doing research concerning persons who have received services from ____________ (fill in the facility, agency or person), I, ____________, agree not to divulge any information obtained in the course of such research to unauthorized persons, and not to publish or otherwise make public any information regarding persons who have received services such that the person who received services is identifiable.
I recognize that unauthorized release of confidential information may make me subject to a civil action under provisions of the Welfare and Institutions Code.
                                                                                                   Signed
HISTORY

1. New section filed 5-11-70; effective thirtieth day thereafter (Register 70, No. 20).
Article 20. Requirements for 72-Hour Detoxification, Treatment and Evaluation Service for Inebriates
NOTE

Authority cited: Section 5400, Welfare and Institutions Code. Reference: Sections 5170-5176, Welfare and Institutions Code.
HISTORY

1. New Article 20 (Sections 781 through 788) filed 3-16-73 as an emergency; effective upon filing (Register 73, No. 11).
2. Certificate of Compliance filed 7-12-73 (Register 73, No. 28).
3. Repealer of Article 20 (Sections 781-788) filed 4-29-82; effective thirtieth day thereafter (Register 82, No. 18). For prior history, see Register 76, No. 41.
Article 21. Intensive Treatment for Chronic Alcoholics
NOTE

Authority cited: Section 5400, Welfare and Institutions Code. Reference: Sections 5170-5176, Welfare and Institutions Code.
HISTORY

1. New Article 21 (Section 790) filed 3-16-73 as an emergency; effective upon filing (Register 73, No. 11).
2. Certificate of Compliance filed 7-12-73 (Register 73, No. 28). 
3. Amendment filed 7-13-73; effective thirtieth day thereafter (Register 73, No. 28).
4. Repealer of Article 21 (Section 790) filed 4-9-82; effective thirtieth day thereafter (Register 82, No. 15).
Article 22. Requirements for Social and Rehabilitation Services
HISTORY

1. New Article 22 (Section 795) filed 3-16-73 as an emergency; effective upon filing (Register 73, No. 11).
2. Certificate of Compliance filed 7-12-73 (Register 73, No. 28).
3. Repealer of Article 22 (Section 795) filed 1-13-83; effective thirtieth day thereafter (Register 83, No. 3).
Chapter 3.5. Mental Health Rehabilitation Centers
Article 1. Application
§781.00. Application of Chapter.
Note     •     History

This chapter shall apply to programs authorized by Welfare and Institutions Code Section 5768, hereinafter denoted as mental health rehabilitation centers.
NOTE

Authority cited: Sections 5675 and 5768, Welfare and Institutions Code; Section 3 of Chapter 678 of the Statutes of 1994. Reference: Sections 5675 and 5768, Welfare and Institutions Code.
HISTORY

1. New subchapter 3.5, article 1 and section filed 8-21-95 as an emergency; operative 8-21-95 (Register 95, No. 34). A Certificate of Compliance must be transmitted to OAL by 2-17-95 or emergency language will be repealed by operation of law on the following day.
2. Change without regulatory effect renumbering former chapter 3.5 (sections 781 through 795) to chapter 7 (sections 1101 through 1115, respectively) filed 8-31-95 pursuant to section 100, title 1, California Code of Regulations (Register 95, No. 34).
3. New subchapter 3.5, article 1 and section refiled 2-9-96 as an emergency; operative 2-9-96 (Register 96, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-8-96 or emergency language will be repealed by operation of law on the following day.
4. New subchapter 3.5, article 1 and section refiled 6-10-96 as an emergency; operative 6-10-96 (Register 96, No. 24). A Certificate of Compliance must be transmitted to OAL by 10-8-96 or emergency language will be repealed by operation of law on the following day.
5. New subchapter 3.5, article 1 and section refiled 10-8-96 as an emergency; operative 10-8-96 (Register 96, No. 41). A Certificate of Compliance must be transmitted to OAL by 2-5-97 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 10-8-96 order transmitted to OAL 2-5-97; disapproved by OAL and order of repeal as to 10-8-96 order filed on 3-21-97 (Register 97, No. 12).
7. New subchapter 3.5, article 1 and section filed 3-21-97 as an emergency; operative 3-21-97 (Register 97, No. 12). A Certificate of Compliance must be transmitted to OAL by 7-21-97 or emergency language will be repealed by operation of law on the following day.
8. Certificate of Compliance as to 3-21-97 order, including redesignation of subchapter 3.5 to chapter 3.5 and amendment of section heading and section, transmitted to OAL 7-21-97 and filed 8-21-97 (Register 97, No. 34).
Article 2. Definitions
§782.00. Application of Definitions.
Note     •     History

The definitions included in this article shall apply to the regulations contained in this chapter.
NOTE

Authority cited: Sections 5675 and 5768, Welfare and Institutions Code; Section 3 of Chapter 678 of the Statutes of 1994. Reference: Sections 5675 and 5768, Welfare and Institutions Code.
HISTORY

1. New article 2 and section filed 8-21-95 as an emergency; operative 8-21-95 (Register 95, No. 34). A Certificate of Compliance must be transmitted to OAL by 2-17-95 or emergency language will be repealed by operation of law on the following day.
2. Editorial correction of  History 1 (Register 96, No. 6).
3. New article 2 and section refiled 2-9-96 as an emergency; operative 2-9-96 (Register 96, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-8-96 or emergency language will be repealed by operation of law on the following day.
4. New article 2 and section refiled  6-10-96 as an emergency; operative 6-10-96 (Register 96, No. 24). A Certificate of Compliance must be transmitted to OAL by 10-8-96 or emergency language will be repealed by operation of law on the following day.
5. New article 2 and section refiled  10-8-96 as an emergency; operative 10-8-96 (Register 96, No. 41). A Certificate of Compliance must be transmitted to OAL by 2-5-97 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 10-8-96 order transmitted to OAL 2-5-97; disapproved by OAL and order of repeal as to 10-8-96 order filed on 3-21-97 (Register 97, No. 12).
7. New article 2 and section filed 3-21-97 as an emergency; operative 3-21-97 (Register 97, No. 12). A Certificate of Compliance must be transmitted to OAL by 7-21-97 or emergency language will be repealed by operation of law on the following day.
8. Certificate of Compliance as to 3-21-97 order, including amendment of section, transmitted to OAL 7-21-97 and filed 8-21-97 (Register 97, No. 34).
§782.10. Meaning of Words.
Note     •     History

Words shall have their usual meaning unless the context or a definition clearly indicates a different meaning. Words used in the present tense include the future; words in the singular number include the plural number; words in the plural number include the singular number. Shall means mandatory. May means permissive. Should means suggested and recommended.
NOTE

Authority cited: Sections 5675 and 5768, Welfare and Institutions Code; Section 3 of Chapter 678 of the Statutes of 1994. Reference: Sections 5675 and 5768, Welfare and Institutions Code.
HISTORY

1. New section filed 8-21-95 as an emergency; operative 8-21-95 (Register 95, No. 34). A Certificate of Compliance must be transmitted to OAL by 2-17-95 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 2-9-96 as an emergency; operative 2-9-96 (Register 96, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-8-96 or emergency language will be repealed by operation of law on the following day.
3. New section refiled  6-10-96 as an emergency; operative 6-10-96 (Register 96, No. 24). A Certificate of Compliance must be transmitted to OAL by 10-8-96 or emergency language will be repealed by operation of law on the following day.
4. Editorial correction of History 1 (Register 96, No. 41).
5. New section refiled 10-8-96 as an emergency; operative 10-8-96 (Register 96, No. 41). A Certificate of Compliance must be transmitted to OAL by 2-5-97 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 10-8-96 order transmitted to OAL 2-5-97; disapproved by OAL and order of repeal as to 10-8-96 order filed on 3-21-97 (Register 97, No. 12).
7. New section filed 3-21-97 as an emergency; operative 3-21-97 (Register 97, No. 12). A Certificate of Compliance must be transmitted to OAL by 7-21-97 or emergency language will be repealed by operation of law on the following day.
8. Certificate of Compliance as to 3-21-97 order transmitted to OAL 7-21-97 and filed 8-21-97 (Register 97, No. 34).
§782.11. Activity Coordinator.
Note     •     History

Activity Coordinator means a person who is an occupational therapist, music therapist, art therapist, dance therapist or recreation therapist, as defined in this chapter.
NOTE

Authority cited: Sections 5675 and 5768, Welfare and Institutions Code; Section 3 of Chapter 678 of the Statutes of 1994. Reference: Sections 5675 and 5768, Welfare and Institutions Code.
HISTORY

1. New section filed 8-21-95 as an emergency; operative 8-21-95 (Register 95, No. 34). A Certificate of Compliance must be transmitted to OAL by 2-17-95 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 2-9-96 as an emergency; operative 2-9-96 (Register 96, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-8-96 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 6-10-96 as an emergency; operative 6-10-96 (Register 96, No. 24). A Certificate of Compliance must be transmitted to OAL by 10-8-96 or emergency language will be repealed by operation of law on the following day.
4. New section refiled 10-8-96 as an emergency; operative 10-8-96 (Register 96, No. 41). A Certificate of Compliance must be transmitted to OAL by 2-5-97 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 10-8-96 order transmitted to OAL 2-5-97; disapproved by OAL and order of repeal as to 10-8-96 order filed on 3-21-97 (Register 97, No. 12).
6. New section filed 3-21-97 as an emergency; operative 3-21-97 (Register 97, No. 12). A Certificate of Compliance must be transmitted to OAL by 7-21-97 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 3-21-97 order, including repealer of former section 782.11, renumbering of former section 782.12 to new section 782.11, and amendment of section heading and section, transmitted to OAL 7-21-97 and filed 8-21-97 (Register 97, No. 34).
§782.12. Alteration.
Note     •     History

Alteration means any construction work other than maintenance in an existing building which does not increase the floor area or roof area or the volume of enclosed space.
NOTE

Authority cited: Sections 5675 and 5768, Welfare and Institutions Code; Section 3 of Chapter 678 of the Statutes of 1994. Reference: Sections 5675 and 5768, Welfare and Institutions Code.
HISTORY

1. New section filed 8-21-95 as an emergency; operative 8-21-95 (Register 95, No. 34). A Certificate of Compliance must be transmitted to OAL by 2-17-95 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 2-9-96 as an emergency; operative 2-9-96 (Register 96, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-8-96 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 6-10-96 as an emergency; operative 6-10-96 (Register 96, No. 24). A Certificate of Compliance must be transmitted to OAL by 10-8-96 or emergency language will be repealed by operation of law on the following day.
4. New section refiled 10-8-96 as an emergency; operative 10-8-96 (Register 96, No. 41). A Certificate of Compliance must be transmitted to OAL by 2-5-97 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 10-8-96 order transmitted to OAL 2-5-97; disapproved by OAL and order of repeal as to 10-8-96 order filed on 3-21-97 (Register 97, No. 12).
6. New section filed 3-21-97 as an emergency; operative 3-21-97 (Register 97, No. 12). A Certificate of Compliance must be transmitted to OAL by 7-21-97 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 3-21-97 order, including renumbering of former section 782.12 to new section 782.11, and renumbering of former section 782.13 to new section 782.12, transmitted to OAL 7-21-97 and filed 8-21-97 (Register 97, No. 34).
§782.13. Art Therapist.
Note     •     History

Art therapist means a person who is registered or eligible for registration as an art therapist with the American Art Therapy Association.
NOTE

Authority cited: Sections 5675 and 5768, Welfare and Institutions Code; Section 3 of Chapter 678 of the Statutes of 1994. Reference: Sections 5675 and 5768, Welfare and Institutions Code.
HISTORY

1. New section filed 8-21-95 as an emergency; operative 8-21-95 (Register 95, No. 34). A Certificate of Compliance must be transmitted to OAL by 2-17-95 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 2-9-96 as an emergency; operative 2-9-96 (Register 96, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-8-96 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 6-10-96 as an emergency; operative 6-10-96 (Register 96, No. 24). A Certificate of Compliance must be transmitted to OAL by 10-8-96 or emergency language will be repealed by operation of law on the following day.
4. New section refiled 10-8-96 as an emergency; operative 10-8-96 (Register 96, No. 41). A Certificate of Compliance must be transmitted to OAL by 2-5-97 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 10-8-96 order transmitted to OAL 2-5-97; disapproved by OAL and order of repeal as to 10-8-96 order filed on 3-21-97 (Register 97, No. 12).
6. New section filed 3-21-97 as an emergency; operative 3-21-97 (Register 97, No. 12). A Certificate of Compliance must be transmitted to OAL by 7-21-97 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 3-21-97 order, including renumbering of former section 782.13 to new section 782.12, and renumbering of former section 782.14 to new section 782.13, transmitted to OAL 7-21-97 and filed 8-21-97 (Register 97, No. 34).
§782.14. Client.
Note     •     History

Client means a person, 18 years of age or older, admitted to a mental health rehabilitation center for evaluation, observation, diagnosis, rehabilitation and treatment.
NOTE

Authority cited: Sections 5675 and 5768, Welfare and Institutions Code; Section 3 of Chapter 678 of the Statutes of 1994. Reference: Sections 5675 and 5768, Welfare and Institutions Code.
HISTORY

1. New section filed 8-21-95 as an emergency; operative 8-21-95 (Register 95, No. 34). A Certificate of Compliance must be transmitted to OAL by 2-17-95 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 2-9-96 as an emergency; operative 2-9-96 (Register 96, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-8-96 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 6-10-96 as an emergency; operative 6-10-96 (Register 96, No. 24). A Certificate of Compliance must be transmitted to OAL by 10-8-96 or emergency language will be repealed by operation of law on the following day.
4. New section refiled 10-8-96 as an emergency; operative 10-8-96 (Register 96, No. 41). A Certificate of Compliance must be transmitted to OAL by 2-5-97 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 10-8-96 order transmitted to OAL 2-5-97; disapproved by OAL and order of repeal as to 10-8-96 order filed on 3-21-97 (Register 97, No. 12).
6. New section filed 3-21-97 as an emergency; operative 3-21-97 (Register 97, No. 12). A Certificate of Compliance must be transmitted to OAL by 7-21-97 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 3-21-97 order, including renumbering of former section 782.14 to new section 782.13, and renumbering and amendment of former section 782.15 to new section 782.14, transmitted to OAL 7-21-97 and filed 8-21-97 (Register 97, No. 34).
§782.15. Client Record.
Note     •     History

Client record means a record that organizes all information on the care, treatment and rehabilitation rendered to a client in a mental health rehabilitation center.
NOTE

Authority cited: Sections 5675 and 5768, Welfare and Institutions Code; Section 3 of Chapter 678 of the Statutes of 1994. Reference: Sections 5675 and 5768, Welfare and Institutions Code.
HISTORY

1. New section filed 8-21-95 as an emergency; operative 8-21-95 (Register 95, No. 34). A Certificate of Compliance must be transmitted to OAL by 2-17-95 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 2-9-96 as an emergency; operative 2-9-96 (Register 96, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-8-96 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 6-10-96 as an emergency; operative 6-10-96 (Register 96, No. 24). A Certificate of Compliance must be transmitted to OAL by 10-8-96 or emergency language will be repealed by operation of law on the following day.
4. New section refiled 10-8-96 as an emergency; operative 10-8-96 (Register 96, No. 41). A Certificate of Compliance must be transmitted to OAL by 2-5-97 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 10-8-96 order transmitted to OAL 2-5-97; disapproved by OAL and order of repeal as to 10-8-96 order filed on 3-21-97 (Register 97, No. 12).
6. New section filed 3-21-97 as an emergency; operative 3-21-97 (Register 97, No. 12). A Certificate of Compliance must be transmitted to OAL by 7-21-97 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 3-21-97 order, including renumbering of former section 782.15 to new section 782.14, and renumbering of former section 782.16 to new section 782.15, transmitted to OAL 7-21-97 and filed 8-21-97 (Register 97, No. 34).
§782.16. Conservator.
Note     •     History

Conservator means a person appointed by a court pursuant to Section 5350 et seq. of the Welfare and Institutions Code.
NOTE

Authority cited: Sections 5675 and 5768, Welfare and Institutions Code; Section 3 of Chapter 678 of the Statutes of 1994. Reference: Sections 5675 and 5768, Welfare and Institutions Code.
HISTORY

1. New section filed 8-21-95 as an emergency; operative 8-21-95 (Register 95, No. 34). A Certificate of Compliance must be transmitted to OAL by 2-17-95 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 2-9-96 as an emergency; operative 2-9-96 (Register 96, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-8-96 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 6-10-96 as an emergency; operative 6-10-96 (Register 96, No. 24). A Certificate of Compliance must be transmitted to OAL by 10-8-96 or emergency language will be repealed by operation of law on the following day.
4. New section refiled 10-8-96 as an emergency; operative 10-8-96 (Register 96, No. 41). A Certificate of Compliance must be transmitted to OAL by 2-5-97 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 10-8-96 order transmitted to OAL 2-5-97; disapproved by OAL and order of repeal as to 10-8-96 order filed on 3-21-97 (Register 97, No. 12).
6. New section filed 3-21-97 as an emergency; operative 3-21-97 (Register 97, No. 12). A Certificate of Compliance must be transmitted to OAL by 7-21-97 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 3-21-97 order, including renumbering of former section 782.16 to new section 782.15, and renumbering of former section 782.17 to new section 782.16, transmitted to OAL 7-21-97 and filed 8-21-97 (Register 97, No. 34).
§782.17. Controlled Drugs.
Note     •     History

Controlled drugs means those drugs covered under the Federal Comprehensive Drug Abuse Prevention Control Act of 1970, as amended, or the California Uniform Controlled Substances Act.
NOTE

Authority cited: Sections 5675 and 5768, Welfare and Institutions Code; Section 3 of Chapter 678 of the Statutes of 1994. Reference: Sections 5675 and 5768, Welfare and Institutions Code.
HISTORY

1. New section filed 8-21-95 as an emergency; operative 8-21-95 (Register 95, No. 34). A Certificate of Compliance must be transmitted to OAL by 2-17-95 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 2-9-96 as an emergency; operative 2-9-96 (Register 96, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-8-96 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 6-10-96 as an emergency; operative 6-10-96 (Register 96, No. 24). A Certificate of Compliance must be transmitted to OAL by 10-8-96 or emergency language will be repealed by operation of law on the following day.
4. New section refiled 10-8-96 as an emergency; operative 10-8-96 (Register 96, No. 41). A Certificate of Compliance must be transmitted to OAL by 2-5-97 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 10-8-96 order transmitted to OAL 2-5-97; disapproved by OAL and order of repeal as to 10-8-96 order filed on 3-21-97 (Register 97, No. 12).
6. New section filed 3-21-97 as an emergency; operative 3-21-97 (Register 97, No. 12). A Certificate of Compliance must be transmitted to OAL by 7-21-97 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 3-21-97 order, including renumbering of former section 782.17 to new section 782.16, and renumbering of former section 782.18 to new section 782.17, transmitted to OAL 7-21-97 and filed 8-21-97 (Register 97, No. 34).
§782.18. Dance Therapist.
Note     •     History

Dance therapist means a person who is registered or eligible for registration as a dance therapist by the American Dance Therapy Association.
NOTE

Authority cited: Sections 5675 and 5768, Welfare and Institutions Code; Section 3 of Chapter 678 of the Statutes of 1994. Reference: Sections 5675 and 5768, Welfare and Institutions Code.
HISTORY

1. New section filed 8-21-95 as an emergency; operative 8-21-95 (Register 95, No. 34). A Certificate of Compliance must be transmitted to OAL by 2-17-95 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 2-9-96 as an emergency; operative 2-9-96 (Register 96, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-8-96 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 6-10-96 as an emergency; operative 6-10-96 (Register 96, No. 24). A Certificate of Compliance must be transmitted to OAL by 10-8-96 or emergency language will be repealed by operation of law on the following day.
4. New section refiled 10-8-96 as an emergency; operative 10-8-96 (Register 96, No. 41). A Certificate of Compliance must be transmitted to OAL by 2-5-97 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 10-8-96 order transmitted to OAL 2-5-97; disapproved by OAL and order of repeal as to 10-8-96 order filed on 3-21-97 (Register 97, No. 12).
6. New section filed 3-21-97 as an emergency; operative 3-21-97 (Register 97, No. 12). A Certificate of Compliance must be transmitted to OAL by 7-21-97 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 3-21-97 order, including renumbering of former section 782.18 to new section 782.17, and renumbering of former section 782.19 to new section 782.18, transmitted to OAL 7-21-97 and filed 8-21-97 (Register 97, No. 34).
§782.19. Department.
Note     •     History

Department means the State Department of Mental Health (see Section 4000 et seq. of the Welfare and Institutions Code).
NOTE

Authority cited: Sections 5675 and 5768, Welfare and Institutions Code; Section 3 of Chapter 678 of the Statutes of 1994. Reference: Sections 5675 and 5768, Welfare and Institutions Code.
HISTORY

1. New section filed 8-21-95 as an emergency; operative 8-21-95 (Register 95, No. 34). A Certificate of Compliance must be transmitted to OAL by 2-17-95 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 2-9-96 as an emergency; operative 2-9-96 (Register 96, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-8-96 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 6-10-96 as an emergency; operative 6-10-96 (Register 96, No. 24). A Certificate of Compliance must be transmitted to OAL by 10-8-96 or emergency language will be repealed by operation of law on the following day.
4. New section refiled 10-8-96 as an emergency; operative 10-8-96 (Register 96, No. 41). A Certificate of Compliance must be transmitted to OAL by 2-5-97 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 10-8-96 order transmitted to OAL 2-5-97; disapproved by OAL and order of repeal as to 10-8-96 order filed on 3-21-97 (Register 97, No. 12).
6. New section filed 3-21-97 as an emergency; operative 3-21-97 (Register 97, No. 12). A Certificate of Compliance must be transmitted to OAL by 7-21-97 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 3-21-97 order, including renumbering of former section 782.19 to new section 782.18, and renumbering of former section 782.20 to new section 782.19, transmitted to OAL 7-21-97 and filed 8-21-97 (Register 97, No. 34).
§782.20. Dietitian.
Note     •     History

Dietitian means a person who is registered or eligible for registration as a dietitian by the American Dietetic Association.
NOTE

Authority cited: Sections 5675 and 5768, Welfare and Institutions Code; Section 3 of Chapter 678 of the Statutes of 1994. Reference: Sections 5675 and 5768, Welfare and Institutions Code.
HISTORY

1. New section filed 8-21-95 as an emergency; operative 8-21-95 (Register 95, No. 34). A Certificate of Compliance must be transmitted to OAL by 2-17-95 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 2-9-96 as an emergency; operative 2-9-96 (Register 96, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-8-96 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 6-10-96 as an emergency; operative 6-10-96 (Register 96, No. 24). A Certificate of Compliance must be transmitted to OAL by 10-8-96 or emergency language will be repealed by operation of law on the following day.
4. New section refiled 10-8-96 as an emergency; operative 10-8-96 (Register 96, No. 41). A Certificate of Compliance must be transmitted to OAL by 2-5-97 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 10-8-96 order transmitted to OAL 2-5-97; disapproved by OAL and order of repeal as to 10-8-96 order filed on 3-21-97 (Register 97, No. 12).
6. New section filed 3-21-97 as an emergency; operative 3-21-97 (Register 97, No. 12). A Certificate of Compliance must be transmitted to OAL by 7-21-97 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 3-21-97 order, including renumbering of former section 782.20 to new section 782.19, and renumbering of former section 782.21 to new section 782.20, transmitted to OAL 7-21-97 and filed 8-21-97 (Register 97, No. 34).
§782.21. Director.
Note     •     History

Director means the Director of the State Department of Mental Health.
NOTE

Authority cited: Sections 5675 and 5768, Welfare and Institutions Code; Section 3 of Chapter 678 of the Statutes of 1994. Reference: Sections 5675 and 5768, Welfare and Institutions Code.
HISTORY

1. New section filed 8-21-95 as an emergency; operative 8-21-95 (Register 95, No. 34). A Certificate of Compliance must be transmitted to OAL by 2-17-95 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 2-9-96 as an emergency; operative 2-9-96 (Register 96, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-8-96 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 6-10-96 as an emergency; operative 6-10-96 (Register 96, No. 24). A Certificate of Compliance must be transmitted to OAL by 10-8-96 or emergency language will be repealed by operation of law on the following day.
4. New section refiled 10-8-96 as an emergency; operative 10-8-96 (Register 96, No. 41). A Certificate of Compliance must be transmitted to OAL by 2-5-97 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 10-8-96 order transmitted to OAL 2-5-97; disapproved by OAL and order of repeal as to 10-8-96 order filed on 3-21-97 (Register 97, No. 12).
6. New section filed 3-21-97 as an emergency; operative 3-21-97 (Register 97, No. 12). A Certificate of Compliance must be transmitted to OAL by 7-21-97 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 3-21-97 order, including renumbering of former section 782.21 to new section 782.20, and renumbering of former section 782.22 to new section 782.21, transmitted to OAL 7-21-97 and filed 8-21-97 (Register 97, No. 34).
§782.22. Drug.
Note     •     History

(a) Drug means the following:
(1) Articles intended for use in the diagnosis, cure, mitigation, treatment or prevention of disease in man or other animals.
(2) Articles (other than food) intended to affect the structure or any function of the body of man or other animals.
(3) Articles intended for use as a component of any article designated in subdivision (1) and (2) of this section.
(b) Legend drug means any of the following:
(1) Any drug labeled with the statement “Caution: Federal Law prohibits dispensing without prescription” or words of similar import.
(2) Any dangerous drug under Section 4022 of the Business and Professions Code.
NOTE

Authority cited: Sections 5675 and 5768, Welfare and Institutions Code; Section 3 of Chapter 678 of the Statutes of 1994. Reference: Sections 5675 and 5768, Welfare and Institutions Code.
HISTORY

1. New section filed 8-21-95 as an emergency; operative 8-21-95 (Register 95, No. 34). A Certificate of Compliance must be transmitted to OAL by 2-17-95 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 2-9-96 as an emergency; operative 2-9-96 (Register 96, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-8-96 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 6-10-96 as an emergency; operative 6-10-96 (Register 96, No. 24). A Certificate of Compliance must be transmitted to OAL by 10-8-96 or emergency language will be repealed by operation of law on the following day.
4. New section refiled 10-8-96 as an emergency; operative 10-8-96 (Register 96, No. 41). A Certificate of Compliance must be transmitted to OAL by 2-5-97 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 10-8-96 order transmitted to OAL 2-5-97; disapproved by OAL and order of repeal as to 10-8-96 order filed on 3-21-97 (Register 97, No. 12).
6. New section filed 3-21-97 as an emergency; operative 3-21-97 (Register 97, No. 12). A Certificate of Compliance must be transmitted to OAL by 7-21-97 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 3-21-97 order, including renumbering of former section 782.22 to new section 782.21, and renumbering and amendment of former section 782.23 to new section 782.22, transmitted to OAL 7-21-97 and filed 8-21-97 (Register 97, No. 34).
§782.23. Drug Administration.
Note     •     History

Drug administration means the act in which a single dose of a prescribed drug or biological is given to a client. The complete act of administration entails removing an individual dose from a container (including a unit dose container), verifying the dose with the prescriber's orders, giving the individual dose to the client and promptly recording the time and dose given.
NOTE

Authority cited: Sections 5675 and 5768, Welfare and Institutions Code; Section 3 of Chapter 678 of the Statutes of 1994. Reference: Sections 5675 and 5768, Welfare and Institutions Code.
HISTORY

1. New section filed 8-21-95 as an emergency; operative 8-21-95 (Register 95, No. 34). A Certificate of Compliance must be transmitted to OAL by 2-17-95 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 2-9-96 as an emergency; operative 2-9-96 (Register 96, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-8-96 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 6-10-96 as an emergency; operative 6-10-96 (Register 96, No. 24). A Certificate of Compliance must be transmitted to OAL by 10-8-96 or emergency language will be repealed by operation of law on the following day.
4. New section refiled 10-8-96 as an emergency; operative 10-8-96 (Register 96, No. 41). A Certificate of Compliance must be transmitted to OAL by 2-5-97 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 10-8-96 order transmitted to OAL 2-5-97; disapproved by OAL and order of repeal as to 10-8-96 order filed on 3-21-97 (Register 97, No. 12).
6. New section filed 3-21-97 as an emergency; operative 3-21-97 (Register 97, No. 12). A Certificate of Compliance must be transmitted to OAL by 7-21-97 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 3-21-97 order, including renumbering of former section 782.23 to new section 782.22, and renumbering of former section 782.24 to new section 782.23, transmitted to OAL 7-21-97 and filed 8-21-97 (Register 97, No. 34).
§782.24. Drug Dispensing.
Note     •     History

Drug dispensing means the act entailing the following of a prescription order for a drug or biological and the proper selection, measuring, packaging, labeling and issuance of the drug or biological to a client.
NOTE

Authority cited: Sections 5675 and 5768, Welfare and Institutions Code; Section 3 of Chapter 678 of the Statutes of 1994. Reference: Sections 5675 and 5768, Welfare and Institutions Code.
HISTORY

1. New section filed 8-21-95 as an emergency; operative 8-21-95 (Register 95, No. 34). A Certificate of Compliance must be transmitted to OAL by 2-17-95 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 2-9-96 as an emergency; operative 2-9-96 (Register 96, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-8-96 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 6-10-96 as an emergency; operative 6-10-96 (Register 96, No. 24). A Certificate of Compliance must be transmitted to OAL by 10-8-96 or emergency language will be repealed by operation of law on the following day.
4. New section refiled 10-8-96 as an emergency; operative 10-8-96 (Register 96, No. 41). A Certificate of Compliance must be transmitted to OAL by 2-5-97 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 10-8-96 order transmitted to OAL 2-5-97; disapproved by OAL and order of repeal as to 10-8-96 order filed on 3-21-97 (Register 97, No. 12).
6. New section filed 3-21-97 as an emergency; operative 3-21-97 (Register 97, No. 12). A Certificate of Compliance must be transmitted to OAL by 7-21-97 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 3-21-97 order, including renumbering of former section 782.24 to new section 782.23, and renumbering of former section 782.25 to new section 782.24, transmitted to OAL 7-21-97 and filed 8-21-97 (Register 97, No. 34).
§782.25. Mental Health Rehabilitation Center Director.
Note     •     History

Mental health rehabilitation center director means the licensee, or the adult designated by the licensee to act in his/her behalf in the overall administration or management of the mental health rehabilitation center.
NOTE

Authority cited: Sections 5675 and 5768, Welfare and Institutions Code; Section 3 of Chapter 678 of the Statutes of 1994. Reference: Sections 5675 and 5768, Welfare and Institutions Code.
HISTORY

1. New section filed 8-21-95 as an emergency; operative 8-21-95 (Register 95, No. 34). A Certificate of Compliance must be transmitted to OAL by 2-17-95 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 2-9-96 as an emergency; operative 2-9-96 (Register 96, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-8-96 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 6-10-96 as an emergency; operative 6-10-96 (Register 96, No. 24). A Certificate of Compliance must be transmitted to OAL by 10-8-96 or emergency language will be repealed by operation of law on the following day.
4. New section refiled 10-8-96 as an emergency; operative 10-8-96 (Register 96, No. 41). A Certificate of Compliance must be transmitted to OAL by 2-5-97 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 10-8-96 order transmitted to OAL 2-5-97; disapproved by OAL and order of repeal as to 10-8-96 order filed on 3-21-97 (Register 97, No. 12).
6. New section filed 3-21-97 as an emergency; operative 3-21-97 (Register 97, No. 12). A Certificate of Compliance must be transmitted to OAL by 7-21-97 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 3-21-97 order, including renumbering of former section 782.25 to new section 782.24, and renumbering of former section 782.26 to new section 782.25 with amendment of section heading and repealer and new section, transmitted to OAL 7-21-97 and filed 8-21-97 (Register 97, No. 34).
§782.26. Licensed Mental Health Professional.
Note     •     History

Licensed mental health professional means any of the following:
(a) A licensed psychologist as defined in these regulations.
(b) A physician as defined in these regulations.
(c) A licensed clinical social worker as defined in these regulations.
(d) A licensed marriage, family and child counselor as defined in these regulations.
NOTE

Authority cited: Sections 5675 and 5768, Welfare and Institutions Code; Section 3 of Chapter 678 of the Statutes of 1994. Reference: Sections 5675 and 5768, Welfare and Institutions Code.
HISTORY

1. New section filed 8-21-95 as an emergency; operative 8-21-95 (Register 95, No. 34). A Certificate of Compliance must be transmitted to OAL by 2-17-95 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 2-9-96 as an emergency; operative 2-9-96 (Register 96, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-8-96 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 6-10-96 as an emergency; operative 6-10-96 (Register 96, No. 24). A Certificate of Compliance must be transmitted to OAL by 10-8-96 or emergency language will be repealed by operation of law on the following day.
4. New section refiled 10-8-96 as an emergency; operative 10-8-96 (Register 96, No. 41). A Certificate of Compliance must be transmitted to OAL by 2-5-97 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 10-8-96 order transmitted to OAL 2-5-97; disapproved by OAL and order of repeal as to 10-8-96 order filed on 3-21-97 (Register 97, No. 12).
6. New section filed 3-21-97 as an emergency; operative 3-21-97 (Register 97, No. 12). A Certificate of Compliance must be transmitted to OAL by 7-21-97 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 3-21-97 order, including renumbering of former section 782.26 to new section 782.25, and new section 782.26, transmitted to OAL 7-21-97 and filed 8-21-97 (Register 97, No. 34).
§782.27. Licensed Nursing Staff.
Note     •     History

Licensed nursing staff means a licensed registered nurse, licensed vocational nurse or a licensed psychiatric technician as defined in this chapter, and employed by a mental health rehabilitation center to perform functions within their scope of practice.
NOTE

Authority cited: Sections 5675 and 5768, Welfare and Institutions Code; Section 3 of Chapter 678 of the Statutes of 1994. Reference: Sections 5675 and 5768, Welfare and Institutions Code.
HISTORY

1. New section filed 8-21-95 as an emergency; operative 8-21-95 (Register 95, No. 34). A Certificate of Compliance must be transmitted to OAL by 2-17-95 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 2-9-96 as an emergency; operative 2-9-96 (Register 96, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-8-96 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 6-10-96 as an emergency; operative 6-10-96 (Register 96, No. 24). A Certificate of Compliance must be transmitted to OAL by 10-8-96 or emergency language will be repealed by operation of law on the following day.
4. New section refiled 10-8-96 as an emergency; operative 10-8-96 (Register 96, No. 41). A Certificate of Compliance must be transmitted to OAL by 2-5-97 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 10-8-96 order transmitted to OAL 2-5-97; disapproved by OAL and order of repeal as to 10-8-96 order filed on 3-21-97 (Register 97, No. 12).
6. New section filed 3-21-97 as an emergency; operative 3-21-97 (Register 97, No. 12). A Certificate of Compliance must be transmitted to OAL by 7-21-97 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 3-21-97 order, including repealer of former section 782.27 and renumbering and amendment of former section 782.28 to new section 782.27, transmitted to OAL 7-21-97 and filed 8-21-97 (Register 97, No. 34).
§782.28. Licensed Psychiatric Technician.
Note     •     History

Licensed psychiatric technician means a person licensed as a psychiatric technician by the California Board of Vocational Nurse and Psychiatric Technician Examiners.
NOTE

Authority cited: Sections 5675 and 5768, Welfare and Institutions Code; Section 3 of Chapter 678 of the Statutes of 1994. Reference: Sections 5675 and 5768, Welfare and Institutions Code.
HISTORY

1. New section filed 8-21-95 as an emergency; operative 8-21-95 (Register 95, No. 34). A Certificate of Compliance must be transmitted to OAL by 2-17-95 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 2-9-96 as an emergency; operative 2-9-96 (Register 96, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-8-96 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 6-10-96 as an emergency; operative 6-10-96 (Register 96, No. 24). A Certificate of Compliance must be transmitted to OAL by 10-8-96 or emergency language will be repealed by operation of law on the following day.
4. New section refiled 10-8-96 as an emergency; operative 10-8-96 (Register 96, No. 41). A Certificate of Compliance must be transmitted to OAL by 2-5-97 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 10-8-96 order transmitted to OAL 2-5-97; disapproved by OAL and order of repeal as to 10-8-96 order filed on 3-21-97 (Register 97, No. 12).
6. New section filed 3-21-97 as an emergency; operative 3-21-97 (Register 97, No. 12). A Certificate of Compliance must be transmitted to OAL by 7-21-97 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 3-21-97 order, including renumbering of former section 782.28 to new section 782.27, and renumbering of former section 782.29 to new section 782.28, transmitted to OAL 7-21-97 and filed 8-21-97 (Register 97, No. 34).
§782.29. Licensed Vocational Nurse.
Note     •     History

Licensed vocational nurse means a person licensed as a licensed vocational nurse by the California Board of Vocational Nurse and Psychiatric Technician Examiners.
NOTE

Authority cited: Sections 5675 and 5768, Welfare and Institutions Code; Section 3 of Chapter 678 of the Statutes of 1994. Reference: Sections 5675 and 5768, Welfare and Institutions Code.
HISTORY

1. New section filed 8-21-95 as an emergency; operative 8-21-95 (Register 95, No. 34). A Certificate of Compliance must be transmitted to OAL by 2-17-95 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 2-9-96 as an emergency; operative 2-9-96 (Register 96, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-8-96 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 6-10-96 as an emergency; operative 6-10-96 (Register 96, No. 24). A Certificate of Compliance must be transmitted to OAL by 10-8-96 or emergency language will be repealed by operation of law on the following day.
4. New section refiled 10-8-96 as an emergency; operative 10-8-96 (Register 96, No. 41). A Certificate of Compliance must be transmitted to OAL by 2-5-97 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 10-8-96 order transmitted to OAL 2-5-97; disapproved by OAL and order of repeal as to 10-8-96 order filed on 3-21-97 (Register 97, No. 12).
6. New section filed 3-21-97 as an emergency; operative 3-21-97 (Register 97, No. 12). A Certificate of Compliance must be transmitted to OAL by 7-21-97 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 3-21-97 order, including renumbering of former section 782.29 to new section 782.28, and renumbering of former section 782.30 to new section 782.29, transmitted to OAL 7-21-97 and filed 8-21-97 (Register 97, No. 34).
§782.30. Licensee.
Note     •     History

Licensee means the person, persons, firm, partnership, association, organization, company, corporation, business trust, political subdivision of the state, or other governmental agency to whom a license has been issued.
NOTE

Authority cited: Sections 5675 and 5768, Welfare and Institutions Code; Section 3 of Chapter 678 of the Statutes of 1994. Reference: Sections 5675 and 5768, Welfare and Institutions Code.
HISTORY

1. New section filed 8-21-95 as an emergency; operative 8-21-95 (Register 95, No. 34). A Certificate of Compliance must be transmitted to OAL by 2-17-95 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 2-9-96 as an emergency; operative 2-9-96 (Register 96, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-8-96 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 6-10-96 as an emergency; operative 6-10-96 (Register 96, No. 24). A Certificate of Compliance must be transmitted to OAL by 10-8-96 or emergency language will be repealed by operation of law on the following day.
4. New section refiled 10-8-96 as an emergency; operative 10-8-96 (Register 96, No. 41). A Certificate of Compliance must be transmitted to OAL by 2-5-97 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 10-8-96 order transmitted to OAL 2-5-97; disapproved by OAL and order of repeal as to 10-8-96 order filed on 3-21-97 (Register 97, No. 12).
6. New section filed 3-21-97 as an emergency; operative 3-21-97 (Register 97, No. 12). A Certificate of Compliance must be transmitted to OAL by 7-21-97 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 3-21-97 order, including renumbering of former section 782.30 to new section 782.29, and renumbering of former section 782.31 to new section 782.30, transmitted to OAL 7-21-97 and filed 8-21-97 (Register 97, No. 34).
§782.31. Local Bank.
Note     •     History

Local bank means a bank or branch of that bank which is in the same neighborhood, community, city or county in which the mental health rehabilitation center is physically located.
NOTE

Authority cited: Sections 5675 and 5768, Welfare and Institutions Code; Section 3 of Chapter 678 of the Statutes of 1994. Reference: Sections 5675 and 5768, Welfare and Institutions Code.
HISTORY

1. New section filed 8-21-95 as an emergency; operative 8-21-95 (Register 95, No. 34). A Certificate of Compliance must be transmitted to OAL by 2-17-95 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 2-9-96 as an emergency; operative 2-9-96 (Register 96, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-8-96 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 6-10-96 as an emergency; operative 6-10-96 (Register 96, No. 24). A Certificate of Compliance must be transmitted to OAL by 10-8-96 or emergency language will be repealed by operation of law on the following day.
4. New section refiled 10-8-96 as an emergency; operative 10-8-96 (Register 96, No. 41). A Certificate of Compliance must be transmitted to OAL by 2-5-97 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 10-8-96 order transmitted to OAL 2-5-97; disapproved by OAL and order of repeal as to 10-8-96 order filed on 3-21-97 (Register 97, No. 12).
6. New section filed 3-21-97 as an emergency; operative 3-21-97 (Register 97, No. 12). A Certificate of Compliance must be transmitted to OAL by 7-21-97 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 3-21-97 order, including renumbering of former section 782.31 to new section 782.30, and renumbering and amendment of former section 782.32 to new section 782.31, transmitted to OAL 7-21-97 and filed 8-21-97 (Register 97, No. 34).
§782.32. Marriage, Family and Child Counselor.
Note     •     History

Marriage, Family and Child Counselor means a person licensed as a marriage, family and child counselor by the California Board of Behavioral Science Examiners, or persons granted a waiver pursuant to Section 5751.2 of the Welfare and Institutions Code.
NOTE

Authority cited: Sections 5675 and 5768, Welfare and Institutions Code; Section 3 of Chapter 678 of the Statutes of 1994. Reference: Sections 5675 and 5768, Welfare and Institutions Code.
HISTORY

1. New section filed 8-21-95 as an emergency; operative 8-21-95 (Register 95, No. 34). A Certificate of Compliance must be transmitted to OAL by 2-17-95 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 2-9-96 as an emergency; operative 2-9-96 (Register 96, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-8-96 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 6-10-96 as an emergency; operative 6-10-96 (Register 96, No. 24). A Certificate of Compliance must be transmitted to OAL by 10-8-96 or emergency language will be repealed by operation of law on the following day.
4. New section refiled 10-8-96 as an emergency; operative 10-8-96 (Register 96, No. 41). A Certificate of Compliance must be transmitted to OAL by 2-5-97 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 10-8-96 order transmitted to OAL 2-5-97; disapproved by OAL and order of repeal as to 10-8-96 order filed on 3-21-97 (Register 97, No. 12).
6. New section filed 3-21-97 as an emergency; operative 3-21-97 (Register 97, No. 12). A Certificate of Compliance must be transmitted to OAL by 7-21-97 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 3-21-97 order, including renumbering of former section 782.32 to new section 782.31, and renumbering of former section 782.33 to new section 782.32, transmitted to OAL 7-21-97 and filed 8-21-97 (Register 97, No. 34).
§782.33. Medication.
Note     •     History

For the purposes of this chapter, medication shall mean the same as drug as defined in Section 782.22.
NOTE

Authority cited: Sections 5675 and 5768, Welfare and Institutions Code; Section 3 of Chapter 678 of the Statutes of 1994. Reference: Sections 5675 and 5768, Welfare and Institutions Code.
HISTORY

1. New section filed 8-21-95 as an emergency; operative 8-21-95 (Register 95, No. 34). A Certificate of Compliance must be transmitted to OAL by 2-17-95 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 2-9-96 as an emergency; operative 2-9-96 (Register 96, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-8-96 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 6-10-96 as an emergency; operative 6-10-96 (Register 96, No. 24). A Certificate of Compliance must be transmitted to OAL by 10-8-96 or emergency language will be repealed by operation of law on the following day.
4. New section refiled 10-8-96 as an emergency; operative 10-8-96 (Register 96, No. 41). A Certificate of Compliance must be transmitted to OAL by 2-5-97 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 10-8-96 order transmitted to OAL 2-5-97; disapproved by OAL and order of repeal as to 10-8-96 order filed on 3-21-97 (Register 97, No. 12).
6. New section filed 3-21-97 as an emergency; operative 3-21-97 (Register 97, No. 12). A Certificate of Compliance must be transmitted to OAL by 7-21-97 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 3-21-97 order, including renumbering and amendment of former section 782.33 to new section 782.32, and renumbering and amendment of former section 782.34 to new section 782.33, transmitted to OAL 7-21-97 and filed 8-21-97 (Register 97, No. 34).
§782.34. Mental Health Rehabilitation Center.
Note     •     History

Mental health rehabilitation center means a 24-hour program, licensed by the Department, which provides intensive support and rehabilitation services designed to assist persons, 18 years or older, with mental disorders who would have been placed in a state hospital or another mental health facility to develop the skills to become self-sufficient and capable of increasing levels of independent functioning.
NOTE

Authority cited: Sections 5675 and 5768, Welfare and Institutions Code; Section 3 of Chapter 678 of the Statutes of 1994. Reference: Sections 5675 and 5768, Welfare and Institutions Code.
HISTORY

1. New section filed 8-21-95 as an emergency; operative 8-21-95 (Register 95, No. 34). A Certificate of Compliance must be transmitted to OAL by 2-17-95 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 2-9-96 as an emergency; operative 2-9-96 (Register 96, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-8-96 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 6-10-96 as an emergency; operative 6-10-96 (Register 96, No. 24). A Certificate of Compliance must be transmitted to OAL by 10-8-96 or emergency language will be repealed by operation of law on the following day.
4. New section refiled 10-8-96 as an emergency; operative 10-8-96 (Register 96, No. 41). A Certificate of Compliance must be transmitted to OAL by 2-5-97 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 10-8-96 order transmitted to OAL 2-5-97; disapproved by OAL and order of repeal as to 10-8-96 order filed on 3-21-97 (Register 97, No. 12).
6. New section filed 3-21-97 as an emergency; operative 3-21-97 (Register 97, No. 12). A Certificate of Compliance must be transmitted to OAL by 7-21-97 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 3-21-97 order, including renumbering of former section 782.34 to new section 782.33, and renumbering and amendment of former section 782.35 to new section 782.34, transmitted to OAL 7-21-97 and filed 8-21-97 (Register 97, No. 34).
§782.35. Mental Health Rehabilitation Specialist.
Note     •     History

Mental Health Rehabilitation Specialist means a person who has a baccalaureate degree and four years of experience in a mental health setting as a specialist in the fields of physical restoration, social adjustment, or vocational adjustment. Up to two years of graduate professional education may be substituted for the experience requirement on a year-to-year basis; up to two years of post associate arts clinical experience may be substituted for the required education.
NOTE

Authority cited: Sections 5675 and 5768, Welfare and Institutions Code; Section 3 of Chapter 678 of the Statutes of 1994. Reference: Sections 5675 and 5768, Welfare and Institutions Code.
HISTORY

1. New section filed 8-21-95 as an emergency; operative 8-21-95 (Register 95, No. 34). A Certificate of Compliance must be transmitted to OAL by 2-17-95 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 2-9-96 as an emergency; operative 2-9-96 (Register 96, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-8-96 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 6-10-96 as an emergency; operative 6-10-96 (Register 96, No. 24). A Certificate of Compliance must be transmitted to OAL by 10-8-96 or emergency language will be repealed by operation of law on the following day.
4. New section refiled 10-8-96 as an emergency; operative 10-8-96 (Register 96, No. 41). A Certificate of Compliance must be transmitted to OAL by 2-5-97 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 10-8-96 order transmitted to OAL 2-5-97; disapproved by OAL and order of repeal as to 10-8-96 order filed on 3-21-97 (Register 97, No. 12).
6. New section filed 3-21-97 as an emergency; operative 3-21-97 (Register 97, No. 12). A Certificate of Compliance must be transmitted to OAL by 7-21-97 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 3-21-97 order, including renumbering of former section 782.35 to new section 782.34, and renumbering and amendment of former section 782.36 to new section 782.35, transmitted to OAL 7-21-97 and filed 8-21-97 (Register 97, No. 34).
§782.36. Music Therapist.
Note     •     History

Music therapist means a person who has a bachelor's degree in music therapy and who is registered or eligible for registration as a music therapist by the National Association for Music Therapy.
NOTE

Authority cited: Sections 5675 and 5768, Welfare and Institutions Code; Section 3 of Chapter 678 of the Statutes of 1994. Reference: Sections 5675 and 5768, Welfare and Institutions Code.
HISTORY

1. New section filed 8-21-95 as an emergency; operative 8-21-95 (Register 95, No. 34). A Certificate of Compliance must be transmitted to OAL by 2-17-95 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 2-9-96 as an emergency; operative 2-9-96 (Register 96, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-8-96 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 6-10-96 as an emergency; operative 6-10-96 (Register 96, No. 24). A Certificate of Compliance must be transmitted to OAL by 10-8-96 or emergency language will be repealed by operation of law on the following day.
4. New section refiled 10-8-96 as an emergency; operative 10-8-96 (Register 96, No. 41). A Certificate of Compliance must be transmitted to OAL by 2-5-97 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 10-8-96 order transmitted to OAL 2-5-97; disapproved by OAL and order of repeal as to 10-8-96 order filed on 3-21-97 (Register 97, No. 12).
6. New section filed 3-21-97 as an emergency; operative 3-21-97 (Register 97, No. 12). A Certificate of Compliance must be transmitted to OAL by 7-21-97 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 3-21-97 order, including renumbering of former section 782.36 to new section 782.35, and renumbering of former section 782.37 to new section 782.36, transmitted to OAL 7-21-97 and filed 8-21-97 (Register 97, No. 34).
§782.37. Occupational Therapist.
Note     •     History

Occupational therapist means a person who is registered or who is eligible for registration as an occupational therapist by the American Occupational Therapy Association.
NOTE

Authority cited: Sections 5675 and 5768, Welfare and Institutions Code; Section 3 of Chapter 678 of the Statutes of 1994. Reference: Sections 5675 and 5768, Welfare and Institutions Code.
HISTORY

1. New section filed 8-21-95 as an emergency; operative 8-21-95 (Register 95, No. 34). A Certificate of Compliance must be transmitted to OAL by 2-17-95 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 2-9-96 as an emergency; operative 2-9-96 (Register 96, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-8-96 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 6-10-96 as an emergency; operative 6-10-96 (Register 96, No. 24). A Certificate of Compliance must be transmitted to OAL by 10-8-96 or emergency language will be repealed by operation of law on the following day.
4. New section refiled 10-8-96 as an emergency; operative 10-8-96 (Register 96, No. 41). A Certificate of Compliance must be transmitted to OAL by 2-5-97 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 10-8-96 order transmitted to OAL 2-5-97; disapproved by OAL and order of repeal as to 10-8-96 order filed on 3-21-97 (Register 97, No. 12).
6. New section filed 3-21-97 as an emergency; operative 3-21-97 (Register 97, No. 12). A Certificate of Compliance must be transmitted to OAL by 7-21-97 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 3-21-97 order, including renumbering of former section 782.37 to new section 782.36, and renumbering of former section 782.38 to new section 782.37, transmitted to OAL 7-21-97 and filed 8-21-97 (Register 97, No. 34).
§782.38. Pharmacist.
Note     •     History

Pharmacist means a person licensed as a pharmacist by the California Board of Pharmacy.
NOTE

Authority cited: Sections 5675 and 5768, Welfare and Institutions Code; Section 3 of Chapter 678 of the Statutes of 1994. Reference: Sections 5675 and 5768, Welfare and Institutions Code.
HISTORY

1. New section filed 8-21-95 as an emergency; operative 8-21-95 (Register 95, No. 34). A Certificate of Compliance must be transmitted to OAL by 2-17-95 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 2-9-96 as an emergency; operative 2-9-96 (Register 96, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-8-96 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 6-10-96 as an emergency; operative 6-10-96 (Register 96, No. 24). A Certificate of Compliance must be transmitted to OAL by 10-8-96 or emergency language will be repealed by operation of law on the following day.
4. New section refiled 10-8-96 as an emergency; operative 10-8-96 (Register 96, No. 41). A Certificate of Compliance must be transmitted to OAL by 2-5-97 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 10-8-96 order transmitted to OAL 2-5-97; disapproved by OAL and order of repeal as to 10-8-96 order filed on 3-21-97 (Register 97, No. 12).
6. New section filed 3-21-97 as an emergency; operative 3-21-97 (Register 97, No. 12). A Certificate of Compliance must be transmitted to OAL by 7-21-97 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 3-21-97 order, including renumbering of former section 782.38 to new section 782.37, and renumbering of former section 782.39 to new section 782.38, transmitted to OAL 7-21-97 and filed 8-21-97 (Register 97, No. 34).
§782.39. Physician.
Note     •     History

Physician means a person licensed as a physician and surgeon by the California Medical Board or by the Board of Osteopathic Examiners.
NOTE

Authority cited: Sections 5675 and 5768, Welfare and Institutions Code; Section 3 of Chapter 678 of the Statutes of 1994. Reference: Sections 5675 and 5768, Welfare and Institutions Code.
HISTORY

1. New section filed 8-21-95 as an emergency; operative 8-21-95 (Register 95, No. 34). A Certificate of Compliance must be transmitted to OAL by 2-17-95 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 2-9-96 as an emergency; operative 2-9-96 (Register 96, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-8-96 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 6-10-96 as an emergency; operative 6-10-96 (Register 96, No. 24). A Certificate of Compliance must be transmitted to OAL by 10-8-96 or emergency language will be repealed by operation of law on the following day.
4. New section refiled 10-8-96 as an emergency; operative 10-8-96 (Register 96, No. 41). A Certificate of Compliance must be transmitted to OAL by 2-5-97 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 10-8-96 order transmitted to OAL 2-5-97; disapproved by OAL and order of repeal as to 10-8-96 order filed on 3-21-97 (Register 97, No. 12).
6. New section filed 3-21-97 as an emergency; operative 3-21-97 (Register 97, No. 12). A Certificate of Compliance must be transmitted to OAL by 7-21-97 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 3-21-97 order, including renumbering of former section 782.39 to new section 782.38, and renumbering of former section 782.40 to new section 782.39, transmitted to OAL 7-21-97 and filed 8-21-97 (Register 97, No. 34).
§782.40. Program Director.
Note     •     History

Program director means an individual designated in writing by the licensee who meets the criteria of Sections 623, 624, 625, 626, 627, 628, 629, 630 of Title 9 of the California Code of Regulations.
NOTE

Authority cited: Sections 5675 and 5768, Welfare and Institutions Code; Section 3 of Chapter 678 of the Statutes of 1994. Reference: Sections 5675 and 5768, Welfare and Institutions Code.
HISTORY

1. New section filed 8-21-95 as an emergency; operative 8-21-95 (Register 95, No. 34). A Certificate of Compliance must be transmitted to OAL by 2-17-95 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 2-9-96 as an emergency; operative 2-9-96 (Register 96, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-8-96 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 6-10-96 as an emergency; operative 6-10-96 (Register 96, No. 24). A Certificate of Compliance must be transmitted to OAL by 10-8-96 or emergency language will be repealed by operation of law on the following day.
4. New section refiled 10-8-96 as an emergency; operative 10-8-96 (Register 96, No. 41). A Certificate of Compliance must be transmitted to OAL by 2-5-97 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 10-8-96 order transmitted to OAL 2-5-97; disapproved by OAL and order of repeal as to 10-8-96 order filed on 3-21-97 (Register 97, No. 12).
6. New section filed 3-21-97 as an emergency; operative 3-21-97 (Register 97, No. 12). A Certificate of Compliance must be transmitted to OAL by 7-21-97 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 3-21-97 order, including renumbering of former section 782.40 to new section 782.39, and renumbering of former section 782.41 to new section 782.40, transmitted to OAL 7-21-97 and filed 8-21-97 (Register 97, No. 34).
§782.41. Postural Support.
Note     •     History

Postural support means devices that are applied to assist persons in achieving proper body position or balance, whether to prevent injury to those who cannot sit or lie in bed without falling, or to improve a person's mobility and independent functioning.
NOTE

Authority cited: Sections 5675 and 5768, Welfare and Institutions Code; Section 3 of Chapter 678 of the Statutes of 1994. Reference: Sections 5675 and 5768, Welfare and Institutions Code.
HISTORY

1. New section filed 8-21-95 as an emergency; operative 8-21-95 (Register 95, No. 34). A Certificate of Compliance must be transmitted to OAL by 2-17-95 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 2-9-96 as an emergency; operative 2-9-96 (Register 96, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-8-96 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 6-10-96 as an emergency; operative 6-10-96 (Register 96, No. 24). A Certificate of Compliance must be transmitted to OAL by 10-8-96 or emergency language will be repealed by operation of law on the following day.
4. New section refiled 10-8-96 as an emergency; operative 10-8-96 (Register 96, No. 41). A Certificate of Compliance must be transmitted to OAL by 2-5-97 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 10-8-96 order transmitted to OAL 2-5-97; disapproved by OAL and order of repeal as to 10-8-96 order filed on 3-21-97 (Register 97, No. 12).
6. New section filed 3-21-97 as an emergency; operative 3-21-97 (Register 97, No. 12). A Certificate of Compliance must be transmitted to OAL by 7-21-97 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 3-21-97 order, including renumbering of former section 782.41 to new section 782.40, and renumbering of former section 782.42 to new section 782.41, transmitted to OAL 7-21-97 and filed 8-21-97 (Register 97, No. 34).
§782.42. Psychologist.
Note     •     History

Psychologist means a person licensed as a psychologist by the California Board of Psychology, or persons granted a waiver pursuant to Section 5751.2 of the Welfare and Institutions Code.
NOTE

Authority cited: Sections 5675 and 5768, Welfare and Institutions Code; Section 3 of Chapter 678 of the Statutes of 1994. Reference: Sections 5675 and 5768, Welfare and Institutions Code.
HISTORY

1. New section filed 8-21-95 as an emergency; operative 8-21-95 (Register 95, No. 34). A Certificate of Compliance must be transmitted to OAL by 2-17-95 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 2-9-96 as an emergency; operative 2-9-96 (Register 96, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-8-96 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 6-10-96 as an emergency; operative 6-10-96 (Register 96, No. 24). A Certificate of Compliance must be transmitted to OAL by 10-8-96 or emergency language will be repealed by operation of law on the following day.
4. New section refiled 10-8-96 as an emergency; operative 10-8-96 (Register 96, No. 41). A Certificate of Compliance must be transmitted to OAL by 2-5-97 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 10-8-96 order transmitted to OAL 2-5-97; disapproved by OAL and order of repeal as to 10-8-96 order filed on 3-21-97 (Register 97, No. 12).
6. New section filed 3-21-97 as an emergency; operative 3-21-97 (Register 97, No. 12). A Certificate of Compliance must be transmitted to OAL by 7-21-97 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 3-21-97 order, including renumbering of former section 782.42 to new section 782.41, and renumbering of former section 782.43 to new section 782.42, transmitted to OAL 7-21-97 and filed 8-21-97 (Register 97, No. 34).
§782.43. Recreation Therapist.
Note     •     History

Recreation therapist means a person who is registered or eligible for registration as a recreation therapist by the California Board of Parks and Recreation Certification or the National Council for Therapeutic Recreation Certification.
NOTE

Authority cited: Sections 5675 and 5768, Welfare and Institutions Code; Section 3 of Chapter 678 of the Statutes of 1994. Reference: Sections 5675 and 5768, Welfare and Institutions Code.
HISTORY

1. New section filed 8-21-95 as an emergency; operative 8-21-95 (Register 95, No. 34). A Certificate of Compliance must be transmitted to OAL by 2-17-95 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 2-9-96 as an emergency; operative 2-9-96 (Register 96, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-8-96 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 6-10-96 as an emergency; operative 6-10-96 (Register 96, No. 24). A Certificate of Compliance must be transmitted to OAL by 10-8-96 or emergency language will be repealed by operation of law on the following day.
4. New section refiled 10-8-96 as an emergency; operative 10-8-96 (Register 96, No. 41). A Certificate of Compliance must be transmitted to OAL by 2-5-97 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 10-8-96 order transmitted to OAL 2-5-97; disapproved by OAL and order of repeal as to 10-8-96 order filed on 3-21-97 (Register 97, No. 12).
6. New section filed 3-21-97 as an emergency; operative 3-21-97 (Register 97, No. 12). A Certificate of Compliance must be transmitted to OAL by 7-21-97 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 3-21-97 order, including renumbering of former section 782.43 to new section 782.42, and renumbering and amendment of former section 782.45 to new section 782.43, transmitted to OAL 7-21-97 and filed 8-21-97 (Register 97, No. 34).
§782.44. Registered Nurse.
Note     •     History

Registered nurse means a person licensed as a registered nurse by the California Board of Registered Nursing.
NOTE

Authority cited: Sections 5675 and 5768, Welfare and Institutions Code; Section 3 of Chapter 678 of the Statutes of 1994. Reference: Sections 5675 and 5768, Welfare and Institutions Code.
HISTORY

1. New section filed 8-21-95 as an emergency; operative 8-21-95 (Register 95, No. 34). A Certificate of Compliance must be transmitted to OAL by 2-17-95 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 2-9-96 as an emergency; operative 2-9-96 (Register 96, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-8-96 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 6-10-96 as an emergency; operative 6-10-96 (Register 96, No. 24). A Certificate of Compliance must be transmitted to OAL by 10-8-96 or emergency language will be repealed by operation of law on the following day.
4. New section refiled 10-8-96 as an emergency; operative 10-8-96 (Register 96, No. 41). A Certificate of Compliance must be transmitted to OAL by 2-5-97 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 10-8-96 order transmitted to OAL 2-5-97; disapproved by OAL and order of repeal as to 10-8-96 order filed on 3-21-97 (Register 97, No. 12).
6. New section filed 3-21-97 as an emergency; operative 3-21-97 (Register 97, No. 12). A Certificate of Compliance must be transmitted to OAL by 7-21-97 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 3-21-97 order, including repealer of former section 782.44, and renumbering of former section 782.46 to new section 782.44, transmitted to OAL 7-21-97 and filed 8-21-97 (Register 97, No. 34).
§782.45. Restraint.
Note     •     History

Restraint, for the purposes of the regulations included in this chapter, shall mean:
(a) Behavioral restraint which means any form of restraint employed to control a client in order to prevent the person from causing harm to self or others. Only the following types of behavioral restraint may be used in a mental health rehabilitation center:
(1) Belts and cuffs, which are well padded; and
(2) Soft ties, consisting of cloth.
(b) Chemical restraint means a drug used to control behavior and in a manner not required to treat the client's physical symptoms.
NOTE

Authority cited: Sections 5675 and 5768, Welfare and Institutions Code; Section 3 of Chapter 678 of the Statutes of 1994. Reference: Sections 5675 and 5768, Welfare and Institutions Code.
HISTORY

1. New section filed 8-21-95 as an emergency; operative 8-21-95 (Register 95, No. 34). A Certificate of Compliance must be transmitted to OAL by 2-17-95 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 2-9-96 as an emergency; operative 2-9-96 (Register 96, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-8-96 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 6-10-96 as an emergency; operative 6-10-96 (Register 96, No. 24). A Certificate of Compliance must be transmitted to OAL by 10-8-96 or emergency language will be repealed by operation of law on the following day.
4. New section refiled 10-8-96 as an emergency; operative 10-8-96 (Register 96, No. 41). A Certificate of Compliance must be transmitted to OAL by 2-5-97 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 10-8-96 order transmitted to OAL 2-5-97; disapproved by OAL and order of repeal as to 10-8-96 order filed on 3-21-97 (Register 97, No. 12).
6. New section filed 3-21-97 as an emergency; operative 3-21-97 (Register 97, No. 12). A Certificate of Compliance must be transmitted to OAL by 7-21-97 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 3-21-97 order, including renumbering of former section 782.45 to new section 782.43, and renumbering and amendment of former section 782.49 to new section 782.45, transmitted to OAL 7-21-97 and filed 8-21-97 (Register 97, No. 34).
§782.46. Seclusion.
Note     •     History

Seclusion means the involuntary confinement of a client in a room or area, where the client is prevented from physically leaving, for any period of time.
NOTE

Authority cited: Sections 5675 and 5768, Welfare and Institutions Code; Section 3 of Chapter 678 of the Statutes of 1994. Reference: Sections 5675 and 5768, Welfare and Institutions Code.
HISTORY

1. New section filed 8-21-95 as an emergency; operative 8-21-95 (Register 95, No. 34). A Certificate of Compliance must be transmitted to OAL by 2-17-95 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 2-9-96 as an emergency; operative 2-9-96 (Register 96, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-8-96 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 6-10-96 as an emergency; operative 6-10-96 (Register 96, No. 24). A Certificate of Compliance must be transmitted to OAL by 10-8-96 or emergency language will be repealed by operation of law on the following day.
4. New section refiled 10-8-96 as an emergency; operative 10-8-96 (Register 96, No. 41). A Certificate of Compliance must be transmitted to OAL by 2-5-97 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 10-8-96 order transmitted to OAL 2-5-97; disapproved by OAL and order of repeal as to 10-8-96 order filed on 3-21-97 (Register 97, No. 12).
6. New section filed 3-21-97 as an emergency; operative 3-21-97 (Register 97, No. 12). A Certificate of Compliance must be transmitted to OAL by 7-21-97 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 3-21-97 order, including renumbering of former section 782.46 to new section 782.44, and renumbering and amendment of former section 782.50 to new section 782.46, transmitted to OAL 7-21-97 and filed 8-21-97 (Register 97, No. 34).
§782.47. Self Administration of Medication.
Note     •     History

Self administration of medication by clients means clients' shall be responsible for the control, management and use of his or her own medication.
NOTE

Authority cited: Sections 5675 and 5768, Welfare and Institutions Code; Section 3 of Chapter 678 of the Statutes of 1994. Reference: Sections 5675 and 5768, Welfare and Institutions Code.
HISTORY

1. New section filed 8-21-95 as an emergency; operative 8-21-95 (Register 95, No. 34). A Certificate of Compliance must be transmitted to OAL by 2-17-95 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 2-9-96 as an emergency; operative 2-9-96 (Register 96, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-8-96 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 6-10-96 as an emergency; operative 6-10-96 (Register 96, No. 24). A Certificate of Compliance must be transmitted to OAL by 10-8-96 or emergency language will be repealed by operation of law on the following day.
4. New section refiled 10-8-96 as an emergency; operative 10-8-96 (Register 96, No. 41). A Certificate of Compliance must be transmitted to OAL by 2-5-97 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 10-8-96 order transmitted to OAL 2-5-97; disapproved by OAL and order of repeal as to 10-8-96 order filed on 3-21-97 (Register 97, No. 12).
6. New section filed 3-21-97 as an emergency; operative 3-21-97 (Register 97, No. 12). A Certificate of Compliance must be transmitted to OAL by 7-21-97 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 3-21-97 order, including repealer of former section 782.47, and renumbering of former section 782.51 to new section 782.47, transmitted to OAL 7-21-97 and filed 8-21-97 (Register 97, No. 34).
§782.48. Social Worker.
Note     •     History

Social worker means a person who is licensed as a clinical social worker by the California Board of Behavioral Science Examiners, or persons granted a waiver pursuant to Section 5751.2 of the Welfare and Institutions Code.
NOTE

Authority cited: Sections 5675 and 5768, Welfare and Institutions Code; Section 3 of Chapter 678 of the Statutes of 1994. Reference: Sections 5675 and 5768, Welfare and Institutions Code.
HISTORY

1. New section filed 8-21-95 as an emergency; operative 8-21-95 (Register 95, No. 34). A Certificate of Compliance must be transmitted to OAL by 2-17-95 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 2-9-96 as an emergency; operative 2-9-96 (Register 96, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-8-96 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 6-10-96 as an emergency; operative 6-10-96 (Register 96, No. 24). A Certificate of Compliance must be transmitted to OAL by 10-8-96 or emergency language will be repealed by operation of law on the following day.
4. New section refiled 10-8-96 as an emergency; operative 10-8-96 (Register 96, No. 41). A Certificate of Compliance must be transmitted to OAL by 2-5-97 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 10-8-96 order transmitted to OAL 2-5-97; disapproved by OAL and order of repeal as to 10-8-96 order filed on 3-21-97 (Register 97, No. 12).
6. New section filed 3-21-97 as an emergency; operative 3-21-97 (Register 97, No. 12). A Certificate of Compliance must be transmitted to OAL by 7-21-97 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 3-21-97 order, including repealer of former section 782.48, and renumbering of former section 782.52 to new section 782.48, transmitted to OAL 7-21-97 and filed 8-21-97 (Register 97, No. 34).
§782.49. Standing Orders.
Note     •     History

Standing orders means those written instructions which are used or intended to be used in the absence of a prescriber's specific order for a specified client.
NOTE

Authority cited: Sections 5675 and 5768, Welfare and Institutions Code; Section 3 of Chapter 678 of the Statutes of 1994. Reference: Sections 5675 and 5768, Welfare and Institutions Code.
HISTORY

1. New section filed 8-21-95 as an emergency; operative 8-21-95 (Register 95, No. 34). A Certificate of Compliance must be transmitted to OAL by 2-17-95 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 2-9-96 as an emergency; operative 2-9-96 (Register 96, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-8-96 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 6-10-96 as an emergency; operative 6-10-96 (Register 96, No. 24). A Certificate of Compliance must be transmitted to OAL by 10-8-96 or emergency language will be repealed by operation of law on the following day.
4. New section refiled 10-8-96 as an emergency; operative 10-8-96 (Register 96, No. 41). A Certificate of Compliance must be transmitted to OAL by 2-5-97 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 10-8-96 order transmitted to OAL 2-5-97; disapproved by OAL and order of repeal as to 10-8-96 order filed on 3-21-97 (Register 97, No. 12).
6. New section filed 3-21-97 as an emergency; operative 3-21-97 (Register 97, No. 12). A Certificate of Compliance must be transmitted to OAL by 7-21-97 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 3-21-97 order, including renumbering of former section 782.49 to new section 783.45, and renumbering of former section 782.53 to new section 782.49, transmitted to OAL 7-21-97 and filed 8-21-97 (Register 97, No. 34).
§782.50. Supervision.
Note     •     History

(a) Supervision means to instruct an employee or subordinate in their duties and to oversee or direct work, but does not necessarily require the immediate presence of the supervisor.
(b) Direct supervision means the supervisor shall be present in the same building as the person being supervised, and available for consultation and assistance.
(c) Immediate supervision means that the supervisor shall be physically present while a task is being performed by the person being supervised.
NOTE

Authority cited: Sections 5675 and 5768, Welfare and Institutions Code; Section 3 of Chapter 678 of the Statutes of 1994. Reference: Sections 5675 and 5768, Welfare and Institutions Code.
HISTORY

1. New section filed 8-21-95 as an emergency; operative 8-21-95 (Register 95, No. 34). A Certificate of Compliance must be transmitted to OAL by 2-17-95 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 2-9-96 as an emergency; operative 2-9-96 (Register 96, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-8-96 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 6-10-96 as an emergency; operative 6-10-96 (Register 96, No. 24). A Certificate of Compliance must be transmitted to OAL by 10-8-96 or emergency language will be repealed by operation of law on the following day.
4. New section refiled 10-8-96 as an emergency; operative 10-8-96 (Register 96, No. 41). A Certificate of Compliance must be transmitted to OAL by 2-5-97 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 10-8-96 order transmitted to OAL 2-5-97; disapproved by OAL and order of repeal as to 10-8-96 order filed on 3-21-97 (Register 97, No. 12).
6. New section filed 3-21-97 as an emergency; operative 3-21-97 (Register 97, No. 12). A Certificate of Compliance must be transmitted to OAL by 7-21-97 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 3-21-97 order, including renumbering of former section 782.50 to new section 783.46, and renumbering of former section 782.54 to new section 782.50, transmitted to OAL 7-21-97 and filed 8-21-97 (Register 97, No. 34).
§782.51. Therapeutic Diet.
Note     •     History

Therapeutic diet means any diet modified from a regular diet in a manner essential to the treatment or control of a particular disease or illness.
NOTE

Authority cited: Sections 5675 and 5768, Welfare and Institutions Code; Section 3 of Chapter 678 of the Statutes of 1994. Reference: Sections 5675 and 5768, Welfare and Institutions Code.
HISTORY

1. New section filed 8-21-95 as an emergency; operative 8-21-95 (Register 95, No. 34). A Certificate of Compliance must be transmitted to OAL by 2-17-95 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 2-9-96 as an emergency; operative 2-9-96 (Register 96, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-8-96 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 6-10-96 as an emergency; operative 6-10-96 (Register 96, No. 24). A Certificate of Compliance must be transmitted to OAL by 10-8-96 or emergency language will be repealed by operation of law on the following day.
4. New section refiled 10-8-96 as an emergency; operative 10-8-96 (Register 96, No. 41). A Certificate of Compliance must be transmitted to OAL by 2-5-97 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 10-8-96 order transmitted to OAL 2-5-97; disapproved by OAL and order of repeal as to 10-8-96 order filed on 3-21-97 (Register 97, No. 12).
6. New section filed 3-21-97 as an emergency; operative 3-21-97 (Register 97, No. 12). A Certificate of Compliance must be transmitted to OAL by 7-21-97 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 3-21-97 order, including renumbering of former section 782.51 to new section 783.47, and renumbering of former section 782.55 to new section 782.51, transmitted to OAL 7-21-97 and filed 8-21-97 (Register 97, No. 34).
§782.52. Unit Dose Medication System.
Note     •     History

Unit dose medication system means a system in which single dosage units of drugs are prepackaged and prelabeled in accordance with all applicable laws and regulations governing these practices and be made available separated as to client and by dosage time. The system shall also comprise, but not be limited to, all equipment and appropriate records deemed necessary to make the dose available to the client in an accurate and safe manner. A pharmacist shall be in charge of and responsible for the system.
NOTE

Authority cited: Sections 5675 and 5768, Welfare and Institutions Code; Section 3 of Chapter 678 of the Statutes of 1994. Reference: Sections 5675 and 5768, Welfare and Institutions Code.
HISTORY

1. New section filed 8-21-95 as an emergency; operative 8-21-95 (Register 95, No. 34). A Certificate of Compliance must be transmitted to OAL by 2-17-95 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 2-9-96 as an emergency; operative 2-9-96 (Register 96, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-8-96 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 6-10-96 as an emergency; operative 6-10-96 (Register 96, No. 24). A Certificate of Compliance must be transmitted to OAL by 10-8-96 or emergency language will be repealed by operation of law on the following day.
4. New section refiled 10-8-96 as an emergency; operative 10-8-96 (Register 96, No. 41). A Certificate of Compliance must be transmitted to OAL by 2-5-97 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 10-8-96 order transmitted to OAL 2-5-97; disapproved by OAL and order of repeal as to 10-8-96 order filed on 3-21-97 (Register 97, No. 12).
6. New section filed 3-21-97 as an emergency; operative 3-21-97 (Register 97, No. 12). A Certificate of Compliance must be transmitted to OAL by 7-21-97 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 3-21-97 order, including renumbering of former section 782.52 to new section 782.48, and renumbering of former section 782.56 to new section 782.52, transmitted to OAL 7-21-97 and filed 8-21-97 (Register 97, No. 34).
§782.53. Standing Orders.
Note     •     History

NOTE

Authority cited: Sections 5675 and 5768, Welfare and Institutions Code; Section 3 of Chapter 678 of the Statutes of 1994. Reference: Sections 5675 and 5768, Welfare and Institutions Code.
HISTORY

1. New section filed 8-21-95 as an emergency; operative 8-21-95 (Register 95, No. 34). A Certificate of Compliance must be transmitted to OAL by 2-17-95 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 2-9-96 as an emergency; operative 2-9-96 (Register 96, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-8-96 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 6-10-96 as an emergency; operative 6-10-96 (Register 96, No. 24). A Certificate of Compliance must be transmitted to OAL by 10-8-96 or emergency language will be repealed by operation of law on the following day.
4. New section refiled 10-8-96 as an emergency; operative 10-8-96 (Register 96, No. 41). A Certificate of Compliance must be transmitted to OAL by 2-5-97 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 10-8-96 order transmitted to OAL 2-5-97; disapproved by OAL and order of repeal as to 10-8-96 order filed on 3-21-97 (Register 97, No. 12).
6. New section filed 3-21-97 as an emergency; operative 3-21-97 (Register 97, No. 12). A Certificate of Compliance must be transmitted to OAL by 7-21-97 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 3-21-97 order, including renumbering of former section 782.53 to new section 783.49, transmitted to OAL 7-21-97 and filed 8-21-97 (Register 97, No. 34).
§782.54. Supervision.
Note     •     History

NOTE

Authority cited: Sections 5675 and 5768, Welfare and Institutions Code; Section 3 of Chapter 678 of the Statutes of 1994. Reference: Sections 5675 and 5768, Welfare and Institutions Code.
HISTORY

1. New section filed 8-21-95 as an emergency; operative 8-21-95 (Register 95, No. 34). A Certificate of Compliance must be transmitted to OAL by 2-17-95 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 2-9-96 as an emergency; operative 2-9-96 (Register 96, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-8-96 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 6-10-96 as an emergency; operative 6-10-96 (Register 96, No. 24). A Certificate of Compliance must be transmitted to OAL by 10-8-96 or emergency language will be repealed by operation of law on the following day.
4. New section refiled 10-8-96 as an emergency; operative 10-8-96 (Register 96, No. 41). A Certificate of Compliance must be transmitted to OAL by 2-5-97 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 10-8-96 order transmitted to OAL 2-5-97; disapproved by OAL and order of repeal as to 10-8-96 order filed on 3-21-97 (Register 97, No. 12).
6. New section filed 3-21-97 as an emergency; operative 3-21-97 (Register 97, No. 12). A Certificate of Compliance must be transmitted to OAL by 7-21-97 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 3-21-97 order, including renumbering of former section 782.54 to new section 782.50, transmitted to OAL 7-21-97 and filed 8-21-97 (Register 97, No. 34).
§782.55. Therapeutic Diet.
Note     •     History

NOTE

Authority cited: Sections 5675 and 5768, Welfare and Institutions Code; Section 3 of Chapter 678 of the Statutes of 1994. Reference: Sections 5675 and 5768, Welfare and Institutions Code.
HISTORY

1. New section filed 8-21-95 as an emergency; operative 8-21-95 (Register 95, No. 34). A Certificate of Compliance must be transmitted to OAL by 2-17-95 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 2-9-96 as an emergency; operative 2-9-96 (Register 96, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-8-96 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 6-10-96 as an emergency; operative 6-10-96 (Register 96, No. 24). A Certificate of Compliance must be transmitted to OAL by 10-8-96 or emergency language will be repealed by operation of law on the following day.
4. New section refiled 10-8-96 as an emergency; operative 10-8-96 (Register 96, No. 41). A Certificate of Compliance must be transmitted to OAL by 2-5-97 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 10-8-96 order transmitted to OAL 2-5-97; disapproved by OAL and order of repeal as to 10-8-96 order filed on 3-21-97 (Register 97, No. 12).
6. New section filed 3-21-97 as an emergency; operative 3-21-97 (Register 97, No. 12). A Certificate of Compliance must be transmitted to OAL by 7-21-97 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 3-21-97 order, including renumbering of former section 782.55 to new section 782.51, transmitted to OAL 7-21-97 and filed 8-21-97 (Register 97, No. 34).
§782.56. Unit Dose Medication System.
Note     •     History

NOTE

Authority cited: Sections 5675 and 5768, Welfare and Institutions Code; Section 3 of Chapter 678 of the Statutes of 1994. Reference: Sections 5675 and 5768, Welfare and Institutions Code.
HISTORY

1. New section filed 8-21-95 as an emergency; operative 8-21-95 (Register 95, No. 34). A Certificate of Compliance must be transmitted to OAL by 2-17-95 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 2-9-96 as an emergency; operative 2-9-96 (Register 96, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-8-96 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 6-10-96 as an emergency; operative 6-10-96 (Register 96, No. 24). A Certificate of Compliance must be transmitted to OAL by 10-8-96 or emergency language will be repealed by operation of law on the following day.
4. New section refiled 10-8-96 as an emergency; operative 10-8-96 (Register 96, No. 41). A Certificate of Compliance must be transmitted to OAL by 2-5-97 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 10-8-96 order transmitted to OAL 2-5-97; disapproved by OAL and order of repeal as to 10-8-96 order filed on 3-21-97 (Register 97, No. 12).
6. New section filed 3-21-97 as an emergency; operative 3-21-97 (Register 97, No. 12). A Certificate of Compliance must be transmitted to OAL by 7-21-97 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 3-21-97 order, including renumbering of former section 782.56 to new section 782.52, transmitted to OAL 7-21-97 and filed 8-21-97 (Register 97, No. 34).
Article 3. License
§783.00. Application Required.
Note     •     History

(a) Whenever either of the following circumstances occur, a verified application for a new license completed on forms furnished by the Department (MH8001/95) shall be submitted to the Department.
(1) Establishment of a mental health rehabilitation center.
(2) Change of ownership of a mental health rehabilitation center.
(b) Whenever any of the following circumstances occur, the licensee shall submit to the Department a verified application for a corrected license completed on forms furnished by the Department (MH8001/95).
(1) Construction of a new or replacement mental health rehabilitation center.
(2) Change in licensed bed capacity of a mental health rehabilitation center.
(3) Change of name of a mental health rehabilitation center.
(4) Change of licensed category of a mental health rehabilitation center.
(5) Change of location of a mental health rehabilitation center.
NOTE

Authority cited: Sections 5675 and 5768, Welfare and Institutions Code; Section 3 of Chapter 678 of the Statutes of 1994. Reference: Sections 5675 and 5768, Welfare and Institutions Code.
HISTORY

1. New article 3 and section filed 8-21-95 as an emergency; operative 8-21-95 (Register 95, No. 34). A Certificate of Compliance must be transmitted to OAL by 2-17-95 or emergency language will be repealed by operation of law on the following day.
2. Editorial correction of  History 1 (Register 96, No. 6).
3. New article 3 and section refiled 2-9-96 as an emergency; operative 2-9-96 (Register 96, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-8-96 or emergency language will be repealed by operation of law on the following day.
4. New article 3 and section refiled 6-10-96 as an emergency; operative 6-10-96 (Register 96, No. 24). A Certificate of Compliance must be transmitted to OAL by 10-8-96 or emergency language will be repealed by operation of law on the following day.
5. New article 3 and section refiled  10-8-96 as an emergency; operative 10-8-96 (Register 96, No. 41). A Certificate of Compliance must be transmitted to OAL by 2-5-97 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 10-8-96 order transmitted to OAL 2-5-97; disapproved by OAL and order of repeal as to 10-8-96 order filed on 3-21-97 (Register 97, No. 12).
7. New article 3 and section filed 3-21-97 as an emergency; operative 3-21-97 (Register 97, No. 12). A Certificate of Compliance must be transmitted to OAL by 7-21-97 or emergency language will be repealed by operation of law on the following day.
8. Certificate of Compliance as to 3-21-97 order, including amendment of section, transmitted to OAL 7-21-97 and filed 8-21-97 (Register 97, No. 34).
§783.10. Application Requirements.
Note     •     History

(a) Any adult, firm, partnership, association, corporation, county, city, public agency, or other governmental entity desiring to obtain a license for a mental health rehabilitation center shall file an application with the Department, except as provided in subsection (b).
(b) A nongovernmental entity proposing a mental health rehabilitation center shall submit a written plan of operation as specified in Section 783.13, to the local mental health director for review and approval. The local mental health director shall have the flexibility to base approval of the plan of operation upon local program need, as well as a determination of whether the plan of operation is complete and meets the requirements of Section 783.13. Evidence that the plan of operation has been approved by the local mental health director shall be in writing. The local mental health director shall forward this approved plan of operation with the application to the Department.
(c) If the applicant is a firm, association, corporation, county, city, public, or other governmental entity, the application shall be signed by the chief executive officer or authorized representative.
(d) An applicant shall cooperate with the Department by providing information and documentation as requested by the Department.
(e) Approval of an application by the Department does not constitute the licensing of a mental health rehabilitation center as a mental health rehabilitation center. The final approval for the licensing of a mental health rehabilitation center as a mental health rehabilitation center will be based on a site visit(s) conducted by the Department, within 30 calendar days following the applicant receiving written notification of approval of the application from the Department.
(f) Each year following the initial licensing of a mental health rehabilitation center, the licensee shall submit any changes to the approved plan of operation to the local mental health director and to the Department.
NOTE

Authority cited: Sections 5675 and 5768, Welfare and Institutions Code; Section 3 of Chapter 678 of the Statutes of 1994. Reference: Sections 5675 and 5768, Welfare and Institutions Code.
HISTORY

1. New section filed 8-21-95 as an emergency; operative 8-21-95 (Register 95, No. 34). A Certificate of Compliance must be transmitted to OAL by 2-17-95 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 2-9-96 as an emergency; operative 2-9-96 (Register 96, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-8-96 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 6-10-96 as an emergency; operative 6-10-96 (Register 96, No. 24). A Certificate of Compliance must be transmitted to OAL by 10-8-96 or emergency language will be repealed by operation of law on the following day.
4. New section refiled 10-8-96 as an emergency; operative 10-8-96 (Register 96, No. 41). A Certificate of Compliance must be transmitted to OAL by 2-5-97 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 10-8-96 order transmitted to OAL 2-5-97; disapproved by OAL and order of repeal as to 10-8-96 order filed on 3-21-97 (Register 97, No. 12).
6. New section filed 3-21-97 as an emergency; operative 3-21-97 (Register 97, No. 12). A Certificate of Compliance must be transmitted to OAL by 7-21-97 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 3-21-97 order, including amendment of subsections (a), (e) and (f), transmitted to OAL 7-21-97 and filed 8-21-97 (Register 97, No. 34).
§783.11. Application Content.
Note     •     History

(a) The application shall, at a minimum, contain the following information:
(1) Name, or proposed name, and address of the mental health rehabilitation center.
(2) Name, residence, and mailing address of applicant.
(A) If the applicant is a partnership, the name and principal business address of each partner.
(B) If the applicant is a corporation or association, the name, title, and business address of each officer and member of the governing board.
(C) Name and address of the owner of the mental health rehabilitation center premises if the applicant is leasing or renting.
(3) Written administrative policies and procedures as specified in Section 784.00 of these regulations.
(4) A written plan of operation as specified in Section 783.13 of these regulations. The plan of operation shall also include program evaluation measures in accordance with the provisions included in Section 5675 of the Welfare and Institutions Code.
(5) A written financial plan including an actual or proposed annual budget, and the most recent financial audit, if available.
NOTE

Authority cited: Sections 5675 and 5768, Welfare and Institutions Code; Section 3 of Chapter 678 of the Statutes of 1994. Reference: Sections 5675 and 5768, Welfare and Institutions Code.
HISTORY

1. New section filed 8-21-95 as an emergency; operative 8-21-95 (Register 95, No. 34). A Certificate of Compliance must be transmitted to OAL by 2-17-95 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 2-9-96 as an emergency; operative 2-9-96 (Register 96, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-8-96 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 6-10-96 as an emergency; operative 6-10-96 (Register 96, No. 24). A Certificate of Compliance must be transmitted to OAL by 10-8-96 or emergency language will be repealed by operation of law on the following day.
4. New section refiled 10-8-96 as an emergency; operative 10-8-96 (Register 96, No. 41). A Certificate of Compliance must be transmitted to OAL by 2-5-97 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 10-8-96 order transmitted to OAL 2-5-97; disapproved by OAL and order of repeal as to 10-8-96 order filed on 3-21-97 (Register 97, No. 12).
6. New section filed 3-21-97 as an emergency; operative 3-21-97 (Register 97, No. 12). A Certificate of Compliance must be transmitted to OAL by 7-21-97 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 3-21-97 order, including amendment of subsections (a)(2)(C)-(a)(3), transmitted to OAL 7-21-97 and filed 8-21-97 (Register 97, No. 34).
§783.12. Application Process.
Note     •     History

(a) Whenever an application is submitted pursuant to these regulations, the Department shall notify the applicant, in writing, within thirty calendar days of receipt of the application, that the application is complete and accepted for filing or that the application is incomplete, and what specific information or documentation is required to complete the application.
(b) If the applicant fails to respond within thirty calendar days to the Department, following receipt of notification pursuant to (a) above, for additional information or documentation, the application shall be deemed to have been withdrawn by the applicant. Any applicant deemed to have withdrawn an application may reapply by submitting a new application.
(c) The Department shall notify an applicant, in writing, within 60 calendar days following the acceptance of an application for filing, of the Department's decision to approve or deny the application.
(1) The sixty days shall not begin until all information or documentation required for completion of the application is received by the Department.
(2) If the Department fails to notify an applicant by the ending calendar date of the 60 day time period, the applicant may request, in writing, a review by the Deputy Director responsible for mental health rehabilitation center licensure, or the designee of the Director, at the principal address of the Department in Sacramento, California. The written request shall include:
(A) An identification of the applicant;
(B) The date upon which the application was submitted;
(C) A copy of any correspondence between the Department and the applicant regarding the application; and
(D) Any other information the applicant wishes to submit regarding the timeliness of the Department's consideration of the application.
(d) An applicant may request a review of a denial or disapproval of an application by sending a written request to the Deputy Director responsible for mental health rehabilitation center licensure, or the designee of the Director, at the principal address of the Department in Sacramento, California.
(1) A request for review must be postmarked no later than fifteen calendar days after receipt of the notification of the denial or disapproval of the application.
(2) An applicant requesting a review shall be responsible for submitting all documents, information, and arguments which the applicant wishes to be considered in the review. The documents, information, and arguments the applicant wishes to be considered may be submitted with the request for review or sent separately, but shall be postmarked no later than thirty calendar days after receipt of the written notification of denial or disapproval of the application.
(3) The Deputy Director or the designee shall review the written notification of application denial or disapproval, and any related information and documents justifying or supporting the application denial or disapproval, the request for review submitted by the applicant, and the information, documents and arguments submitted by the applicant. If deemed necessary for completion of the review, the Deputy Director or the designee may request clarification or additional information from the applicant.
(4) Upon completion of the review a decision to affirm or reverse the application denial or disapproval shall be prepared by the Department. A decision shall become final when adopted by the Deputy Director or designee.
(5) A written notification of the decision to affirm or reverse the action to deny or disapprove an application shall be sent to the applicant. A decision adopted by the Department shall become effective upon receipt by the applicant.
NOTE

Authority cited: Sections 5675 and 5768, Welfare and Institutions Code; Section 3 of Chapter 678 of the Statutes of 1994. Reference: Sections 5675 and 5768, Welfare and Institutions Code.
HISTORY

1. New section filed 8-21-95 as an emergency; operative 8-21-95 (Register 95, No. 34). A Certificate of Compliance must be transmitted to OAL by 2-17-95 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 2-9-96 as an emergency; operative 2-9-96 (Register 96, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-8-96 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 6-10-96 as an emergency; operative 6-10-96 (Register 96, No. 24). A Certificate of Compliance must be transmitted to OAL by 10-8-96 or emergency language will be repealed by operation of law on the following day.
4. New section refiled 10-8-96 as an emergency; operative 10-8-96 (Register 96, No. 41). A Certificate of Compliance must be transmitted to OAL by 2-5-97 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 10-8-96 order transmitted to OAL 2-5-97; disapproved by OAL and order of repeal as to 10-8-96 order filed on 3-21-97 (Register 97, No. 12).
6. New section filed 3-21-97 as an emergency; operative 3-21-97 (Register 97, No. 12). A Certificate of Compliance must be transmitted to OAL by 7-21-97 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 3-21-97 order, including amendment of subsections (c)(2) and (d), transmitted to OAL 7-21-97 and filed 8-21-97 (Register 97, No. 34).
§783.13. Plan of Operation Requirements.
Note     •     History

(a) The plan of operation shall describe the following components for the proposed mental health rehabilitation center:
(1) Summary of Administrative Policies and Procedures as specified in Section 784.00 of these regulations.
(2) Basic Services and Staffing.
(3) Rehabilitation Program and Staffing.
(4) Activity Program and Staffing.
(5) Admissions Process and Criteria.
(6) Discharge Planning and Transition Process.
(7) Health Records and Services Content.
(8) Client Records and Content.
(9) Client Rights and Empowerment.
(10) Pharmaceutical Services and Self-Medication.
(11) Program Space Requirements.
(12) Restraint and Seclusion Policies and Procedures.
(13) Physical Plant or Buildings.
(14) Program Supplies.
(15) Program Equipment.
(16) Clinical Treatment Programs.
(17) Interdisciplinary Treatment Teams.
(18) Psychiatric and Psychological Services.
(b) The plan of operation shall specify each target population group that the proposed mental health rehabilitation center plans to serve. The description of the population group to be served shall include the following:
(1) Age range.
(2) Gender.
(3) Ethnicity.
(4) Degree or level of impairment.
(5) Diagnosis as listed in the most current edition of the Diagnostic and Statistical Manual of Mental Disorders (DSM).
(6) Number of clients to be served.
(7) Identification of the particular needs of the population.
(8) The rehabilitation program designed to meet the identified service needs of the population.
(9) Method and frequency of evaluating client progress.
(c) A specific description of what makes the program innovative compared to existing licensed or certified mental health programs.
NOTE

Authority cited: Sections 5675 and 5768, Welfare and Institutions Code; Section 3 of Chapter 678 of the Statutes of 1994. Reference: Sections 5675 and 5768, Welfare and Institutions Code.
HISTORY

1. New section filed 8-21-95 as an emergency; operative 8-21-95 (Register 95, No. 34). A Certificate of Compliance must be transmitted to OAL by 2-17-95 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 2-9-96 as an emergency; operative 2-9-96 (Register 96, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-8-96 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 6-10-96 as an emergency; operative 6-10-96 (Register 96, No. 24). A Certificate of Compliance must be transmitted to OAL by 10-8-96 or emergency language will be repealed by operation of law on the following day.
4. New section refiled 10-8-96 as an emergency; operative 10-8-96 (Register 96, No. 41). A Certificate of Compliance must be transmitted to OAL by 2-5-97 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 10-8-96 order transmitted to OAL 2-5-97; disapproved by OAL and order of repeal as to 10-8-96 order filed on 3-21-97 (Register 97, No. 12).
6. New section filed 3-21-97 as an emergency; operative 3-21-97 (Register 97, No. 12). A Certificate of Compliance must be transmitted to OAL by 7-21-97 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 3-21-97 order, including amendment of subsections (a)(1) and (a)(13) and new subsection (c), transmitted to OAL 7-21-97 and filed 8-21-97 (Register 97, No. 34).
§783.14. Safety, Zoning and Building Clearance.
Note     •     History

(a) A license shall not be issued to any applicant which does not conform to the State Fire Marshal's requirements for fire and life safety, the State requirements for environmental impact, and also to local fire safety, zoning, and building ordinances. Evidence of such compliance shall be presented in writing to the Department.
(b) The licensee shall maintain the mental health rehabilitation center in a safe structural condition. If the Department determines, in a written report submitted to the licensee, that an evaluation of the structural condition of a mental health rehabilitation center building is necessary, the licensee may be required to submit a report by a licensed structural engineer which shall evaluate the structural condition of the mental health rehabilitation center, and, if necessary, establish a basis for eliminating or correcting the structural conditions which may be hazardous to occupants. The licensee shall eliminate or correct any hazardous conditions.
NOTE

Authority cited: Sections 5675 and 5768, Welfare and Institutions Code; Section 3 of Chapter 678 of the Statutes of 1994. Reference: Sections 5675 and 5768, Welfare and Institutions Code.
HISTORY

1. New section filed 8-21-95 as an emergency; operative 8-21-95 (Register 95, No. 34). A Certificate of Compliance must be transmitted to OAL by 2-17-95 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 2-9-96 as an emergency; operative 2-9-96 (Register 96, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-8-96 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 6-10-96 as an emergency; operative 6-10-96 (Register 96, No. 24). A Certificate of Compliance must be transmitted to OAL by 10-8-96 or emergency language will be repealed by operation of law on the following day.
4. New section refiled 10-8-96 as an emergency; operative 10-8-96 (Register 96, No. 41). A Certificate of Compliance must be transmitted to OAL by 2-5-97 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 10-8-96 order transmitted to OAL 2-5-97; disapproved by OAL and order of repeal as to 10-8-96 order filed on 3-21-97 (Register 97, No. 12).
6. New section filed 3-21-97 as an emergency; operative 3-21-97 (Register 97, No. 12). A Certificate of Compliance must be transmitted to OAL by 7-21-97 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 3-21-97 order, including amendment of subsection (b), transmitted to OAL 7-21-97 and filed 8-21-97 (Register 97, No. 34).
§783.15. Separate Licenses.
Note     •     History

Separate licenses shall be required for mental health rehabilitation centers which are maintained on separate premises even though they are under the same management. Separate licenses shall not be required for separate buildings on the same grounds or adjacent grounds, used for the provision of the same program under the requirements of these regulations.
NOTE

Authority cited: Sections 5675 and 5768, Welfare and Institutions Code; Section 3 of Chapter 678 of the Statutes of 1994. Reference: Sections 5675 and 5768, Welfare and Institutions Code.
HISTORY

1. New section filed 8-21-95 as an emergency; operative 8-21-95 (Register 95, No. 34). A Certificate of Compliance must be transmitted to OAL by 2-17-95 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 2-9-96 as an emergency; operative 2-9-96 (Register 96, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-8-96 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 6-10-96 as an emergency; operative 6-10-96 (Register 96, No. 24). A Certificate of Compliance must be transmitted to OAL by 10-8-96 or emergency language will be repealed by operation of law on the following day.
4. New section refiled 10-8-96 as an emergency; operative 10-8-96 (Register 96, No. 41). A Certificate of Compliance must be transmitted to OAL by 2-5-97 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 10-8-96 order transmitted to OAL 2-5-97; disapproved by OAL and order of repeal as to 10-8-96 order filed on 3-21-97 (Register 97, No. 12).
6. New section filed 3-21-97 as an emergency; operative 3-21-97 (Register 97, No. 12). A Certificate of Compliance must be transmitted to OAL by 7-21-97 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 3-21-97 order transmitted to OAL 7-21-97 and filed 8-21-97 (Register 97, No. 34).
§783.16. Posting.
Note     •     History

The license or a true copy thereof shall be posted in a conspicuous location accessible to public view within the mental health rehabilitation center.
NOTE

Authority cited: Sections 5675 and 5768, Welfare and Institutions Code; Section 3 of Chapter 678 of the Statutes of 1994. Reference: Sections 5675 and 5768, Welfare and Institutions Code.
HISTORY

1. New section filed 8-21-95 as an emergency; operative 8-21-95 (Register 95, No. 34). A Certificate of Compliance must be transmitted to OAL by 2-17-95 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 2-9-96 as an emergency; operative 2-9-96 (Register 96, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-8-96 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 6-10-96 as an emergency; operative 6-10-96 (Register 96, No. 24). A Certificate of Compliance must be transmitted to OAL by 10-8-96 or emergency language will be repealed by operation of law on the following day.
4. New section refiled 10-8-96 as an emergency; operative 10-8-96 (Register 96, No. 41). A Certificate of Compliance must be transmitted to OAL by 2-5-97 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 10-8-96 order transmitted to OAL 2-5-97; disapproved by OAL and order of repeal as to 10-8-96 order filed on 3-21-97 (Register 97, No. 12).
6. New section filed 3-21-97 as an emergency; operative 3-21-97 (Register 97, No. 12). A Certificate of Compliance must be transmitted to OAL by 7-21-97 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 3-21-97 order transmitted to OAL 7-21-97 and filed 8-21-97 (Register 97, No. 34).
§783.17. Report of Changes.
Note     •     History

The licensee shall notify the Department in writing of any changes in the following information within 10 calendar days of the changes. This notification shall include information and documentation regarding such changes.
(a) A change of mental health rehabilitation center director occurs. Such notification shall include the name and license number, if applicable, of the new mental health rehabilitation center director.
(b) A change of the mailing address of the licensee. Such notification shall include the new mailing address of the licensee.
(c) A change in the principal officer of a corporate licensee (chairman, president or general manager) occurs. Such notification shall include the name and business address of such officer.
(d) Any decrease in licensed bed capacity of the mental health rehabilitation center.
NOTE

Authority cited: Sections 5675 and 5768, Welfare and Institutions Code; Section 3 of Chapter 678 of the Statutes of 1994. Reference: Sections 5675 and 5768, Welfare and Institutions Code.
HISTORY

1. New section filed 8-21-95 as an emergency; operative 8-21-95 (Register 95, No. 34). A Certificate of Compliance must be transmitted to OAL by 2-17-95 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 2-9-96 as an emergency; operative 2-9-96 (Register 96, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-8-96 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 6-10-96 as an emergency; operative 6-10-96 (Register 96, No. 24). A Certificate of Compliance must be transmitted to OAL by 10-8-96 or emergency language will be repealed by operation of law on the following day.
4. New section refiled 10-8-96 as an emergency; operative 10-8-96 (Register 96, No. 41). A Certificate of Compliance must be transmitted to OAL by 2-5-97 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 10-8-96 order transmitted to OAL 2-5-97; disapproved by OAL and order of repeal as to 10-8-96 order filed on 3-21-97 (Register 97, No. 12).
6. New section filed 3-21-97 as an emergency; operative 3-21-97 (Register 97, No. 12). A Certificate of Compliance must be transmitted to OAL by 7-21-97 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 3-21-97 order, including amendment of subsections (a) and (d), transmitted to OAL 7-21-97 and filed 8-21-97 (Register 97, No. 34).
§783.18. Program Flexibility and Monitoring.
Note     •     History

All mental health rehabilitation centers shall maintain compliance with the licensing requirements. These requirements do not prohibit the use of alternate concepts, methods, procedures, techniques, equipment, personnel qualifications or the conducting of pilot projects, provided such exceptions are carried out with provision for safe and adequate care and with the prior written approval of the Department. Such approval shall provide for the terms and conditions under which the exception is granted. A written request and substantiating information and documents supporting the request shall be submitted by the applicant or licensee to the Department.
(a) Any approval of the Department granted under this section, or a true copy thereof, shall be posted immediately adjacent to the center's license.
(b) The local mental health director shall monitor each mental health rehabilitation center providing a program based on a plan of operation, as specified in Section 783.13, and approved by the local mental health director and the Department, pursuant to Welfare and Institutions Code, Section 5768(e)(2).
NOTE

Authority cited: Sections 5675 and 5768, Welfare and Institutions Code; Section 3 of Chapter 678 of the Statutes of 1994. Reference: Sections 5675 and 5768, Welfare and Institutions Code.
HISTORY

1. New section filed 8-21-95 as an emergency; operative 8-21-95 (Register 95, No. 34). A Certificate of Compliance must be transmitted to OAL by 2-17-95 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 2-9-96 as an emergency; operative 2-9-96 (Register 96, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-8-96 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 6-10-96 as an emergency; operative 6-10-96 (Register 96, No. 24). A Certificate of Compliance must be transmitted to OAL by 10-8-96 or emergency language will be repealed by operation of law on the following day.
4. New section refiled 10-8-96 as an emergency; operative 10-8-96 (Register 96, No. 41). A Certificate of Compliance must be transmitted to OAL by 2-5-97 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 10-8-96 order transmitted to OAL 2-5-97; disapproved by OAL and order of repeal as to 10-8-96 order filed on 3-21-97 (Register 97, No. 12).
6. New section filed 3-21-97 as an emergency; operative 3-21-97 (Register 97, No. 12). A Certificate of Compliance must be transmitted to OAL by 7-21-97 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 3-21-97 order, including amendment of subsection (b), transmitted to OAL 7-21-97 and filed 8-21-97 (Register 97, No. 34).
§783.19. Conviction of Crime: Standards for Evaluating Rehabilitation.
Note     •     History

When considering the denial, suspension or revocation of a license based on the applicant's or licensee's conviction of a crime in accordance with Section 1265.1 or 1294 of the Health and Safety Code, the following criteria shall be considered in evaluating the applicant's or licensee's rehabilitation:
(a) The nature and the seriousness of the crime(s) under consideration.
(b) Evidence of conduct subsequent to the crime which suggests responsible or irresponsible character.
(c) The time which has elapsed since commission of the crime(s) or conduct referred to in subdivision (a) or (b).
(d) The extent to which the applicant has complied with any terms of parole, probation, restitution, or any other sanction lawfully imposed against the applicant.
(e) Any rehabilitation evidence submitted by the applicant.
NOTE

Authority cited: Sections 5675 and 5768, Welfare and Institutions Code; Section 3 of Chapter 678 of the Statutes of 1994. Reference: Sections 5675 and 5768, Welfare and Institutions Code.
HISTORY

1. New section filed 8-21-95 as an emergency; operative 8-21-95 (Register 95, No. 34). A Certificate of Compliance must be transmitted to OAL by 2-17-95 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 2-9-96 as an emergency; operative 2-9-96 (Register 96, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-8-96 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 6-10-96 as an emergency; operative 6-10-96 (Register 96, No. 24). A Certificate of Compliance must be transmitted to OAL by 10-8-96 or emergency language will be repealed by operation of law on the following day.
4. New section refiled 10-8-96 as an emergency; operative 10-8-96 (Register 96, No. 41). A Certificate of Compliance must be transmitted to OAL by 2-5-97 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 10-8-96 order transmitted to OAL 2-5-97; disapproved by OAL and order of repeal as to 10-8-96 order filed on 3-21-97 (Register 97, No. 12).
6. New section filed 3-21-97 as an emergency; operative 3-21-97 (Register 97, No. 12). A Certificate of Compliance must be transmitted to OAL by 7-21-97 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 3-21-97 order transmitted to OAL 7-21-97 and filed 8-21-97 (Register 97, No. 34).
§783.20. Bonds.
Note     •     History

The amount of the Bond required in Section 1318 of the Health and Safety Code shall be in accordance with the following schedule:

	(a) Total Amount of Client	Amount of Bond Required
	Monies Handled Per Month

	$750 or less	$1,000

	$751 to $1,500	$2,000

	$1,501 to $2,500	$3,000
(b) Every further increment of $1,000 or fraction thereof shall require an additional $1,000 on the bond.
(c) Each application for an original license or renewal of license shall be accompanied by an affidavit on a form provided by the Department. The affidavit shall state whether the licensee handles, or will handle, money of clients and the maximum amount of money to be handled for:
(1) Any client.
(2) All clients in any month.
(d) No licensee shall handle money of a client or handle amounts greater than those stated in the affidavit submitted by him/her without first notifying the Department and filing a new or revised bond if requested.
(e) Charges for the surety company bond to handle client monies shall not be paid out of client monies.
NOTE

Authority cited: Sections 5675 and 5768, Welfare and Institutions Code; Section 3 of Chapter 678 of the Statutes of 1994. Reference: Sections 5675 and 5768, Welfare and Institutions Code.
HISTORY

1. New section filed 8-21-95 as an emergency; operative 8-21-95 (Register 95, No. 34). A Certificate of Compliance must be transmitted to OAL by 2-17-95 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 2-9-96 as an emergency; operative 2-9-96 (Register 96, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-8-96 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 6-10-96 as an emergency; operative 6-10-96 (Register 96, No. 24). A Certificate of Compliance must be transmitted to OAL by 10-8-96 or emergency language will be repealed by operation of law on the following day.
4. New section refiled 10-8-96 as an emergency; operative 10-8-96 (Register 96, No. 41). A Certificate of Compliance must be transmitted to OAL by 2-5-97 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 10-8-96 order transmitted to OAL 2-5-97; disapproved by OAL and order of repeal as to 10-8-96 order filed on 3-21-97 (Register 97, No. 12).
6. New section filed 3-21-97 as an emergency; operative 3-21-97 (Register 97, No. 12). A Certificate of Compliance must be transmitted to OAL by 7-21-97 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 3-21-97 order transmitted to OAL 7-21-97 and filed 8-21-97 (Register 97, No. 34).
Article 4. General Requirements
§784.00. Administration.
Note     •     History

The licensee shall be responsible for compliance with licensing requirements and for the organization, management, operation and control of the licensed mental health rehabilitation center. The delegation of any authority by a licensee shall not diminish the responsibilities of the licensee. Written policies and procedures shall be established and implemented for each of the following:
(a) Administration and management of the mental health rehabilitation center.
(b) Personnel policies and procedures which include:
(1) Job descriptions detailing qualifications, duties and limitations of each classification of employee available to all personnel.
(2) Employee orientation to mental health rehabilitation center, job, client population, policies, procedures and staff.
(3) Employee benefits.
(4) Employee health and grooming.
(5) Verification of licensure, credentials and references.
(c) Policies and procedures for client admission, leave of absence, transfer, pass and discharge, categories of clients accepted and retained, rate of charge for services included in the basic rate, charges for extra services, limitations of services, cause for termination of services and refund policies applying to termination of services.
(d) Policies and procedures governing client records which include:
(1) Policies and procedures governing access to, duplication of, and dissemination of, information from client records.
(2) Policies and procedures to ensure the confidentiality of client information, in accordance with applicable laws and regulations.
(e) Procedures for reporting of unusual occurrences.
(f) A written organizational chart showing the major programs of the mental health rehabilitation center, the person in charge of each program, the lines of authority, responsibility and communication and the staff assignments.
(g) Restraint and seclusion policies and procedures.
(h) Informed consent to medical and psychiatric treatment policies and procedures.
(i) Infection control policies and procedures.
(j) Dietary services policies and procedures.
(k) Housekeeping services policies and procedures which include provision for maintenance of a safe, clean environment for clients, employees and the public.
(l) All policies and procedures required by these regulations shall be reviewed at least annually and revised as needed, and shall be made available upon request to physicians and involved mental health professionals, clients or their legal representatives, employees, and the public.
NOTE

Authority cited: Sections 5675 and 5768, Welfare and Institutions Code; Section 3 of Chapter 678 of the Statutes of 1994. Reference: Sections 5675 and 5768, Welfare and Institutions Code.
HISTORY

1. New article 4 and section filed 8-21-95 as an emergency; operative 8-21-95 (Register 95, No. 34). A Certificate of Compliance must be transmitted to OAL by 2-17-95 or emergency language will be repealed by operation of law on the following day.
2. Editorial correction of  History 1 (Register 96, No. 6).
3. New article 4 and section refiled 2-9-96 as an emergency; operative 2-9-96 (Register 96, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-8-96 or emergency language will be repealed by operation of law on the following day.
4. New article 4 and section refiled 6-10-96 as an emergency; operative 6-10-96 (Register 96, No. 24). A Certificate of Compliance must be transmitted to OAL by 10-8-96 or emergency language will be repealed by operation of law on the following day.
5. New article 4 and section refiled  10-8-96 as an emergency; operative 10-8-96 (Register 96, No. 41). A Certificate of Compliance must be transmitted to OAL by 2-5-97 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 10-8-96 order transmitted to OAL 2-5-97; disapproved by OAL and order of repeal as to 10-8-96 order filed on 3-21-97 (Register 97, No. 12).
7. New article 4 and section filed 3-21-97 as an emergency; operative 3-21-97 (Register 97, No. 12). A Certificate of Compliance must be transmitted to OAL by 7-21-97 or emergency language will be repealed by operation of law on the following day.
8. Certificate of Compliance as to 3-21-97 order, including amendment of section, transmitted to OAL 7-21-97 and filed 8-21-97 (Register 97, No. 34).
§784.10. Mental Health Rehabilitation Center Director and Staff.
Note     •     History

Each mental health rehabilitation center shall employ or otherwise provide a mental health rehabilitation center director to be responsible for the administration and management of the mental health rehabilitation center. The qualifications, experience, skills and knowledge required of the individual identified as the mental health rehabilitation center director shall be established in writing. The director shall primarily be responsible for the administration and management of only one mental health rehabilitation center. Subject to Departmental approval, a director may be responsible for more than one mental health rehabilitation center.
(a) The licensee may act as the director or shall appoint a director. The licensee shall delegate to the designated director, in writing, authority to organize and manage the day-to-day functions of the mental health rehabilitation center. If the director is to be absent for more than 30 calendar days, the licensee shall appoint an acting director to be responsible for the day-to-day functions of the mental health rehabilitation center.
(b) A copy of the current mental health rehabilitation center regulations contained in this chapter shall be maintained by the director and shall be available to all personnel.
(c) The director shall be responsible for informing appropriate staff of the applicable additions, deletions and changes to mental health rehabilitation center regulations.
(d) The director shall be responsible for informing the Department, or its designee, via telephone within 24-hours of any unusual occurrence, as specified in Section 784.15. If the unusual occurrence involves the discontinuance or disruption of services occurring during other than regular business hours of the Department or its designee, a telephone report shall be made immediately upon the resumption of business hours of the Department.
(e) The licensee shall employ the number of qualified personnel needed to comply with all regulatory requirements and shall provide for an initial orientation of all new employees, a continuing in-service training program and supervision. The licensee shall ensure that consumers and family members of persons with mental disabilities have opportunities for employment, including employment as a peer counselor, in each mental health rehabilitation center operated by the licensee.
(f) If any language or communication barriers exist between mental health rehabilitation center staff and clients, arrangements shall be made for interpreters or for the use of other mechanisms to ensure adequate communication between clients and personnel.
(g) The Department reserves the right to require the licensee to provide additional professional, administrative or supportive personnel whenever the Department determines through a written evaluation that additional personnel are needed to provide for the health and safety of clients.
(h) The licensee shall ensure that all employees serving clients or the public shall wear name and title badges.
(i) Each mental health rehabilitation center shall have an orientation program for all newly hired employees. Each new employee shall be provided 20 hours of initial orientation to the mental health rehabilitation center organization, administrative policies and procedures, and plan of operation during the first week of employment for full time employees and the first month for part time employees.
NOTE

Authority cited: Sections 5675 and 5768, Welfare and Institutions Code; Section 3 of Chapter 678 of the Statutes of 1994. Reference: Sections 5675 and 5768, Welfare and Institutions Code.
HISTORY

1. New section filed 8-21-95 as an emergency; operative 8-21-95 (Register 95, No. 34). A Certificate of Compliance must be transmitted to OAL by 2-17-95 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 2-9-96 as an emergency; operative 2-9-96 (Register 96, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-8-96 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 6-10-96 as an emergency; operative 6-10-96 (Register 96, No. 24). A Certificate of Compliance must be transmitted to OAL by 10-8-96 or emergency language will be repealed by operation of law on the following day.
4. New section refiled 10-8-96 as an emergency; operative 10-8-96 (Register 96, No. 41). A Certificate of Compliance must be transmitted to OAL by 2-5-97 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 10-8-96 order transmitted to OAL 2-5-97; disapproved by OAL and order of repeal as to 10-8-96 order filed on 3-21-97 (Register 97, No. 12).
6. New section filed 3-21-97 as an emergency; operative 3-21-97 (Register 97, No. 12). A Certificate of Compliance must be transmitted to OAL by 7-21-97 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 3-21-97 order, including amendment of section heading and section, transmitted to OAL 7-21-97 and filed 8-21-97 (Register 97, No. 34).
§784.11. Employee Personnel Records.
Note     •     History

(a) Each licensee shall maintain current complete and accurate personnel records for all employees.
(1) The record shall include:
(A) Full name.
(B) Social Security Number.
(C) Professional license or registration number and date of expiration, if applicable.
(D) Employment classification.
(E) Information as to past employment and qualifications.
(F) Date of beginning employment.
(G) Date of termination of employment.
(H) Documented evidence of orientation to the mental health rehabilitation center and in-service training.
(I) Performance evaluations.
(2) Such records shall be retained for at least three (3) years following termination of employment. Employee personnel records shall be maintained in a confidential manner, and shall be made available to authorized representatives of the Department upon request.
(b) Records of hours and dates worked by all employees during at least the most recent 12-month period shall be kept on file at the place of employment or at a central location within the State of California. Upon request, such records shall be made available at a time and location specified by the Department.
(c) A permanent log of the temporary personnel employed in the mental health rehabilitation center shall be kept for three (3) years, and shall include the following:
(1) Employee's full name.
(2) Name of temporary services personnel agency.
(3) Professional license and registration number and date of expiration, if applicable.
(4) Verification of health status.
(5) Record of hours and dates worked.
(d) The above requirements do not apply to contract employees, with the exception of required professional licenses.
NOTE

Authority cited: Sections 5675 and 5768, Welfare and Institutions Code; Section 3 of Chapter 678 of the Statutes of 1994. Reference: Sections 5675 and 5768, Welfare and Institutions Code.
HISTORY

1. New section filed 8-21-95 as an emergency; operative 8-21-95 (Register 95, No. 34). A Certificate of Compliance must be transmitted to OAL by 2-17-95 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 2-9-96 as an emergency; operative 2-9-96 (Register 96, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-8-96 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 6-10-96 as an emergency; operative 6-10-96 (Register 96, No. 24). A Certificate of Compliance must be transmitted to OAL by 10-8-96 or emergency language will be repealed by operation of law on the following day.
4. New section refiled 10-8-96 as an emergency; operative 10-8-96 (Register 96, No. 41). A Certificate of Compliance must be transmitted to OAL by 2-5-97 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 10-8-96 order transmitted to OAL 2-5-97; disapproved by OAL and order of repeal as to 10-8-96 order filed on 3-21-97 (Register 97, No. 12).
6. New section filed 3-21-97 as an emergency; operative 3-21-97 (Register 97, No. 12). A Certificate of Compliance must be transmitted to OAL by 7-21-97 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 3-21-97 order, including renumbering of former section 784.11 to new section 784.26, and renumbering and amendment of former section 784.19 to new section 784.11, transmitted to OAL 7-21-97 and filed 8-21-97 (Register 97, No. 34).
§784.12. Employees' Health Examination and Health Records.
Note     •     History

(a) All employees working in the mental health rehabilitation center, including the licensee, shall have a health examination within 90 days prior to employment, or within seven (7) days after employment, and at least annually thereafter by a person lawfully authorized to perform such a procedure. Each such examination shall include a medical history and physical evaluation. The report signed by the examiner shall indicate that the person is sufficiently free of disease to perform assigned duties and does not have any health condition that would create a hazard for self, fellow employees, clients, or visitors.
(b) The initial health examination and subsequent annual examination shall include a screening for tuberculosis. The procedure shall conform with the State Department of Health Services' public health tuberculosis screening standards and requirements for employees of health facilities. Satisfactory written evidence of a tuberculosis screening within 90 days prior to employment shall be considered as meeting the intent of this section.
(c) The mental health rehabilitation center shall maintain a health record of the mental health rehabilitation center director and for each employee which includes reports of all employment-related health examinations. Such records shall be kept for a minimum of three years following termination of employment.
NOTE

Authority cited: Sections 5675 and 5768, Welfare and Institutions Code; Section 3 of Chapter 678 of the Statutes of 1994. Reference: Sections 5675 and 5768, Welfare and Institutions Code.
HISTORY

1. New section filed 8-21-95 as an emergency; operative 8-21-95 (Register 95, No. 34). A Certificate of Compliance must be transmitted to OAL by 2-17-95 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 2-9-96 as an emergency; operative 2-9-96 (Register 96, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-8-96 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 6-10-96 as an emergency; operative 6-10-96 (Register 96, No. 24). A Certificate of Compliance must be transmitted to OAL by 10-8-96 or emergency language will be repealed by operation of law on the following day.
4. New section refiled 10-8-96 as an emergency; operative 10-8-96 (Register 96, No. 41). A Certificate of Compliance must be transmitted to OAL by 2-5-97 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 10-8-96 order transmitted to OAL 2-5-97; disapproved by OAL and order of repeal as to 10-8-96 order filed on 3-21-97 (Register 97, No. 12).
6. New section filed 3-21-97 as an emergency; operative 3-21-97 (Register 97, No. 12). A Certificate of Compliance must be transmitted to OAL by 7-21-97 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 3-21-97 order, including renumbering of former section 784.12 to new section 784.26, and renumbering and amendment of former section 784.20 to new section 784.12, transmitted to OAL 7-21-97 and filed 8-21-97 (Register 97, No. 34).
§784.13. Use of Outside Resources.
Note     •     History

(a) If a mental health rehabilitation center does not employ qualified personnel to render a specific service to be provided by the mental health rehabilitation center, there shall be arrangements through a written agreement with outside resources which shall meet the standards and requirements of these regulations.
(b) Copies of affiliation agreements, contracts or written arrangements for advice, consultation, services, training or transportation, with other facilities, organizations or individuals, public or private agencies, shall be on file in the mental health rehabilitation center's administrative office. These shall be readily available for inspection and review by the Department.
NOTE

Authority cited: Sections 5675 and 5768, Welfare and Institutions Code; Section 3 of Chapter 678 of the Statutes of 1994. Reference: Sections 5675 and 5768, Welfare and Institutions Code.
HISTORY

1. New section filed 8-21-95 as an emergency; operative 8-21-95 (Register 95, No. 34). A Certificate of Compliance must be transmitted to OAL by 2-17-95 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 2-9-96 as an emergency; operative 2-9-96 (Register 96, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-8-96 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 6-10-96 as an emergency; operative 6-10-96 (Register 96, No. 24). A Certificate of Compliance must be transmitted to OAL by 10-8-96 or emergency language will be repealed by operation of law on the following day.
4. New section refiled 10-8-96 as an emergency; operative 10-8-96 (Register 96, No. 41). A Certificate of Compliance must be transmitted to OAL by 2-5-97 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 10-8-96 order transmitted to OAL 2-5-97; disapproved by OAL and order of repeal as to 10-8-96 order filed on 3-21-97 (Register 97, No. 12).
6. New section filed 3-21-97 as an emergency; operative 3-21-97 (Register 97, No. 12). A Certificate of Compliance must be transmitted to OAL by 7-21-97 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 3-21-97 order, including renumbering of former section 784.13 to new section 784.14, and renumbering and amendment of former section 784.14 to new section 784.13, transmitted to OAL 7-21-97 and filed 8-21-97 (Register 97, No. 34).
§784.14. Consumer Information to be Posted.
Note     •     History

(a) The following consumer information shall be conspicuously posted in a prominent location accessible to the public.
(1) Name, license number and date of employment of the current director of the mental health rehabilitation center.
(2) A listing of all services and special programs provided in the mental health rehabilitation center and those provided through written contracts.
(3) The current and following week's menus for regular and therapeutic diets.
(4) A notice that the mental health rehabilitation center's written admission and discharge policies are available upon request.
(5) A notice that a copy of the most recent licensing visit report and related plan(s) of correction, if any, are available for public review, upon request.
(6) The names and addresses of all previous owners of the mental health rehabilitation center.
(7) A listing of all other mental health rehabilitation centers and other facilities owned by the same person, firm, partnership, association, or corporation.
(8) A statement that an action to revoke the mental health rehabilitation center's license is pending, if such an action has been initiated by the filing of an accusation, pursuant to Section 11503 of the Government Code, and the accusation has been served on the licensee.
(9) A notice of the name, address and telephone number of the Licensing and Certification office, Department of Mental Health, which has jurisdiction over the mental health rehabilitation center.
NOTE

Authority cited: Sections 5675 and 5768, Welfare and Institutions Code; Section 3 of Chapter 678 of the Statutes of 1994. Reference: Sections 5675 and 5768, Welfare and Institutions Code.
HISTORY

1. New section filed 8-21-95 as an emergency; operative 8-21-95 (Register 95, No. 34). A Certificate of Compliance must be transmitted to OAL by 2-17-95 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 2-9-96 as an emergency; operative 2-9-96 (Register 96, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-8-96 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 6-10-96 as an emergency; operative 6-10-96 (Register 96, No. 24). A Certificate of Compliance must be transmitted to OAL by 10-8-96 or emergency language will be repealed by operation of law on the following day.
4. New section refiled 10-8-96 as an emergency; operative 10-8-96 (Register 96, No. 41). A Certificate of Compliance must be transmitted to OAL by 2-5-97 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 10-8-96 order transmitted to OAL 2-5-97; disapproved by OAL and order of repeal as to 10-8-96 order filed on 3-21-97 (Register 97, No. 12).
6. New section filed 3-21-97 as an emergency; operative 3-21-97 (Register 97, No. 12). A Certificate of Compliance must be transmitted to OAL by 7-21-97 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 3-21-97 order, including renumbering of former section 784.14 to new section 784.13, and renumbering and amendment of former section 784.13 to new section 784.14, transmitted to OAL 7-21-97 and filed 8-21-97 (Register 97, No. 34).
§784.15. Unusual Occurrences.
Note     •     History

(a) Occurrences such as epidemic outbreaks, poisonings, fires, major accidents, death from unnatural causes or other catastrophes and unusual occurrences which threaten the welfare, safety or health of clients, personnel or visitors shall be reported by the mental health rehabilitation center within 24-hours either by telephone (and confirmed in writing), by electronic or telephonic means, or by telegraph to the legal or authorized representative, local mental health director and the Department.
(1) An unusual occurrence report shall be retained on file by the facility for one year.
(2) The mental health rehabilitation center shall furnish such other pertinent information related to such occurrences as the local health officer or the Department may require.
(3) Every fire or explosion which occurs in or on the premises shall be reported within 24-hours to the local fire authority or in areas not having an organized fire service, to the State Fire Marshal.
(b) Client deaths shall be reported by the licensee to the Department or its designee by no later than twenty-four (24) hours following a client death.
(c) An unusual occurrence report shall be in writing and shall include detailed information specific to the date, time and setting, description of client physical condition, staff response, and planned follow-up.
NOTE

Authority cited: Sections 5675 and 5768, Welfare and Institutions Code; Section 3 of Chapter 678 of the Statutes of 1994. Reference: Sections 5675 and 5768, Welfare and Institutions Code.
HISTORY

1. New section filed 8-21-95 as an emergency; operative 8-21-95 (Register 95, No. 34). A Certificate of Compliance must be transmitted to OAL by 2-17-95 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 2-9-96 as an emergency; operative 2-9-96 (Register 96, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-8-96 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 6-10-96 as an emergency; operative 6-10-96 (Register 96, No. 24). A Certificate of Compliance must be transmitted to OAL by 10-8-96 or emergency language will be repealed by operation of law on the following day.
4. New section refiled 10-8-96 as an emergency; operative 10-8-96 (Register 96, No. 41). A Certificate of Compliance must be transmitted to OAL by 2-5-97 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 10-8-96 order transmitted to OAL 2-5-97; disapproved by OAL and order of repeal as to 10-8-96 order filed on 3-21-97 (Register 97, No. 12).
6. New section filed 3-21-97 as an emergency; operative 3-21-97 (Register 97, No. 12). A Certificate of Compliance must be transmitted to OAL by 7-21-97 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 3-21-97 order, including renumbering of former section 784.15 to new section 784.16, and renumbering and amendment of former section 784.16 to new section 784.15, transmitted to OAL 7-21-97 and filed 8-21-97 (Register 97, No. 34).
§784.16. Reporting of Communicable Diseases.
Note     •     History

All cases of reportable communicable diseases shall be reported to the local health officer in accordance with, Article 1 (commencing with Section 2500), Subchapter 1, Chapter 4, Title 17, California Code of Regulations.
NOTE

Authority cited: Sections 5675 and 5768, Welfare and Institutions Code; Section 3 of Chapter 678 of the Statutes of 1994. Reference: Sections 5675 and 5768, Welfare and Institutions Code.
HISTORY

1. New section filed 8-21-95 as an emergency; operative 8-21-95 (Register 95, No. 34). A Certificate of Compliance must be transmitted to OAL by 2-17-95 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 2-9-96 as an emergency; operative 2-9-96 (Register 96, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-8-96 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 6-10-96 as an emergency; operative 6-10-96 (Register 96, No. 24). A Certificate of Compliance must be transmitted to OAL by 10-8-96 or emergency language will be repealed by operation of law on the following day.
4. New section refiled 10-8-96 as an emergency; operative 10-8-96 (Register 96, No. 41). A Certificate of Compliance must be transmitted to OAL by 2-5-97 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 10-8-96 order transmitted to OAL 2-5-97; disapproved by OAL and order of repeal as to 10-8-96 order filed on 3-21-97 (Register 97, No. 12).
6. New section filed 3-21-97 as an emergency; operative 3-21-97 (Register 97, No. 12). A Certificate of Compliance must be transmitted to OAL by 7-21-97 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 3-21-97 order, including renumbering of former section 784.16 to new section 784.15, and renumbering and amendment of former section 784.15 to new section 784.16, transmitted to OAL 7-21-97 and filed 8-21-97 (Register 97, No. 34).
§784.17. Infectious Diseases.
Note     •     History

The facility shall adopt, observe and implement written infection control policies and procedures. These policies and procedures shall be reviewed at least annually and revised as needed.
NOTE

Authority cited: Sections 5675 and 5768, Welfare and Institutions Code; Section 3 of Chapter 678 of the Statutes of 1994. Reference: Sections 5675 and 5768, Welfare and Institutions Code.
HISTORY

1. New section filed 8-21-95 as an emergency; operative 8-21-95 (Register 95, No. 34). A Certificate of Compliance must be transmitted to OAL by 2-17-95 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 2-9-96 as an emergency; operative 2-9-96 (Register 96, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-8-96 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 6-10-96 as an emergency; operative 6-10-96 (Register 96, No. 24). A Certificate of Compliance must be transmitted to OAL by 10-8-96 or emergency language will be repealed by operation of law on the following day.
4. New section refiled 10-8-96 as an emergency; operative 10-8-96 (Register 96, No. 41). A Certificate of Compliance must be transmitted to OAL by 2-5-97 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 10-8-96 order transmitted to OAL 2-5-97; disapproved by OAL and order of repeal as to 10-8-96 order filed on 3-21-97 (Register 97, No. 12).
6. New section filed 3-21-97 as an emergency; operative 3-21-97 (Register 97, No. 12). A Certificate of Compliance must be transmitted to OAL by 7-21-97 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 3-21-97 order transmitted to OAL 7-21-97 and filed 8-21-97 (Register 97, No. 34).
§784.18. Storage and Disposal of Solid Waste.
Note     •     History

(a) Solid wastes shall be stored and eliminated in a manner to preclude the transmission of communicable disease. These wastes shall not be a nuisance or a breeding place for insects or rodents nor be a food source for either.
(b) Solid waste containers shall be stored and located in a manner that will minimize odors in client or dietary areas.
(c) Before being discarded into waste containers, syringes and needles shall be rendered unusable.
NOTE

Authority cited: Sections 5675 and 5768, Welfare and Institutions Code; Section 3 of Chapter 678 of the Statutes of 1994. Reference: Sections 5675 and 5768, Welfare and Institutions Code.
HISTORY

1. New section filed 8-21-95 as an emergency; operative 8-21-95 (Register 95, No. 34). A Certificate of Compliance must be transmitted to OAL by 2-17-95 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 2-9-96 as an emergency; operative 2-9-96 (Register 96, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-8-96 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 6-10-96 as an emergency; operative 6-10-96 (Register 96, No. 24). A Certificate of Compliance must be transmitted to OAL by 10-8-96 or emergency language will be repealed by operation of law on the following day.
4. New section refiled 10-8-96 as an emergency; operative 10-8-96 (Register 96, No. 41). A Certificate of Compliance must be transmitted to OAL by 2-5-97 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 10-8-96 order transmitted to OAL 2-5-97; disapproved by OAL and order of repeal as to 10-8-96 order filed on 3-21-97 (Register 97, No. 12).
6. New section filed 3-21-97 as an emergency; operative 3-21-97 (Register 97, No. 12). A Certificate of Compliance must be transmitted to OAL by 7-21-97 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 3-21-97 order, including renumbering of former section 784.18 to new section 784.21, and renumbering of former section 784.48 to new section 784.18, transmitted to OAL 7-21-97 and filed 8-21-97 (Register 97, No. 34).
§784.19. Solid Waste Containers.
Note     •     History

(a) All containers used by the mental health rehabilitation center, except movable bins used for storage of solid waste, shall have tight-fitting covers in good repair, external handles and be leakproof and rodent proof.
(b) Movable bins when used for storing or transporting solid waste from the premises shall have approval of the local health Department and shall meet the following requirements:
(1) Have tight-fitting covers, closed when not being loaded.
(2) Be in good condition.
(3) Be leakproof.
(4) Be rodent proof unless stored in a room or screened enclosure.
(c) All containers receiving putrescible wastes shall be emptied at least every four days, or more, if necessary.
(d) Solid waste containers, including movable bins, shall be thoroughly washed and cleaned each time they are emptied unless soil contact surfaces have been completely protected from contamination by disposable liners, bags or other devices removed with the waste. Each movable bin shall be accessible and shall have a drainage device to allow complete cleaning at the storage area.
NOTE

Authority cited: Sections 5675 and 5768, Welfare and Institutions Code; Section 3 of Chapter 678 of the Statutes of 1994. Reference: Sections 5675 and 5768, Welfare and Institutions Code.
HISTORY

1. New section filed 8-21-95 as an emergency; operative 8-21-95 (Register 95, No. 34). A Certificate of Compliance must be transmitted to OAL by 2-17-95 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 2-9-96 as an emergency; operative 2-9-96 (Register 96, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-8-96 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 6-10-96 as an emergency; operative 6-10-96 (Register 96, No. 24). A Certificate of Compliance must be transmitted to OAL by 10-8-96 or emergency language will be repealed by operation of law on the following day.
4. New section refiled 10-8-96 as an emergency; operative 10-8-96 (Register 96, No. 41). A Certificate of Compliance must be transmitted to OAL by 2-5-97 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 10-8-96 order transmitted to OAL 2-5-97; disapproved by OAL and order of repeal as to 10-8-96 order filed on 3-21-97 (Register 97, No. 12).
6. New section filed 3-21-97 as an emergency; operative 3-21-97 (Register 97, No. 12). A Certificate of Compliance must be transmitted to OAL by 7-21-97 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 3-21-97 order, including renumbering of former section 784.19 to new section 784.11, and renumbering and amendment of former section 784.49 to new section 784.19, transmitted to OAL 7-21-97 and filed 8-21-97 (Register 97, No. 34).
§784.20. Infectious Waste.
Note     •     History

Infectious waste, as defined in Section 117690 of the Health and Safety Code, shall be handled and disposed of in accordance with the Medical Waste Management Act, Chapter 2 of Part 14 of Division 104, Health and Safety Code (commencing with Section 117600).
NOTE

Authority cited: Sections 5675 and 5768, Welfare and Institutions Code; Section 3 of Chapter 678 of the Statutes of 1994. Reference: Sections 5675 and 5768, Welfare and Institutions Code.
HISTORY

1. New section filed 8-21-95 as an emergency; operative 8-21-95 (Register 95, No. 34). A Certificate of Compliance must be transmitted to OAL by 2-17-95 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 2-9-96 as an emergency; operative 2-9-96 (Register 96, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-8-96 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 6-10-96 as an emergency; operative 6-10-96 (Register 96, No. 24). A Certificate of Compliance must be transmitted to OAL by 10-8-96 or emergency language will be repealed by operation of law on the following day.
4. New section refiled 10-8-96 as an emergency; operative 10-8-96 (Register 96, No. 41). A Certificate of Compliance must be transmitted to OAL by 2-5-97 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 10-8-96 order transmitted to OAL 2-5-97; disapproved by OAL and order of repeal as to 10-8-96 order filed on 3-21-97 (Register 97, No. 12).
6. New section filed 3-21-97 as an emergency; operative 3-21-97 (Register 97, No. 12). A Certificate of Compliance must be transmitted to OAL by 7-21-97 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 3-21-97 order, including renumbering of former section 784.20 to new section 784.12, and renumbering and amendment of former section 784.50 to new section 784.20, transmitted to OAL 7-21-97 and filed 8-21-97 (Register 97, No. 34).
§784.21. Cleaning, Disinfecting and Sterilizing.
Note     •     History

(a) Each facility shall have a written manual on cleaning, disinfecting and sterilizing procedures. The manual shall include procedures to be used in the care of utensils, instruments, solutions, dressings, articles and surfaces and shall be available for use by facility personnel. All procedures shall be carried out in accordance with the manual.
(b) Each facility shall make provision for the cleaning and disinfecting of contaminated articles and surfaces which cannot be sterilized.
(c) Individual client care supply items designed and identified by the manufacturer to be disposable shall not be reused.
(d) The facility shall provide for:
(1) Effective separation of soiled and contaminated supplies and equipment from clean and sterilized supplies and equipment.
(2) Clean cabinets for the storage of sterile supplies and equipment.
(3) An orderly system of rotation of supplies so that the supplies stored first shall be used first.
NOTE

Authority cited: Sections 5675 and 5768, Welfare and Institutions Code; Section 3 of Chapter 678 of the Statutes of 1994. Reference: Sections 5675 and 5768, Welfare and Institutions Code.
HISTORY

1. New section filed 8-21-95 as an emergency; operative 8-21-95 (Register 95, No. 34). A Certificate of Compliance must be transmitted to OAL by 2-17-95 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 2-9-96 as an emergency; operative 2-9-96 (Register 96, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-8-96 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 6-10-96 as an emergency; operative 6-10-96 (Register 96, No. 24). A Certificate of Compliance must be transmitted to OAL by 10-8-96 or emergency language will be repealed by operation of law on the following day.
4. New section refiled 10-8-96 as an emergency; operative 10-8-96 (Register 96, No. 41). A Certificate of Compliance must be transmitted to OAL by 2-5-97 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 10-8-96 order transmitted to OAL 2-5-97; disapproved by OAL and order of repeal as to 10-8-96 order filed on 3-21-97 (Register 97, No. 12).
6. New section filed 3-21-97 as an emergency; operative 3-21-97 (Register 97, No. 12). A Certificate of Compliance must be transmitted to OAL by 7-21-97 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 3-21-97 order, including renumbering of former section 784.21 to new section 784.28, and renumbering of former section 784.18 to new section 784.21, transmitted to OAL 7-21-97 and filed 8-21-97 (Register 97, No. 34).
§784.22. Soiled Linen.
Note     •     History

(a) Soiled linen shall be handled, stored and processed in a manner that will prevent the spread of infection.
(b) Soiled linens shall be sorted in a separate room by methods affording protection from contamination.
(c) Soiled linen shall be stored and transported in a closed container which does not permit airborne contamination of corridors and areas occupied by clients and precludes cross contamination of clean linen.
(d) When laundry chutes are used to transport soiled linen, they shall be maintained in a clean, sanitary state.
NOTE

Authority cited: Sections 5675 and 5768, Welfare and Institutions Code; Section 3 of Chapter 678 of the Statutes of 1994. Reference: Sections 5675 and 5768, Welfare and Institutions Code.
HISTORY

1. New section filed 8-21-95 as an emergency; operative 8-21-95 (Register 95, No. 34). A Certificate of Compliance must be transmitted to OAL by 2-17-95 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 2-9-96 as an emergency; operative 2-9-96 (Register 96, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-8-96 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 6-10-96 as an emergency; operative 6-10-96 (Register 96, No. 24). A Certificate of Compliance must be transmitted to OAL by 10-8-96 or emergency language will be repealed by operation of law on the following day.
4. New section refiled 10-8-96 as an emergency; operative 10-8-96 (Register 96, No. 41). A Certificate of Compliance must be transmitted to OAL by 2-5-97 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 10-8-96 order transmitted to OAL 2-5-97; disapproved by OAL and order of repeal as to 10-8-96 order filed on 3-21-97 (Register 97, No. 12).
6. New section filed 3-21-97 as an emergency; operative 3-21-97 (Register 97, No. 12). A Certificate of Compliance must be transmitted to OAL by 7-21-97 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 3-21-97 order, including renumbering of former section 784.22 to new section 784.27, and renumbering of former section 784.45 to new section 784.22, transmitted to OAL 7-21-97 and filed 8-21-97 (Register 97, No. 34).
§784.23. Clean Linen.
Note     •     History

(a) Clean linen shall be stored, handled and transported in a way that precludes cross-contamination.
(b) Clean linen shall be stored in clean, ventilated closets, rooms or alcoves, used only for that purpose.
(c) Clean linen from a commercial laundry shall be delivered to a designated clean area in a manner that prevents contamination.
(d) Linens shall not be threadbare and shall be maintained in good repair.
(e) A supply of linen shall be provided sufficient for not less than three complete bed changes for the mental health rehabilitation center's licensed capacity.
(f) A supply of clean wash cloths and towels shall be provided and available to staff to meet the care needs of the clients.
NOTE

Authority cited: Sections 5675 and 5768, Welfare and Institutions Code; Section 3 of Chapter 678 of the Statutes of 1994. Reference: Sections 5675 and 5768, Welfare and Institutions Code.
HISTORY

1. New section filed 8-21-95 as an emergency; operative 8-21-95 (Register 95, No. 34). A Certificate of Compliance must be transmitted to OAL by 2-17-95 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 2-9-96 as an emergency; operative 2-9-96 (Register 96, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-8-96 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 6-10-96 as an emergency; operative 6-10-96 (Register 96, No. 24). A Certificate of Compliance must be transmitted to OAL by 10-8-96 or emergency language will be repealed by operation of law on the following day.
4. New section refiled 10-8-96 as an emergency; operative 10-8-96 (Register 96, No. 41). A Certificate of Compliance must be transmitted to OAL by 2-5-97 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 10-8-96 order transmitted to OAL 2-5-97; disapproved by OAL and order of repeal as to 10-8-96 order filed on 3-21-97 (Register 97, No. 12).
6. New section filed 3-21-97 as an emergency; operative 3-21-97 (Register 97, No. 12). A Certificate of Compliance must be transmitted to OAL by 7-21-97 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 3-21-97 order, including renumbering of former section 784.23 to new section 784.31, and renumbering and amendment of former section 784.44 to new section 784.23, transmitted to OAL 7-21-97 and filed 8-21-97 (Register 97, No. 34).
§784.24. Fire and Internal Disasters.
Note     •     History

(a) A written fire and internal disaster plan incorporating evacuation procedures shall be developed with the assistance of qualified fire, safety and other appropriate experts. A copy of the plan shall be available on the premises for review by the staff and the Department.
(b) The written plan shall include at least the following:
(1) Procedures for the assignment of personnel to specific tasks and responsibilities.
(2) Procedures for the use of alarm systems and signals.
(3) Procedures for fire containment.
(4) Priority for notification of staff including names and telephone numbers.
(5) Location of fire-fighting equipment.
(6) Procedures for evacuation and specification of evacuation routes.
(7) Procedures for moving clients from damaged areas of the mental health rehabilitation center to undamaged areas.
(8) Procedures for emergency transfer of clients who can be moved to health facilities, including arrangements for safe and efficient transportation.
(9) Procedures for emergency discharge of clients who can be discharged without jeopardy into the community, including prior arrangements for their care, arrangements for safe and efficient transportation and at least one follow-up inquiry within 24 hours to ascertain that clients are receiving their required care.
(10) A written disaster tag or note containing all pertinent personal and medical information to accompany each client who is moved, transferred, discharged or evacuated.
(11) Procedures for maintaining a record of client relocation.
(12) Procedures for handling incoming or relocated clients.
(13) Other provisions as dictated by circumstances.
(c) Fire and internal disaster drills shall be held at least quarterly, under varied conditions for each individual shift of the facility personnel. The actual evacuation of clients to safe areas during a drill is optional.
(d) The evacuation plan shall be posted throughout the mental health rehabilitation center and shall include at least the following:
(1) Evacuation routes.
(2) Location of fire alarm boxes.
(3) Location of fire extinguishers.
(4) Emergency telephone number of the local fire department.
(e) A dated, written report and evaluation of each drill and rehearsal shall be maintained and shall include signatures of all employees who participated.
NOTE

Authority cited: Sections 5675 and 5768, Welfare and Institutions Code. Reference: Sections 5675 and 5768, Welfare and Institutions Code.
HISTORY

1. New section filed 8-21-95 as an emergency; operative 8-21-95 (Register 95, No. 34). A Certificate of Compliance must be transmitted to OAL by 2-17-95 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 2-9-96 as an emergency; operative 2-9-96 (Register 96, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-8-96 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 6-10-96 as an emergency; operative 6-10-96 (Register 96, No. 24). A Certificate of Compliance must be transmitted to OAL by 10-8-96 or emergency language will be repealed by operation of law on the following day.
4. New section refiled 10-8-96 as an emergency; operative 10-8-96 (Register 96, No. 41). A Certificate of Compliance must be transmitted to OAL by 2-5-97 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 10-8-96 order transmitted to OAL 2-5-97; disapproved by OAL and order of repeal as to 10-8-96 order filed on 3-21-97 (Register 97, No. 12).
6. New section filed 3-21-97 as an emergency; operative 3-21-97 (Register 97, No. 12). A Certificate of Compliance must be transmitted to OAL by 7-21-97 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 3-21-97 order, including renumbering of former section 784.24 to new section 784.34, and renumbering and amendment of former section 784.32 to new section 784.24, transmitted to OAL 7-21-97 and filed 8-21-97 (Register 97, No. 34).
§784.25. External Disaster and Mass Casualty Program.
Note     •     History

(a) A written external disaster and mass casualty program plan shall be adopted and followed. The plan shall be developed with the advice and assistance of county or regional and local planning offices and shall not conflict with county and community disaster plans. A copy of the plan shall be available on the premises for review by the Department.
(b) The plan shall provide procedures in event of community and widespread disasters. The written plan shall include at least the following:
(1) Sources of emergency utilities and supplies, including gas, water, food and essential medical supportive materials.
(2) Procedures for assigning personnel and recalling off-duty personnel.
(3) Unified medical command; chart of lines of emergency authority in the mental health rehabilitation center.
(4) Procedures for the conversion of all usable space into areas for client observation and immediate care of emergency admissions.
(5) Prompt transfer of casualties when necessary and after preliminary medical services have been rendered, to the mental health rehabilitation center most appropriate for administering definitive care. Procedures for moving clients from damaged areas of the mental health rehabilitation center to undamaged areas.
(6) Arrangements for provision of transportation of clients including emergency housing where indicated. Procedures for emergency transfers of clients who need to be moved to health care facilities, including arrangements for safe and efficient transportation and transfer information.
(7) Procedures for emergency discharge of clients who can be discharged without jeopardy into the community, including prior arrangements for their care, arrangements for safe and efficient transportation and at least one follow-up inquiry within 24 hours, to ascertain that clients are receiving required care.
(8) Procedures for maintaining a record of client relocation.
(9) An evacuation plan, including evacuation routes, emergency phone numbers of physicians, health facilities, the fire department and local emergency medical services agencies and arrangements for the safe transfer of clients after evacuation.
(10) A tag containing all pertinent personal and medical information which shall accompany each client who is moved, transferred, discharged or evacuated.
(11) Procedures for maintaining security in order to keep relatives, visitors and curious persons out of the mental health rehabilitation center during a disaster.
(12) Procedures for providing emergency care to incoming clients from other facilities.
(13) Assignment of public relations liaison duties to a responsible individual employed by the mental health rehabilitation center to release information to the public during a disaster.
(c) The plan shall be reviewed at least annually and revised as necessary to ensure that the plan is current. All personnel shall be instructed in the requirements of the plan. There shall be evidence in the personnel files, or the orientation checklist, indicating that all new employees have been oriented to the plan and procedures at the beginning of their employment.
(d) The mental health rehabilitation center shall participate in all local and state disaster drills and test exercises when asked to do so by the local or state disaster or emergency medical services agencies.
(e) A disaster drill shall be held by the mental health rehabilitation center at six (6)-month intervals. There shall be a written report of the mental health rehabilitation center's participation in each drill or test exercise. Staff from all shifts shall participate in drills or test exercises.
NOTE

Authority cited: Sections 5675 and 5768, Welfare and Institutions Code; Section 3 of Chapter 678 of the Statutes of 1994. Reference: Sections 5675 and 5768, Welfare and Institutions Code.
HISTORY

1. New section filed 8-21-95 as an emergency; operative 8-21-95 (Register 95, No. 34). A Certificate of Compliance must be transmitted to OAL by 2-17-95 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 2-9-96 as an emergency; operative 2-9-96 (Register 96, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-8-96 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 6-10-96 as an emergency; operative 6-10-96 (Register 96, No. 24). A Certificate of Compliance must be transmitted to OAL by 10-8-96 or emergency language will be repealed by operation of law on the following day.
4. New section refiled 10-8-96 as an emergency; operative 10-8-96 (Register 96, No. 41). A Certificate of Compliance must be transmitted to OAL by 2-5-97 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 10-8-96 order transmitted to OAL 2-5-97; disapproved by OAL and order of repeal as to 10-8-96 order filed on 3-21-97 (Register 97, No. 12).
6. New section filed 3-21-97 as an emergency; operative 3-21-97 (Register 97, No. 12). A Certificate of Compliance must be transmitted to OAL by 7-21-97 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 3-21-97 order, including renumbering of former section 784.25 to new section 784.35, and renumbering and amendment of former section 784.35 to new section 784.25, transmitted to OAL 7-21-97 and filed 8-21-97 (Register 97, No. 34).
§784.26. Admission of Clients.
Note     •     History

The licensee shall:
(a) Have and implement written admission and discharge policies encompassing which licensed mental health professionals can accept clients for admission to the facility, the types of diagnoses for which clients can be admitted, limitations imposed by law or licensure, and staffing limitations. These policies shall be made available to clients or their representatives upon admission, and shall be made available to the public upon request.
(b) Not admit or discharge a client on the basis of race, color, religion, ancestry or national origin. Any bonafide nonprofit religious, fraternal or charitable organization which can demonstrate to the satisfaction of the Department that its primary or substantial purpose is not to evade this subsection may establish admission policies limiting or giving preference to its own members or adherents and such policies shall not be construed as being in noncompliance with (d) below. Any admission of nonmembers or nonadherents shall be subject to (d) below.
(c) Admit clients who are 18 years of age or older, who are considered seriously and persistently mentally disabled, who otherwise would be placed in a state hospital or other mental health facility, and for whom such a setting is the least restrictive alternative available to meet their needs.
(d) Not admit any person who is nonambulatory, requires a level or levels of medical care not provided, who would be appropriately served by an acute psychiatric hospital, or who is diagnosed only with a substance abuse or eating disorder.
(1) For the purposes of this provision, nonambulatory means the inability to exit the mental health rehabilitation center unassisted under emergency conditions with reasonable accommodations. Every accommodation must be determined on a case-by-case basis, taking into consideration the mental health rehabilitation center's staffing level required pursuant to this chapter.
NOTE

Authority cited: Sections 5675 and 5768, Welfare and Institutions Code; Section 3 of Chapter 678 of the Statutes of 1994. Reference: Sections 5675 and 5768, Welfare and Institutions Code.
HISTORY

1. New section filed 8-21-95 as an emergency; operative 8-21-95 (Register 95, No. 34). A Certificate of Compliance must be transmitted to OAL by 2-17-95 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 2-9-96 as an emergency; operative 2-9-96 (Register 96, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-8-96 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 6-10-96 as an emergency; operative 6-10-96 (Register 96, No. 24). A Certificate of Compliance must be transmitted to OAL by 10-8-96 or emergency language will be repealed by operation of law on the following day.
4. New section refiled 10-8-96 as an emergency; operative 10-8-96 (Register 96, No. 41). A Certificate of Compliance must be transmitted to OAL by 2-5-97 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 10-8-96 order transmitted to OAL 2-5-97; disapproved by OAL and order of repeal as to 10-8-96 order filed on 3-21-97 (Register 97, No. 12).
6. New section filed 3-21-97 as an emergency; operative 3-21-97 (Register 97, No. 12). A Certificate of Compliance must be transmitted to OAL by 7-21-97 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 3-21-97 order, including repealer of former section 784.26, and renumbering and amendment of former section 784.11 to new section 784.26, transmitted to OAL 7-21-97 and filed 8-21-97 (Register 97, No. 34).
§784.27. Admission Records.
Note     •     History

(a) For each client a mental health rehabilitation center shall complete an admission record which shall include the following:
(1) Name and Social Security Number.
(2) Current address.
(3) Age and date of birth.
(4) Sex.
(5) Date of admission.
(6) Name, address and telephone number of the legal or authorized authorized representative, person or agency responsible for client and next of kin.
(7) Name, address and telephone number of the practitioner who is primarily responsible for the treatment of the client.
(8) Admission diagnoses.
(9) Medicare and Medi-Cal numbers when appropriate.
(10) An inventory including but not limited to:
(A) Items of jewelry.
(B) Items of furniture.
(C) Radios, television and other appliances.
(D) Prosthetic and orthopedic devices.
(E) Other valuable items, so identified by the client, family or authorized representative.
NOTE

Authority cited: Sections 5675 and 5768, Welfare and Institutions Code; Section 3 of Chapter 678 of the Statutes of 1994. Reference: Sections 5675 and 5768, Welfare and Institutions Code.
HISTORY

1. New section filed 8-21-95 as an emergency; operative 8-21-95 (Register 95, No. 34). A Certificate of Compliance must be transmitted to OAL by 2-17-95 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 2-9-96 as an emergency; operative 2-9-96 (Register 96, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-8-96 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 6-10-96 as an emergency; operative 6-10-96 (Register 96, No. 24). A Certificate of Compliance must be transmitted to OAL by 10-8-96 or emergency language will be repealed by operation of law on the following day.
4. New section refiled 10-8-96 as an emergency; operative 10-8-96 (Register 96, No. 41). A Certificate of Compliance must be transmitted to OAL by 2-5-97 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 10-8-96 order transmitted to OAL 2-5-97; disapproved by OAL and order of repeal as to 10-8-96 order filed on 3-21-97 (Register 97, No. 12).
6. New section filed 3-21-97 as an emergency; operative 3-21-97 (Register 97, No. 12). A Certificate of Compliance must be transmitted to OAL by 7-21-97 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 3-21-97 order, including renumbering of former section 784.27 to new section 784.36, and renumbering and amendment of former section 784.22 to new section 784.27, transmitted to OAL 7-21-97 and filed 8-21-97 (Register 97, No. 34).
§784.28. Clients' Records.
Note     •     History

(a) Clients' records shall be permanent, either typewritten or legibly written in ink, be capable of being photocopied and shall be kept on all clients admitted or accepted for care. All health records of discharged clients shall be completed and filed within 30 days after discharge date and such records shall be kept for a minimum of seven (7) years. All required records, either originals or accurate reproductions thereof, shall be maintained in such form as to be legible and readily available upon the request of the attending physician, the mental health rehabilitation center staff or any authorized officer, agency, or employee of either, or any other person authorized by law to make such request.
(b) Information contained in the clients' records shall be confidential and shall be disclosed only to authorized persons in accordance with federal, state and local laws.
(c) If a mental health rehabilitation center ceases operation, the Department shall be informed within three (3) business days by the licensee of the arrangements made for the safe preservation of the client's health records.
(d) The Department shall be informed within three business days, in writing, whenever client records are defaced or destroyed prior to expiration of the required retention period.
(e) If the ownership of the mental health rehabilitation center changes, both the licensee and the applicant for the new license shall, prior to the change of ownership, provide the Department with written documentation stating:
(1) That the new licensee shall have custody of the clients' records and that these records or copies shall be available to the former licensee, the new licensee and other authorized persons; or
(2) That other arrangements have been made by the licensee for the safe preservation and the location of the clients' records, and that they are available to both the new and former licensees and other authorized persons; or
(3) The reason for the unavailability of such records.
(f) Clients' records shall be current and kept in detail consistent with good medical and professional practice based on the service provided to each client. Such records shall be filed and maintained in accordance with these requirements and shall be available for review by the Department. All entries in the record shall be authenticated with the date, name, and title of the persons making the entry.
(g) All current clinical information pertaining to clients' stay shall be centralized in clients' records.
(h) Clients' records shall be filed in an accessible manner in the mental health rehabilitation center or in health record storage. Storage of records shall provide for prompt retrieval when needed for continuity of care. Records can be stored off the mental health rehabilitation center premises only with the prior approval of the Department.
(i) Clients' records shall not be removed from the mental health rehabilitation center, except for storage after the client is discharged, unless expressly and specifically authorized by the Department.
NOTE

Authority cited: Sections 5675 and 5768, Welfare and Institutions Code; Section 3 of Chapter 678 of the Statutes of 1994. Reference: Sections 5675 and 5768, Welfare and Institutions Code.
HISTORY

1. New section filed 8-21-95 as an emergency; operative 8-21-95 (Register 95, No. 34). A Certificate of Compliance must be transmitted to OAL by 2-17-95 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 2-9-96 as an emergency; operative 2-9-96 (Register 96, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-8-96 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 6-10-96 as an emergency; operative 6-10-96 (Register 96, No. 24). A Certificate of Compliance must be transmitted to OAL by 10-8-96 or emergency language will be repealed by operation of law on the following day.
4. New section refiled 10-8-96 as an emergency; operative 10-8-96 (Register 96, No. 41). A Certificate of Compliance must be transmitted to OAL by 2-5-97 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 10-8-96 order transmitted to OAL 2-5-97; disapproved by OAL and order of repeal as to 10-8-96 order filed on 3-21-97 (Register 97, No. 12).
6. New section filed 3-21-97 as an emergency; operative 3-21-97 (Register 97, No. 12). A Certificate of Compliance must be transmitted to OAL by 7-21-97 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 3-21-97 order, including renumbering of former section 784.28 to new section 784.37, and renumbering and amendment of former section 784.21 to new section 784.28, transmitted to OAL 7-21-97 and filed 8-21-97 (Register 97, No. 34).
§784.29. Informed Consent to Medical Treatment.
Note     •     History

(a) It is the responsibility of a physician to determine what information a reasonable person in the client's condition and circumstances would consider material to a decision to accept or refuse a proposed treatment or procedure. The disclosure of any material information and obtaining informed consent shall be the responsibility of the a physician.
(b) Informed consent must include a verbal explanation by a physician of the client's right to refuse or accept medical treatment. It must include a written consent form signed by the client indicating the above information has been given. The signed consent form is to be obtained and kept in the client's record as specified in Sections 851 and 852.
(c) No medical treatment may be administered to a client without informed consent except in an emergency situation as defined by Section 853 or circumstances otherwise authorized by law.
(d) The client has the right to accept or refuse the proposed treatment, and if he or she consents, has the right to revoke his or her consent for any reason at any time. Licensed mental health professionals or licensed nursing staff shall verify that the client's health record contains documentation that the client has given informed consent to the proposed treatment or procedure.
(e) This section shall not be construed to require obtaining informed consent each time a treatment or procedure is administered unless material circumstances or risks change.
(f) Treatment may be initiated without informed consent if there is documentation within the client's health record that an emergency exists where there is an unanticipated condition in which immediate action is necessary for preservation of life or the prevention of serious bodily harm to the client or others or to alleviate severe physical pain, and it is impracticable to obtain the required consent, and provided that the action taken is within the customary practice of physicians of good standing in similar circumstances.
(g) A general consent provision in a contract for admission shall only encompass consent for routine nursing care or emergency care. Routine nursing care, as used in this section, means a treatment or procedure that does not require informed consent as specified in this section, or that is determined by the physician not to require the disclosure of information material to the individual client. Routine nursing care includes, but is not limited to, care that does not require the order of a physician. This section does not preclude the use of informed consent forms for any specific treatment or procedure at the time of admission or at any other time. All consent provisions or forms shall indicate that the client or incapacitated client's legal representative may revoke his or her consent at any time.
(h) If a client or his or her legal representative cannot communicate with the physician because of language or communication barriers, the mental health rehabilitation center shall arrange for an interpreter.
(1) An interpreter shall be someone who is fluent in both English and the language used by the client and his or her legal representative, or someone who can communicate with a deaf person, if deafness is the communication barrier.
(2) When interpreters are used, they shall be physically present and documentation shall be placed in the client record indicating the name of the person who acted as the interpreter and his or her relationship to the client and to the mental health rehabilitation center.
NOTE

Authority cited: Sections 5675 and 5768, Welfare and Institutions Code; Section 3 of Chapter 678 of the Statutes of 1994. Reference: Sections 5675 and 5768, Welfare and Institutions Code.
HISTORY

1. New section filed 8-21-95 as an emergency; operative 8-21-95 (Register 95, No. 34). A Certificate of Compliance must be transmitted to OAL by 2-17-95 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 2-9-96 as an emergency; operative 2-9-96 (Register 96, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-8-96 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 6-10-96 as an emergency; operative 6-10-96 (Register 96, No. 24). A Certificate of Compliance must be transmitted to OAL by 10-8-96 or emergency language will be repealed by operation of law on the following day.
4. New section refiled 10-8-96 as an emergency; operative 10-8-96 (Register 96, No. 41). A Certificate of Compliance must be transmitted to OAL by 2-5-97 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 10-8-96 order transmitted to OAL 2-5-97; disapproved by OAL and order of repeal as to 10-8-96 order filed on 3-21-97 (Register 97, No. 12).
6. New section filed 3-21-97 as an emergency; operative 3-21-97 (Register 97, No. 12). A Certificate of Compliance must be transmitted to OAL by 7-21-97 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 3-21-97 order, including renumbering of former section 784.29 to new section 784.38, and renumbering of former section 784.30 to new section 784.29 with amendment of section heading and section, transmitted to OAL 7-21-97 and filed 8-21-97 (Register 97, No. 34).
§784.30. Temporary Medical Client Transfer.
Note     •     History

The licensee shall maintain written transfer agreements with health or other facilities to make the services of those facilities accessible to the mental health rehabilitation center clients. Complete and accurate client information, in sufficient detail to provide for continuity of care, shall be transferred with the client at time of transfer.
(a) When a client is transferred to another facility or setting, the following shall be entered in the client record:
(1) The date, time, condition of the client and a written statement of the reason for the transfer.
(2) Informed written or telephone acknowledgment of the transfer by the client or legal representative except in an emergency as provided in subsection 784.29(f).
NOTE

Authority cited: Sections 5675 and 5768, Welfare and Institutions Code; Section 3 of Chapter 678 of the Statutes of 1994. Reference: Sections 5675 and 5768, Welfare and Institutions Code.
HISTORY

1. New section filed 8-21-95 as an emergency; operative 8-21-95 (Register 95, No. 34). A Certificate of Compliance must be transmitted to OAL by 2-17-95 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 2-9-96 as an emergency; operative 2-9-96 (Register 96, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-8-96 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 6-10-96 as an emergency; operative 6-10-96 (Register 96, No. 24). A Certificate of Compliance must be transmitted to OAL by 10-8-96 or emergency language will be repealed by operation of law on the following day.
4. New section refiled 10-8-96 as an emergency; operative 10-8-96 (Register 96, No. 41). A Certificate of Compliance must be transmitted to OAL by 2-5-97 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 10-8-96 order transmitted to OAL 2-5-97; disapproved by OAL and order of repeal as to 10-8-96 order filed on 3-21-97 (Register 97, No. 12).
6. New section filed 3-21-97 as an emergency; operative 3-21-97 (Register 97, No. 12). A Certificate of Compliance must be transmitted to OAL by 7-21-97 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 3-21-97 order, including renumbering of former section 784.30 to new section 784.29, and renumbering of former section 784.12 to new section 784.30 with amendment of section heading and section, transmitted to OAL 7-21-97 and filed 8-21-97 (Register 97, No. 34).
§784.31. Clients' Rights.
Note     •     History

(a) Clients served by a mental health rehabilitation center shall have all the rights guaranteed pursuant to Section 5325 of the Welfare and Institutions Code, a list of which shall be prominently posted in English, Spanish and any other language representing at least five percent of the county population in which the mental health rehabilitation center is located.
(b) Any denial of clients' rights in a mental health rehabilitation center must be for good cause and be in accordance with the requirements included in Sections 860 through 865.5.
NOTE

Authority cited: Sections 5675 and 5768, Welfare and Institutions Code; Section 3 of Chapter 678 of the Statutes of 1994. Reference: Sections 5675 and 5768, Welfare and Institutions Code.
HISTORY

1. New section filed 8-21-95 as an emergency; operative 8-21-95 (Register 95, No. 34). A Certificate of Compliance must be transmitted to OAL by 2-17-95 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 2-9-96 as an emergency; operative 2-9-96 (Register 96, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-8-96 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 6-10-96 as an emergency; operative 6-10-96 (Register 96, No. 24). A Certificate of Compliance must be transmitted to OAL by 10-8-96 or emergency language will be repealed by operation of law on the following day.
4. New section refiled 10-8-96 as an emergency; operative 10-8-96 (Register 96, No. 41). A Certificate of Compliance must be transmitted to OAL by 2-5-97 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 10-8-96 order transmitted to OAL 2-5-97; disapproved by OAL and order of repeal as to 10-8-96 order filed on 3-21-97 (Register 97, No. 12).
6. New section filed 3-21-97 as an emergency; operative 3-21-97 (Register 97, No. 12). A Certificate of Compliance must be transmitted to OAL by 7-21-97 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 3-21-97 order, including renumbering of former section 784.31 to new section 784.32, and renumbering and amendment of former section 784.23 to new section 784.31, transmitted to OAL 7-21-97 and filed 8-21-97 (Register 97, No. 34).
§784.32. Safeguards for Clients' Monies and Valuables.
Note     •     History

(a) Each mental health rehabilitation center to whom a clients' monies or valuables have been entrusted shall comply with the following:
(1) No licensee shall commingle clients' monies or valuables with that of the licensee or the mental health rehabilitation center. Clients' monies and valuables shall be maintained separately, intact and free from any liability that the licensee incurs in the use of the licensee's or the mental health rehabilitation center's funds. The provisions of this section shall not be interpreted to preclude prosecution for the fraudulent appropriation of clients' monies or valuables as theft, as defined by Section 484 of the Penal Code.
(2) Each licensee shall maintain safeguards and accurate records of clients' monies and valuables entrusted to the licensee's care including the maintenance of a detailed inventory and at least a quarterly accounting of financial transactions made on clients' behalf.
(A) Records of clients' monies which are maintained as a drawing account shall include a control account for all receipts and expenditures, supporting vouchers and receipts for all expenditures of monies and valuables entrusted to the licensee, an account for each client and supporting vouchers filed in chronological order. Each account shall be kept current with columns for debits, credits and balance. All of these records shall be maintained at the mental health rehabilitation center for a minimum of three years from the date of transaction. At no time may the balance in a client's drawing account be less than zero.
(B) Records of clients' monies and other valuables entrusted to the licensee for safekeeping shall include a copy of the receipt furnished to the client or to the client's authorized representative. Each item of client property entrusted to the licensee shall be clearly identified as belonging to that client.
(3) Clients' monies not kept in the mental health rehabilitation center shall be deposited in a demand trust account in a local bank authorized to do business in California, the deposits which are insured by the Federal Deposit Insurance Corporation, or in a federally insured bank or savings and loan association under a plan approved by the Department. If a facility is operated by a county, such funds may be deposited with the county treasurer. All banking records related to these funds, including but not limited to deposit slips, checks, cancelled checks, statements and check registers, shall be maintained in the mental health rehabilitation center for a minimum of three years from the date of transaction. Identification as a client trust fund account shall be clearly printed on each client's trust account checks and bank statements.
(4) A separate list shall be maintained for all checks from client funds which are, or have been, outstanding for 45 days or more as reflected on the most recent bank statement. Bank statements shall be reconciled monthly with copies of the reconciliation maintained by the mental health rehabilitation center. Any checks on such accounts written off or uncashed shall result in an addition to the appropriate client's account.
(5) Expenditures, for a particular client, from the client fund account as specified in (3) above may not exceed the drawing right that the client has in the account. Expenditures from the client fund account shall only be for the immediate benefit of that particular client. No more than one month's advance payment for care may be received from a client's account.
(6) A person, firm, partnership, association or corporation which is licensed to operate more than one mental health rehabilitation center shall maintain a separate demand trust account as specified in (3) above for each such mental health rehabilitation center. Records relating to these accounts shall be maintained at each mental health rehabilitation center as specified in (2) above. Client funds from one mental health rehabilitation center shall not be mingled with funds from another mental health rehabilitation center.
(7) When the amount of clients' money entrusted to a licensee exceeds $500, all money in excess of $500 shall be deposited in a demand trust account as specified in (3) above unless the licensee provides a fireproof safe and the licensee desires the protection accorded by Section 1860 of the Civil Code.
(8) Upon discharge of the client, all money and valuables of that client which have been entrusted to the licensee and kept within the mental health rehabilitation center shall be surrendered to the client or authorized representative in exchange for a signed receipt. Monies in a demand trust account or with the county treasurer shall be surrendered to the client or authorized representative in exchange for a signed receipt. Monies in a demand trust account or with the county treasurer shall be made available within three (3) normal banking days. Upon discharge, the client or authorized representative shall be given a detailed list of personal property and a current copy of the debits and credits of the client's monies.
(9) Within 30 days following the death of a client, except in a coroner or medical examiner case, all money and valuables of that client which have been entrusted to the licensee shall be surrendered to the person responsible for the client or to the executor or the administrator of the estate in exchange for a signed receipt. Whenever a client without known heirs dies, immediate notice, shall be given by the facility to the public administrator of the county as specified by Section 7600.5 of the California Probate Code and documentation of this notice shall be available in the mental health rehabilitation center for review by the Department.
(10) Upon change of ownership of a mental health rehabilitation center, there shall be a written verification by a certified public accountant of all clients' monies which are being transferred to the custody of the owner(s). A signed receipt for the amount of funds in the client's trust account shall be given by the new owner to the previous owner.
(11) Upon closure of a mental health rehabilitation center, a written verification by a public accountant of all clients' funds shall be available for review by the Department. Each client's funds shall be transferred with the client.
(b) If property is purchased for use of more than one client, from client trust funds, the mental health rehabilitation center shall secure a written agreement between all clients whose funds are used, or their authorized representatives. The agreement shall expressly acknowledge consent of all parties and shall provide for disposition of the property in the event of disagreements, discharge, transfer or death.
(c) No licensee, owner, program director, employee or their immediate relative or representative of the aforementioned may act as an authorized representative of clients' funds or valuables, unless the client is a relative within the second degree of consanguinity.
(d) The mental health rehabilitation center shall make reasonable efforts to safeguard clients' property and valuables that are in possession of the client.
(e) For purposes of this section, clients' funds maintained in a financial institution shall be deemed to be entrusted to a mental health rehabilitation center if the licensee, or any agent or employee thereof, is an authorized signatory to said account. Records maintained and provided by the financial institution in accordance with a plan which has obtained the written approval of the Department, may fulfill the obligation of the mental health rehabilitation center with regard to the maintenance of records for such funds.
NOTE

Authority cited: Sections 5675 and 5768, Welfare and Institutions Code. Reference: Sections 5675 and 5768, Welfare and Institutions Code.
HISTORY

1. New section filed 8-21-95 as an emergency; operative 8-21-95 (Register 95, No. 34). A Certificate of Compliance must be transmitted to OAL by 2-17-95 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 2-9-96 as an emergency; operative 2-9-96 (Register 96, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-8-96 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 6-10-96 as an emergency; operative 6-10-96 (Register 96, No. 24). A Certificate of Compliance must be transmitted to OAL by 10-8-96 or emergency language will be repealed by operation of law on the following day.
4. New section refiled 10-8-96 as an emergency; operative 10-8-96 (Register 96, No. 41). A Certificate of Compliance must be transmitted to OAL by 2-5-97 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 10-8-96 order transmitted to OAL 2-5-97; disapproved by OAL and order of repeal as to 10-8-96 order filed on 3-21-97 (Register 97, No. 12).
6. New section filed 3-21-97 as an emergency; operative 3-21-97 (Register 97, No. 12). A Certificate of Compliance must be transmitted to OAL by 7-21-97 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 3-21-97 order, including renumbering of former section 784.32 to new section 784.33, and renumbering and amendment of former section 784.31 to new section 784.32, transmitted to OAL 7-21-97 and filed 8-21-97 (Register 97, No. 34).
§784.33. Liability for Rent and Return of Rental Advance.
Note     •     History

(a) Whenever accommodations in a mental health rehabilitation center are rented by, or for, a client on a month-to-month basis, the renter or his heir, legatee or personal representative shall not be liable for any rent due under the rental agreement for accommodations beyond the date on which the client died.
(b) Any advance of rent by the renter shall be returned to the heir, legatee or personal representative of the client no later than two weeks after discharge or death of the client.
(c) The rights described in (a) and (b) above shall not be modified or waived in the rental agreement.
NOTE

Authority cited: Sections 5675 and 5768, Welfare and Institutions Code. Reference: Sections 5675 and 5768, Welfare and Institutions Code.
HISTORY

1. New section filed 8-21-95 as an emergency; operative 8-21-95 (Register 95, No. 34). A Certificate of Compliance must be transmitted to OAL by 2-17-95 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 2-9-96 as an emergency; operative 2-9-96 (Register 96, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-8-96 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 6-10-96 as an emergency; operative 6-10-96 (Register 96, No. 24). A Certificate of Compliance must be transmitted to OAL by 10-8-96 or emergency language will be repealed by operation of law on the following day.
4. New section refiled 10-8-96 as an emergency; operative 10-8-96 (Register 96, No. 41). A Certificate of Compliance must be transmitted to OAL by 2-5-97 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 10-8-96 order transmitted to OAL 2-5-97; disapproved by OAL and order of repeal as to 10-8-96 order filed on 3-21-97 (Register 97, No. 12).
6. New section filed 3-21-97 as an emergency; operative 3-21-97 (Register 97, No. 12). A Certificate of Compliance must be transmitted to OAL by 7-21-97 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 3-21-97 order, including renumbering of former section 784.33 to new section 787.00, and renumbering of former section 784.32 to new section 784.33, transmitted to OAL 7-21-97 and filed 8-21-97 (Register 97, No. 34).
§784.34. Abuse and Corporal Punishment.
Note     •     History

Clients shall not be subjected to verbal or physical abuse of any kind. Corporal punishment of clients is prohibited. Clients shall not discipline other clients.
NOTE

Authority cited: Sections 5675 and 5768, Welfare and Institutions Code; Section 3 of Chapter 678 of the Statutes of 1994. Reference: Sections 5675 and 5768, Welfare and Institutions Code.
HISTORY

1. New section filed 8-21-95 as an emergency; operative 8-21-95 (Register 95, No. 34). A Certificate of Compliance must be transmitted to OAL by 2-17-95 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 2-9-96 as an emergency; operative 2-9-96 (Register 96, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-8-96 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 6-10-96 as an emergency; operative 6-10-96 (Register 96, No. 24). A Certificate of Compliance must be transmitted to OAL by 10-8-96 or emergency language will be repealed by operation of law on the following day.
4. New section refiled 10-8-96 as an emergency; operative 10-8-96 (Register 96, No. 41). A Certificate of Compliance must be transmitted to OAL by 2-5-97 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 10-8-96 order transmitted to OAL 2-5-97; disapproved by OAL and order of repeal as to 10-8-96 order filed on 3-21-97 (Register 97, No. 12).
6. New section filed 3-21-97 as an emergency; operative 3-21-97 (Register 97, No. 12). A Certificate of Compliance must be transmitted to OAL by 7-21-97 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 3-21-97 order, including renumbering of former section 784.34 to new section 784.24, and renumbering of former section 784.24 to new section 784.34, transmitted to OAL 7-21-97 and filed 8-21-97 (Register 97, No. 34).
§784.35. Restraint and Seclusion.
Note     •     History

(a) Restraint and seclusion shall not be used except when necessary to prevent immediate injury to the person or others, and only when there is no less restrictive method to prevent injurious behavior. Restraint and seclusion shall not be used as punishment or for the convenience of the staff, or as a substitute for less restrictive alternate forms of treatment. Clients will be released when they no longer meet the criteria for seclusion or restraint.
(b) Restraint or seclusion shall not be initiated absent the documentation of a separate justification for each intervention.
NOTE

Authority cited: Sections 5675 and 5768, Welfare and Institutions Code; Section 3 of Chapter 678 of the Statutes of 1994. Reference: Sections 5675 and 5768, Welfare and Institutions Code.
HISTORY

1. New section filed 8-21-95 as an emergency; operative 8-21-95 (Register 95, No. 34). A Certificate of Compliance must be transmitted to OAL by 2-17-95 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 2-9-96 as an emergency; operative 2-9-96 (Register 96, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-8-96 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 6-10-96 as an emergency; operative 6-10-96 (Register 96, No. 24). A Certificate of Compliance must be transmitted to OAL by 10-8-96 or emergency language will be repealed by operation of law on the following day.
4. New section refiled 10-8-96 as an emergency; operative 10-8-96 (Register 96, No. 41). A Certificate of Compliance must be transmitted to OAL by 2-5-97 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 10-8-96 order transmitted to OAL 2-5-97; disapproved by OAL and order of repeal as to 10-8-96 order filed on 3-21-97 (Register 97, No. 12).
6. New section filed 3-21-97 as an emergency; operative 3-21-97 (Register 97, No. 12). A Certificate of Compliance must be transmitted to OAL by 7-21-97 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 3-21-97 order, including renumbering of former section 784.35 to new section 784.25, and renumbering of former section 784.25 to new section 784.35, transmitted to OAL 7-21-97 and filed 8-21-97 (Register 97, No. 34).
§784.36. Orders for Restraint and Seclusion.
Note     •     History

(a) Restraint or seclusion shall only be used as authorized by the order of a physician or psychologist within the scope of their license. Those orders shall include the reason for the restraint or seclusion in specific behavioral terms, date and time of the order, specific behaviors that would demonstrate that the person no longer requires seclusion or restraint to prevent immediate injury to self or others, and the orders may be implemented only within the scope of the license of those implementing the orders.
(1) For restraint, the order shall also include the type of restraint and the number of points.
(2) Orders for seclusion or restraint shall not exceed 24-hours in duration.
(b) An order for restraint or seclusion shall be issued only if it is determined that indication for use of restraint or seclusion outweigh medical risks to the person.
(c) At the time restraint or seclusion is initiated, or as soon as practical, but in every case within one (1) hour, information regarding the client's medical condition, including but not limited to, vital signs, medications, current medical treatments and any relevant medical circumstances specific to the client shall be reviewed by an on-duty member of the licensed nursing staff, or the documentation of the reason(s) it was not safe to conduct this evaluation.
(d) In a clear case of emergency, when a physician or psychologist is not available and reasonable less restrictive behavior interventions have been attempted or considered, a client may be placed in restraint or seclusion at the discretion of a licensed nursing staff. A confirming telephone order from a physician or psychologist must be obtained within one (1) hour of the time of the occurrence.
(e) Orders for restraint and seclusion shall not be written on a standing or as needed basis.
(f) Telephone orders for restraint or seclusion must be signed and dated within no longer than five days following the date of issue of the order.
NOTE

Authority cited: Sections 5675 and 5768, Welfare and Institutions Code; Section 3 of Chapter 678 of the Statutes of 1994. Reference: Sections 5675 and 5768, Welfare and Institutions Code.
HISTORY

1. New section filed 8-21-95 as an emergency; operative 8-21-95 (Register 95, No. 34). A Certificate of Compliance must be transmitted to OAL by 2-17-95 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 2-9-96 as an emergency; operative 2-9-96 (Register 96, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-8-96 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 6-10-96 as an emergency; operative 6-10-96 (Register 96, No. 24). A Certificate of Compliance must be transmitted to OAL by 10-8-96 or emergency language will be repealed by operation of law on the following day.
4. New section refiled 10-8-96 as an emergency; operative 10-8-96 (Register 96, No. 41). A Certificate of Compliance must be transmitted to OAL by 2-5-97 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 10-8-96 order transmitted to OAL 2-5-97; disapproved by OAL and order of repeal as to 10-8-96 order filed on 3-21-97 (Register 97, No. 12).
6. New section filed 3-21-97 as an emergency; operative 3-21-97 (Register 97, No. 12). A Certificate of Compliance must be transmitted to OAL by 7-21-97 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 3-21-97 order, including renumbering of former section 784.36 to new section 787.10, and renumbering and amendment of former section 784.27 to new section 784.36, transmitted to OAL 7-21-97 and filed 8-21-97 (Register 97, No. 34).
§784.37. Restrictions on Applying Restraints and Utilizing Seclusion.
Note     •     History

(a) Every four (4) hours, when a person is secluded or restrained, the medical director, a physician, a psychologist, a member of the licensed nursing staff or a licensed mental health professional designated by the mental health rehabilitation center director, shall in person assess the client's clinical condition face-to-face and determine if the client meets the criteria for continued restraint or seclusion, and whether the indications for its use outweigh the clinical risks to the person.
(b) As soon as practicable after restraint or seclusion has been initiated both of the following shall take place and be noted in the client's record;
(1) Reasonable attempts to explain to the client the justification for the restraint or seclusion and the types of behaviors that would demonstrate that the client meets the criteria for release.
(2) Inform the client regarding nursing care he or she is entitled to while in restraint or seclusion, and the manner and frequency of assessment for release.
(c) Client's in restraint or seclusion shall be provided all of the following:
(1) Timely and appropriate nursing and medical care and attention to their physical condition, including vital signs at least once per shift, not to exceed eight (8) hours, or more often if indicated by the client's condition.
(2) Regular observation and assessment, which shall include a determination of whether the client meets the criteria for release by authorized staff members, at least every 15 minutes.
(3) The observation and assessment shall include face-to-face interaction with the client unless the staff member determines that it is inappropriate or unnecessary to assure that the client is not in distress.
(4) Regular range of motion exercise of at least 10 minutes every two (2) hours of restraint. When range of motion is not appropriate, a physician or a psychologist shall document the reason in the client's record.
(5) The client shall be repositioned when appropriate.
(6) Prompt and appropriate response to all requests made for assistance and services.
(7) Attention to feeding, hydration, bathing, and toileting needs.
(8) A clean and comfortable environment.
(d) The client shall be released at the time he or she no longer meets the criteria for restraint or seclusion.
NOTE

Authority cited: Sections 5675 and 5768, Welfare and Institutions Code; Section 3 of Chapter 678 of the Statutes of 1994. Reference: Sections 5675 and 5768, Welfare and Institutions Code.
HISTORY

1. New section filed 8-21-95 as an emergency; operative 8-21-95 (Register 95, No. 34). A Certificate of Compliance must be transmitted to OAL by 2-17-95 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 2-9-96 as an emergency; operative 2-9-96 (Register 96, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-8-96 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 6-10-96 as an emergency; operative 6-10-96 (Register 96, No. 24). A Certificate of Compliance must be transmitted to OAL by 10-8-96 or emergency language will be repealed by operation of law on the following day.
4. New section refiled 10-8-96 as an emergency; operative 10-8-96 (Register 96, No. 41). A Certificate of Compliance must be transmitted to OAL by 2-5-97 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 10-8-96 order transmitted to OAL 2-5-97; disapproved by OAL and order of repeal as to 10-8-96 order filed on 3-21-97 (Register 97, No. 12).
6. New section filed 3-21-97 as an emergency; operative 3-21-97 (Register 97, No. 12). A Certificate of Compliance must be transmitted to OAL by 7-21-97 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 3-21-97 order, including renumbering of former section 784.37 to new section 787.11, and renumbering and amendment of former section 784.28 to new section 784.37, transmitted to OAL 7-21-97 and filed 8-21-97 (Register 97, No. 34).
§784.38. Restraint and Seclusion--Documentation and Reporting Policies and Procedures.
Note     •     History

(a) Care provided to a client in restraint or seclusion shall be documented in the client record.
(1) The policies and procedures of the mental health rehabilitation center shall describe the manner in which this documentation shall be entered in the client record.
(2) Notations, check marks, and flow charts are allowable if the chart provides opportunity for narrative descriptions by staff, when appropriate, and when sufficient to provide all the necessary information.
(b) The documentation shall include, but not be limited to, all of the following:
(1) Clinical condition, circulation, condition of limbs, and attention to hydration, elimination, and nutrition needs.
(2) Behavioral assessments.
(3) Justification for continued use of restraint or seclusion, the types of behaviors that would facilitate release and evidence that this information was communicated to the client, along with his or her response, if any.
(4) Time placed in and time removed from restraint or seclusion.
(5) 15-minute observations and assessments.
(6) When face-to-face interaction does not occur, documentation of the reason why that interaction was inappropriate or unnecessary and what alternative means were used to determine the client was not in distress.
(c) Quarterly, any facility that uses restraint or seclusion shall report to the local mental health director or designee, who shall transmit copies to the Department, all of the following:
(1) The number of restraint or seclusion incidents, or both.
(2) The number of restraint or seclusion incidents according to age, sex, race and primary diagnosis.
(3) The client's age shall be classified as one of the following:
(A) Age 18 to 64 years, inclusive, and
(B) Age 65 and over.
(d) Facilities that use restraint or seclusion, or both, shall have written policies and procedures concerning their use. These policies shall include the standards and procedures for all of the following:
(1) Placement of a person in restraint or seclusion, including a list of less restrictive alternatives, the situations in which the use of restraint or seclusion is to be considered and the physician(s) and psychologist(s) who can order its use.
(2) Assessment and release, including guidelines for duration of use of specific behavioral criteria for release.
(3) Provision of nursing care and medical care, including the administration of medication.
(4) Procedures for advocate notification regarding any client restrained or secluded for more than eight (8) hours.
(5) Provision of staff training.
(e) Facilities that use restraint or seclusion shall implement an oversight process to ensure that all incidents of seclusion and restraint are reviewed and that any incidents or patterns of use which do not comply with the mental health rehabilitation center's policies and procedures or other clinical or legal standards are investigated. This oversight process shall ensure that appropriate policies and procedures are developed and implemented, including training of staff. Consumer input into the oversight process shall be incorporated.
NOTE

Authority cited: Sections 5675 and 5768, Welfare and Institutions Code; Section 3 of Chapter 678 of the Statutes of 1994. Reference: Sections 5675 and 5768, Welfare and Institutions Code.
HISTORY

1. New section filed 8-21-95 as an emergency; operative 8-21-95 (Register 95, No. 34). A Certificate of Compliance must be transmitted to OAL by 2-17-95 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 2-9-96 as an emergency; operative 2-9-96 (Register 96, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-8-96 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 6-10-96 as an emergency; operative 6-10-96 (Register 96, No. 24). A Certificate of Compliance must be transmitted to OAL by 10-8-96 or emergency language will be repealed by operation of law on the following day.
4. New section refiled 10-8-96 as an emergency; operative 10-8-96 (Register 96, No. 41). A Certificate of Compliance must be transmitted to OAL by 2-5-97 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 10-8-96 order transmitted to OAL 2-5-97; disapproved by OAL and order of repeal as to 10-8-96 order filed on 3-21-97 (Register 97, No. 12).
6. New section filed 3-21-97 as an emergency; operative 3-21-97 (Register 97, No. 12). A Certificate of Compliance must be transmitted to OAL by 7-21-97 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 3-21-97 order, including renumbering of former section 784.38 to new section 787.12, and renumbering and amendment of former section 784.29 to new section 784.38, transmitted to OAL 7-21-97 and filed 8-21-97 (Register 97, No. 34).
§784.39. Client Capacity.
Note     •     History

NOTE

Authority cited: Sections 5675 and 5768, Welfare and Institutions Code; Section 3 of Chapter 678 of the Statutes of 1994. Reference: Sections 5675 and 5768, Welfare and Institutions Code.
HISTORY

1. New section filed 8-21-95 as an emergency; operative 8-21-95 (Register 95, No. 34). A Certificate of Compliance must be transmitted to OAL by 2-17-95 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 2-9-96 as an emergency; operative 2-9-96 (Register 96, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-8-96 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 6-10-96 as an emergency; operative 6-10-96 (Register 96, No. 24). A Certificate of Compliance must be transmitted to OAL by 10-8-96 or emergency language will be repealed by operation of law on the following day.
4. New section refiled 10-8-96 as an emergency; operative 10-8-96 (Register 96, No. 41). A Certificate of Compliance must be transmitted to OAL by 2-5-97 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 10-8-96 order transmitted to OAL 2-5-97; disapproved by OAL and order of repeal as to 10-8-96 order filed on 3-21-97 (Register 97, No. 12).
6. New section filed 3-21-97 as an emergency; operative 3-21-97 (Register 97, No. 12). A Certificate of Compliance must be transmitted to OAL by 7-21-97 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 3-21-97 order, including renumbering of former section 784.39 to new section 787.27, transmitted to OAL 7-21-97 and filed 8-21-97 (Register 97, No. 34).
§784.40. Client Rooms.
Note     •     History

NOTE

Authority cited: Sections 5675 and 5768, Welfare and Institutions Code; Section 3 of Chapter 678 of the Statutes of 1994. Reference: Sections 5675 and 5768, Welfare and Institutions Code.
HISTORY

1. New section filed 8-21-95 as an emergency; operative 8-21-95 (Register 95, No. 34). A Certificate of Compliance must be transmitted to OAL by 2-17-95 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 2-9-96 as an emergency; operative 2-9-96 (Register 96, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-8-96 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 6-10-96 as an emergency; operative 6-10-96 (Register 96, No. 24). A Certificate of Compliance must be transmitted to OAL by 10-8-96 or emergency language will be repealed by operation of law on the following day.
4. New section refiled 10-8-96 as an emergency; operative 10-8-96 (Register 96, No. 41). A Certificate of Compliance must be transmitted to OAL by 2-5-97 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 10-8-96 order transmitted to OAL 2-5-97; disapproved by OAL and order of repeal as to 10-8-96 order filed on 3-21-97 (Register 97, No. 12).
6. New section filed 3-21-97 as an emergency; operative 3-21-97 (Register 97, No. 12). A Certificate of Compliance must be transmitted to OAL by 7-21-97 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 3-21-97 order, including renumbering of former section 784.40 to new section 787.25, transmitted to OAL 7-21-97 and filed 8-21-97 (Register 97, No. 34).
§784.41. Client's Property Storage and Room Furnishings.
Note     •     History

NOTE

Authority cited: Sections 5675 and 5768, Welfare and Institutions Code; Section 3 of Chapter 678 of the Statutes of 1994. Reference: Sections 5675 and 5768, Welfare and Institutions Code.
HISTORY

1. New section filed 8-21-95 as an emergency; operative 8-21-95 (Register 95, No. 34). A Certificate of Compliance must be transmitted to OAL by 2-17-95 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 2-9-96 as an emergency; operative 2-9-96 (Register 96, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-8-96 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 6-10-96 as an emergency; operative 6-10-96 (Register 96, No. 24). A Certificate of Compliance must be transmitted to OAL by 10-8-96 or emergency language will be repealed by operation of law on the following day.
4. New section refiled 10-8-96 as an emergency; operative 10-8-96 (Register 96, No. 41). A Certificate of Compliance must be transmitted to OAL by 2-5-97 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 10-8-96 order transmitted to OAL 2-5-97; disapproved by OAL and order of repeal as to 10-8-96 order filed on 3-21-97 (Register 97, No. 12).
6. New section filed 3-21-97 as an emergency; operative 3-21-97 (Register 97, No. 12). A Certificate of Compliance must be transmitted to OAL by 7-21-97 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 3-21-97 order, including renumbering of former section 784.41 to new section 787.26, transmitted to OAL 7-21-97 and filed 8-21-97 (Register 97, No. 34).
§784.42. Housekeeping.
Note     •     History

NOTE

Authority cited: Sections 5675 and 5768, Welfare and Institutions Code; Section 3 of Chapter 678 of the Statutes of 1994. Reference: Sections 5675 and 5768, Welfare and Institutions Code.
HISTORY

1. New section filed 8-21-95 as an emergency; operative 8-21-95 (Register 95, No. 34). A Certificate of Compliance must be transmitted to OAL by 2-17-95 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 2-9-96 as an emergency; operative 2-9-96 (Register 96, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-8-96 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 6-10-96 as an emergency; operative 6-10-96 (Register 96, No. 24). A Certificate of Compliance must be transmitted to OAL by 10-8-96 or emergency language will be repealed by operation of law on the following day.
4. New section refiled 10-8-96 as an emergency; operative 10-8-96 (Register 96, No. 41). A Certificate of Compliance must be transmitted to OAL by 2-5-97 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 10-8-96 order transmitted to OAL 2-5-97; disapproved by OAL and order of repeal as to 10-8-96 order filed on 3-21-97 (Register 97, No. 12).
6. New section filed 3-21-97 as an emergency; operative 3-21-97 (Register 97, No. 12). A Certificate of Compliance must be transmitted to OAL by 7-21-97 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 3-21-97 order, including renumbering of former section 784.42 to new section 787.13, transmitted to OAL 7-21-97 and filed 8-21-97 (Register 97, No. 34).
§784.43. Laundry.
Note     •     History

NOTE

Authority cited: Sections 5675 and 5768, Welfare and Institutions Code; Section 3 of Chapter 678 of the Statutes of 1994. Reference: Sections 5675 and 5768, Welfare and Institutions Code.
HISTORY

1. New section filed 8-21-95 as an emergency; operative 8-21-95 (Register 95, No. 34). A Certificate of Compliance must be transmitted to OAL by 2-17-95 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 2-9-96 as an emergency; operative 2-9-96 (Register 96, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-8-96 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 6-10-96 as an emergency; operative 6-10-96 (Register 96, No. 24). A Certificate of Compliance must be transmitted to OAL by 10-8-96 or emergency language will be repealed by operation of law on the following day.
4. New section refiled 10-8-96 as an emergency; operative 10-8-96 (Register 96, No. 41). A Certificate of Compliance must be transmitted to OAL by 2-5-97 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 10-8-96 order transmitted to OAL 2-5-97; disapproved by OAL and order of repeal as to 10-8-96 order filed on 3-21-97 (Register 97, No. 12).
6. New section filed 3-21-97 as an emergency; operative 3-21-97 (Register 97, No. 12). A Certificate of Compliance must be transmitted to OAL by 7-21-97 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 3-21-97 order, including renumbering of former section 784.43 to new section 787.14, transmitted to OAL 7-21-97 and filed 8-21-97 (Register 97, No. 34).
§784.44. Clean Linen.
Note     •     History

NOTE

Authority cited: Sections 5675 and 5768, Welfare and Institutions Code; Section 3 of Chapter 678 of the Statutes of 1994. Reference: Sections 5675 and 5768, Welfare and Institutions Code.
HISTORY

1. New section filed 8-21-95 as an emergency; operative 8-21-95 (Register 95, No. 34). A Certificate of Compliance must be transmitted to OAL by 2-17-95 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 2-9-96 as an emergency; operative 2-9-96 (Register 96, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-8-96 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 6-10-96 as an emergency; operative 6-10-96 (Register 96, No. 24). A Certificate of Compliance must be transmitted to OAL by 10-8-96 or emergency language will be repealed by operation of law on the following day.
4. New section refiled 10-8-96 as an emergency; operative 10-8-96 (Register 96, No. 41). A Certificate of Compliance must be transmitted to OAL by 2-5-97 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 10-8-96 order transmitted to OAL 2-5-97; disapproved by OAL and order of repeal as to 10-8-96 order filed on 3-21-97 (Register 97, No. 12).
6. New section filed 3-21-97 as an emergency; operative 3-21-97 (Register 97, No. 12). A Certificate of Compliance must be transmitted to OAL by 7-21-97 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 3-21-97 order, including renumbering of former section 784.44 to new section 784.23, transmitted to OAL 7-21-97 and filed 8-21-97 (Register 97, No. 34).
§784.45. Soiled Linen.
Note     •     History

NOTE

Authority cited: Sections 5675 and 5768, Welfare and Institutions Code; Section 3 of Chapter 678 of the Statutes of 1994. Reference: Sections 5675 and 5768, Welfare and Institutions Code.
HISTORY

1. New section filed 8-21-95 as an emergency; operative 8-21-95 (Register 95, No. 34). A Certificate of Compliance must be transmitted to OAL by 2-17-95 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 2-9-96 as an emergency; operative 2-9-96 (Register 96, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-8-96 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 6-10-96 as an emergency; operative 6-10-96 (Register 96, No. 24). A Certificate of Compliance must be transmitted to OAL by 10-8-96 or emergency language will be repealed by operation of law on the following day.
4. New section refiled 10-8-96 as an emergency; operative 10-8-96 (Register 96, No. 41). A Certificate of Compliance must be transmitted to OAL by 2-5-97 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 10-8-96 order transmitted to OAL 2-5-97; disapproved by OAL and order of repeal as to 10-8-96 order filed on 3-21-97 (Register 97, No. 12).
6. New section filed 3-21-97 as an emergency; operative 3-21-97 (Register 97, No. 12). A Certificate of Compliance must be transmitted to OAL by 7-21-97 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 3-21-97 order, including renumbering of former section 784.45 to new section 784.22, transmitted to OAL 7-21-97 and filed 8-21-97 (Register 97, No. 34).
§784.46. General Maintenance.
Note     •     History

NOTE

Authority cited: Sections 5675 and 5768, Welfare and Institutions Code; Section 3 of Chapter 678 of the Statutes of 1994. Reference: Sections 5675 and 5768, Welfare and Institutions Code.
HISTORY

1. New section filed 8-21-95 as an emergency; operative 8-21-95 (Register 95, No. 34). A Certificate of Compliance must be transmitted to OAL by 2-17-95 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 2-9-96 as an emergency; operative 2-9-96 (Register 96, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-8-96 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 6-10-96 as an emergency; operative 6-10-96 (Register 96, No. 24). A Certificate of Compliance must be transmitted to OAL by 10-8-96 or emergency language will be repealed by operation of law on the following day.
4. New section refiled 10-8-96 as an emergency; operative 10-8-96 (Register 96, No. 41). A Certificate of Compliance must be transmitted to OAL by 2-5-97 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 10-8-96 order transmitted to OAL 2-5-97; disapproved by OAL and order of repeal as to 10-8-96 order filed on 3-21-97 (Register 97, No. 12).
6. New section filed 3-21-97 as an emergency; operative 3-21-97 (Register 97, No. 12). A Certificate of Compliance must be transmitted to OAL by 7-21-97 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 3-21-97 order, including renumbering of former section 784.46 to new section 787.15, transmitted to OAL 7-21-97 and filed 8-21-97 (Register 97, No. 34).
§784.47. Air Filters.
Note     •     History

NOTE

Authority cited: Sections 5675 and 5768, Welfare and Institutions Code; Section 3 of Chapter 678 of the Statutes of 1994. Reference: Sections 5675 and 5768, Welfare and Institutions Code.
HISTORY

1. New section filed 8-21-95 as an emergency; operative 8-21-95 (Register 95, No. 34). A Certificate of Compliance must be transmitted to OAL by 2-17-95 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 2-9-96 as an emergency; operative 2-9-96 (Register 96, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-8-96 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 6-10-96 as an emergency; operative 6-10-96 (Register 96, No. 24). A Certificate of Compliance must be transmitted to OAL by 10-8-96 or emergency language will be repealed by operation of law on the following day.
4. New section refiled 10-8-96 as an emergency; operative 10-8-96 (Register 96, No. 41). A Certificate of Compliance must be transmitted to OAL by 2-5-97 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 10-8-96 order transmitted to OAL 2-5-97; disapproved by OAL and order of repeal as to 10-8-96 order filed on 3-21-97 (Register 97, No. 12).
6. New section filed 3-21-97 as an emergency; operative 3-21-97 (Register 97, No. 12). A Certificate of Compliance must be transmitted to OAL by 7-21-97 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 3-21-97 order, including renumbering of former section 784.47 to new section 787.16, transmitted to OAL 7-21-97 and filed 8-21-97 (Register 97, No. 34).
§784.48. Storage and Disposal of Solid Waste.
Note     •     History

NOTE

Authority cited: Sections 5675 and 5768, Welfare and Institutions Code; Section 3 of Chapter 678 of the Statutes of 1994. Reference: Sections 5675 and 5768, Welfare and Institutions Code.
HISTORY

1. New section filed 8-21-95 as an emergency; operative 8-21-95 (Register 95, No. 34). A Certificate of Compliance must be transmitted to OAL by 2-17-95 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 2-9-96 as an emergency; operative 2-9-96 (Register 96, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-8-96 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 6-10-96 as an emergency; operative 6-10-96 (Register 96, No. 24). A Certificate of Compliance must be transmitted to OAL by 10-8-96 or emergency language will be repealed by operation of law on the following day.
4. New section refiled 10-8-96 as an emergency; operative 10-8-96 (Register 96, No. 41). A Certificate of Compliance must be transmitted to OAL by 2-5-97 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 10-8-96 order transmitted to OAL 2-5-97; disapproved by OAL and order of repeal as to 10-8-96 order filed on 3-21-97 (Register 97, No. 12).
6. New section filed 3-21-97 as an emergency; operative 3-21-97 (Register 97, No. 12). A Certificate of Compliance must be transmitted to OAL by 7-21-97 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 3-21-97 order, including renumbering of former section 784.48 to new section 784.18, transmitted to OAL 7-21-97 and filed 8-21-97 (Register 97, No. 34).
§784.49. Solid Waste Containers.
Note     •     History

NOTE

Authority cited: Sections 5675 and 5768, Welfare and Institutions Code; Section 3 of Chapter 678 of the Statutes of 1994. Reference: Sections 5675 and 5768, Welfare and Institutions Code.
HISTORY

1. New section filed 8-21-95 as an emergency; operative 8-21-95 (Register 95, No. 34). A Certificate of Compliance must be transmitted to OAL by 2-17-95 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 2-9-96 as an emergency; operative 2-9-96 (Register 96, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-8-96 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 6-10-96 as an emergency; operative 6-10-96 (Register 96, No. 24). A Certificate of Compliance must be transmitted to OAL by 10-8-96 or emergency language will be repealed by operation of law on the following day.
4. New section refiled 10-8-96 as an emergency; operative 10-8-96 (Register 96, No. 41). A Certificate of Compliance must be transmitted to OAL by 2-5-97 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 10-8-96 order transmitted to OAL 2-5-97; disapproved by OAL and order of repeal as to 10-8-96 order filed on 3-21-97 (Register 97, No. 12).
6. New section filed 3-21-97 as an emergency; operative 3-21-97 (Register 97, No. 12). A Certificate of Compliance must be transmitted to OAL by 7-21-97 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 3-21-97 order, including renumbering of former section 784.49 to new section 784.19, transmitted to OAL 7-21-97 and filed 8-21-97 (Register 97, No. 34).
§784.50. Infectious Waste.
Note     •     History

NOTE

Authority cited: Sections 5675 and 5768, Welfare and Institutions Code; Section 3 of Chapter 678 of the Statutes of 1994. Reference: Sections 5675 and 5768, Welfare and Institutions Code.
HISTORY

1. New section filed 8-21-95 as an emergency; operative 8-21-95 (Register 95, No. 34). A Certificate of Compliance must be transmitted to OAL by 2-17-95 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 2-9-96 as an emergency; operative 2-9-96 (Register 96, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-8-96 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 6-10-96 as an emergency; operative 6-10-96 (Register 96, No. 24). A Certificate of Compliance must be transmitted to OAL by 10-8-96 or emergency language will be repealed by operation of law on the following day.
4. New section refiled 10-8-96 as an emergency; operative 10-8-96 (Register 96, No. 41). A Certificate of Compliance must be transmitted to OAL by 2-5-97 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 10-8-96 order transmitted to OAL 2-5-97; disapproved by OAL and order of repeal as to 10-8-96 order filed on 3-21-97 (Register 97, No. 12).
6. New section filed 3-21-97 as an emergency; operative 3-21-97 (Register 97, No. 12). A Certificate of Compliance must be transmitted to OAL by 7-21-97 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 3-21-97 order, including renumbering of former section 784.50 to new section 784.20, transmitted to OAL 7-21-97 and filed 8-21-97 (Register 97, No. 34).
§784.51. Water Supply and Plumbing.
Note     •     History

NOTE

Authority cited: Sections 5675 and 5768, Welfare and Institutions Code; Section 3 of Chapter 678 of the Statutes of 1994. Reference: Sections 5675 and 5768, Welfare and Institutions Code.
HISTORY

1. New section filed 8-21-95 as an emergency; operative 8-21-95 (Register 95, No. 34). A Certificate of Compliance must be transmitted to OAL by 2-17-95 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 2-9-96 as an emergency; operative 2-9-96 (Register 96, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-8-96 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 6-10-96 as an emergency; operative 6-10-96 (Register 96, No. 24). A Certificate of Compliance must be transmitted to OAL by 10-8-96 or emergency language will be repealed by operation of law on the following day.
4. New section refiled 10-8-96 as an emergency; operative 10-8-96 (Register 96, No. 41). A Certificate of Compliance must be transmitted to OAL by 2-5-97 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 10-8-96 order transmitted to OAL 2-5-97; disapproved by OAL and order of repeal as to 10-8-96 order filed on 3-21-97 (Register 97, No. 12).
6. New section filed 3-21-97 as an emergency; operative 3-21-97 (Register 97, No. 12). A Certificate of Compliance must be transmitted to OAL by 7-21-97 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 3-21-97 order, including renumbering of former section 784.51 to new section 787.17, transmitted to OAL 7-21-97 and filed 8-21-97 (Register 97, No. 34).
§784.52. Lighting and Power System.
Note     •     History

NOTE

Authority cited: Sections 5675 and 5768, Welfare and Institutions Code; Section 3 of Chapter 678 of the Statutes of 1994. Reference: Sections 5675 and 5768, Welfare and Institutions Code.
HISTORY

1. New section filed 8-21-95 as an emergency; operative 8-21-95 (Register 95, No. 34). A Certificate of Compliance must be transmitted to OAL by 2-17-95 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 2-9-96 as an emergency; operative 2-9-96 (Register 96, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-8-96 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 6-10-96 as an emergency; operative 6-10-96 (Register 96, No. 24). A Certificate of Compliance must be transmitted to OAL by 10-8-96 or emergency language will be repealed by operation of law on the following day.
4. New section refiled 10-8-96 as an emergency; operative 10-8-96 (Register 96, No. 41). A Certificate of Compliance must be transmitted to OAL by 2-5-97 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 10-8-96 order transmitted to OAL 2-5-97; disapproved by OAL and order of repeal as to 10-8-96 order filed on 3-21-97 (Register 97, No. 12).
6. New section filed 3-21-97 as an emergency; operative 3-21-97 (Register 97, No. 12). A Certificate of Compliance must be transmitted to OAL by 7-21-97 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 3-21-97 order, including renumbering of former section 784.52 to new section 787.18, transmitted to OAL 7-21-97 and filed 8-21-97 (Register 97, No. 34).
§784.53. Maintenance Manual.
Note     •     History

NOTE

Authority cited: Sections 5675 and 5768, Welfare and Institutions Code; Section 3 of Chapter 678 of the Statutes of 1994. Reference: Sections 5675 and 5768, Welfare and Institutions Code.
HISTORY

1. New section filed 8-21-95 as an emergency; operative 8-21-95 (Register 95, No. 34). A Certificate of Compliance must be transmitted to OAL by 2-17-95 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 2-9-96 as an emergency; operative 2-9-96 (Register 96, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-8-96 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 6-10-96 as an emergency; operative 6-10-96 (Register 96, No. 24). A Certificate of Compliance must be transmitted to OAL by 10-8-96 or emergency language will be repealed by operation of law on the following day.
4. New section refiled 10-8-96 as an emergency; operative 10-8-96 (Register 96, No. 41). A Certificate of Compliance must be transmitted to OAL by 2-5-97 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 10-8-96 order transmitted to OAL 2-5-97; disapproved by OAL and order of repeal as to 10-8-96 order filed on 3-21-97 (Register 97, No. 12).
6. New section filed 3-21-97 as an emergency; operative 3-21-97 (Register 97, No. 12). A Certificate of Compliance must be transmitted to OAL by 7-21-97 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 3-21-97 order, including renumbering of former section 784.53 to new section 787.20, transmitted to OAL 7-21-97 and filed 8-21-97 (Register 97, No. 34).
§784.54. Mechanical Systems.
Note     •     History

NOTE

Authority cited: Sections 5675 and 5768, Welfare and Institutions Code; Section 3 of Chapter 678 of the Statutes of 1994. Reference: Sections 5675 and 5768, Welfare and Institutions Code.
HISTORY

1. New section filed 8-21-95 as an emergency; operative 8-21-95 (Register 95, No. 34). A Certificate of Compliance must be transmitted to OAL by 2-17-95 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 2-9-96 as an emergency; operative 2-9-96 (Register 96, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-8-96 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 6-10-96 as an emergency; operative 6-10-96 (Register 96, No. 24). A Certificate of Compliance must be transmitted to OAL by 10-8-96 or emergency language will be repealed by operation of law on the following day.
4. New section refiled 10-8-96 as an emergency; operative 10-8-96 (Register 96, No. 41). A Certificate of Compliance must be transmitted to OAL by 2-5-97 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 10-8-96 order transmitted to OAL 2-5-97; disapproved by OAL and order of repeal as to 10-8-96 order filed on 3-21-97 (Register 97, No. 12).
6. New section filed 3-21-97 as an emergency; operative 3-21-97 (Register 97, No. 12). A Certificate of Compliance must be transmitted to OAL by 7-21-97 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 3-21-97 order, including renumbering of former section 784.54 to new section 787.19, transmitted to OAL 7-21-97 and filed 8-21-97 (Register 97, No. 34).
§784.55. Space.
Note     •     History

NOTE

Authority cited: Sections 5675 and 5768, Welfare and Institutions Code; Section 3 of Chapter 678 of the Statutes of 1994. Reference: Sections 5675 and 5768, Welfare and Institutions Code.
HISTORY

1. New section filed 8-21-95 as an emergency; operative 8-21-95 (Register 95, No. 34). A Certificate of Compliance must be transmitted to OAL by 2-17-95 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 2-9-96 as an emergency; operative 2-9-96 (Register 96, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-8-96 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 6-10-96 as an emergency; operative 6-10-96 (Register 96, No. 24). A Certificate of Compliance must be transmitted to OAL by 10-8-96 or emergency language will be repealed by operation of law on the following day.
4. New section refiled 10-8-96 as an emergency; operative 10-8-96 (Register 96, No. 41). A Certificate of Compliance must be transmitted to OAL by 2-5-97 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 10-8-96 order transmitted to OAL 2-5-97; disapproved by OAL and order of repeal as to 10-8-96 order filed on 3-21-97 (Register 97, No. 12).
6. New section filed 3-21-97 as an emergency; operative 3-21-97 (Register 97, No. 12). A Certificate of Compliance must be transmitted to OAL by 7-21-97 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 3-21-97 order, including renumbering of former section 784.55 to new section 787.21, transmitted to OAL 7-21-97 and filed 8-21-97 (Register 97, No. 34).
§784.56. Administrative Policies and Procedures.
Note     •     History

NOTE

Authority cited: Sections 5675 and 5768, Welfare and Institutions Code; Section 3 of Chapter 678 of the Statutes of 1994. Reference: Sections 5675 and 5768, Welfare and Institutions Code.
HISTORY

1. New section filed 8-21-95 as an emergency; operative 8-21-95 (Register 95, No. 34). A Certificate of Compliance must be transmitted to OAL by 2-17-95 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 2-9-96 as an emergency; operative 2-9-96 (Register 96, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-8-96 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 6-10-96 as an emergency; operative 6-10-96 (Register 96, No. 24). A Certificate of Compliance must be transmitted to OAL by 10-8-96 or emergency language will be repealed by operation of law on the following day.
4. New section refiled 10-8-96 as an emergency; operative 10-8-96 (Register 96, No. 41). A Certificate of Compliance must be transmitted to OAL by 2-5-97 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 10-8-96 order transmitted to OAL 2-5-97; disapproved by OAL and order of repeal as to 10-8-96 order filed on 3-21-97 (Register 97, No. 12).
6. New section filed 3-21-97 as an emergency; operative 3-21-97 (Register 97, No. 12). A Certificate of Compliance must be transmitted to OAL by 7-21-97 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 3-21-97 order, including repealer of former section 784.56, transmitted to OAL 7-21-97 and filed 8-21-97 (Register 97, No. 34).
Article 5. Basic Services
§785.00. Services--General.
Note     •     History

(a) Mental health rehabilitation centers shall provide, at a  minimum, the following basic services; physician, nursing, pharmaceutical, and dietary services.
(b) If a service cannot be brought into the mental health rehabilitation center, the mental health rehabilitation center shall assist the client in arranging for transportation to and from a service location.
(c) The mental health rehabilitation center shall ensure that all orders, written by a person lawfully authorized to prescribe, shall be carried out unless contraindicated.
(d) Each client shall be encouraged and assisted to achieve and maintain the highest level of self-care and independence. Every effort shall be made to keep clients active, and out of bed for reasonable periods of time, except when contraindicated by physician's orders.
(e) Each client shall be provided with good nutrition and with necessary fluids for hydration.
(f) The weight and height of each client shall be taken and recorded in the client record upon admission, and the weight shall be taken and recorded once a month thereafter.
(g) Each client shall be provided visual privacy during treatment and personal care.
(h) Each client shall be screened for tuberculosis upon admission. The procedure shall conform with the State Department of Health Services public health tuberculosis screening standards and requirements. A tuberculosis screening may not be required if there is satisfactory evidence available that a tuberculosis screening has been completed within 90 days prior to the date of admission to the mental health rehabilitation center. Subsequent tuberculosis screening procedures shall be determined by a physician.
NOTE

Authority cited: Sections 5675 and 5768, Welfare and Institutions Code; Section 3 of Chapter 678 of the Statutes of 1994. Reference: Sections 5675 and 5768, Welfare and Institutions Code.
HISTORY

1. New article 5 and section filed 8-21-95 as an emergency; operative 8-21-95 (Register 95, No. 34). A Certificate of Compliance must be transmitted to OAL by 2-17-95 or emergency language will be repealed by operation of law on the following day.
2. Editorial correction of  History 1 (Register 96, No. 6).
3. New article 5 and section refiled 2-9-96 as an emergency; operative 2-9-96 (Register 96, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-8-96 or emergency language will be repealed by operation of law on the following day.
4. New article 5 and section refiled 6-10-96 as an emergency; operative 6-10-96 (Register 96, No. 24). A Certificate of Compliance must be transmitted to OAL by 10-8-96 or emergency language will be repealed by operation of law on the following day.
5. New article 5 and section refiled  10-8-96 as an emergency; operative 10-8-96 (Register 96, No. 41). A Certificate of Compliance must be transmitted to OAL by 2-5-97 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 10-8-96 order transmitted to OAL 2-5-97; disapproved by OAL and order of repeal as to 10-8-96 order filed on 3-21-97 (Register 97, No. 12).
7. New article 5 and section filed 3-21-97 as an emergency; operative 3-21-97 (Register 97, No. 12). A Certificate of Compliance must be transmitted to OAL by 7-21-97 or emergency language will be repealed by operation of law on the following day.
8. Certificate of Compliance as to 3-21-97 order, including amendment of section, transmitted to OAL 7-21-97 and filed 8-21-97 (Register 97, No. 34).
§785.10. Medical Director.
Note     •     History

(a) The mental health rehabilitation center shall have a physician designated as the medical director who shall be responsible for standards, coordination, surveillance and planning for improvement of medical care in the mental health rehabilitation center.
(b) The medical director shall:
(1) Act as a liaison between administration and other physicians.
(2) Be responsible for reviewing and evaluating administrative and client care policies and procedures.
(3) Act as a consultant to the director of nursing service in matters relating to client care services.
(4) Be responsible for reviewing employees' preemployment and annual health examination reports.
NOTE

Authority cited: Sections 5675 and 5768, Welfare and Institutions Code; Section 3 of Chapter 678 of the Statutes of 1994. Reference: Sections 5675 and 5768, Welfare and Institutions Code.
HISTORY

1. New section filed 8-21-95 as an emergency; operative 8-21-95 (Register 95, No. 34). A Certificate of Compliance must be transmitted to OAL by 2-17-95 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 2-9-96 as an emergency; operative 2-9-96 (Register 96, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-8-96 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 6-10-96 as an emergency; operative 6-10-96 (Register 96, No. 24). A Certificate of Compliance must be transmitted to OAL by 10-8-96 or emergency language will be repealed by operation of law on the following day.
4. New section refiled 10-8-96 as an emergency; operative 10-8-96 (Register 96, No. 41). A Certificate of Compliance must be transmitted to OAL by 2-5-97 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 10-8-96 order transmitted to OAL 2-5-97; disapproved by OAL and order of repeal as to 10-8-96 order filed on 3-21-97 (Register 97, No. 12).
6. New section filed 3-21-97 as an emergency; operative 3-21-97 (Register 97, No. 12). A Certificate of Compliance must be transmitted to OAL by 7-21-97 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 3-21-97 order, including amendment of subsection (a), transmitted to OAL 7-21-97 and filed 8-21-97 (Register 97, No. 34).
§785.11. Physician Services--General.
Note     •     History

(a) Physician services shall be provided by physicians who are under contract with the mental health rehabilitation center or have been chosen by the client, or the client's legal or authorized representative to direct the client's medical care.
(b) Physician services shall include, but are not limited to:
(1) Client evaluation including a written report of a physical examination within 72 hours following admission, unless a physical has been completed within 30 days prior to admission.
(2) An evaluation of the client and review of orders for care and treatment on change of physicians.
(3) Advice, treatment and determination of appropriate level of care needed for each client.
(4) Written and signed orders for diet, care, diagnostic tests and treatment of clients by others.
(A) Orders for seclusion and restraint shall meet the requirements of Sections 784.36 and 784.38.
(B) Orders for denial of clients' rights shall meet the requirements of Sections 784.31.
(5) Health care progress notes and other appropriate entries in the client record.
(c) Nonphysician practitioners may be permitted to render those medical services which they are legally authorized to perform.
NOTE

Authority cited: Sections 5675 and 5768, Welfare and Institutions Code; Section 3 of Chapter 678 of the Statutes of 1994. Reference: Sections 5675 and 5768, Welfare and Institutions Code.
HISTORY

1. New section filed 8-21-95 as an emergency; operative 8-21-95 (Register 95, No. 34). A Certificate of Compliance must be transmitted to OAL by 2-17-95 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 2-9-96 as an emergency; operative 2-9-96 (Register 96, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-8-96 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 6-10-96 as an emergency; operative 6-10-96 (Register 96, No. 24). A Certificate of Compliance must be transmitted to OAL by 10-8-96 or emergency language will be repealed by operation of law on the following day.
4. New section refiled 10-8-96 as an emergency; operative 10-8-96 (Register 96, No. 41). A Certificate of Compliance must be transmitted to OAL by 2-5-97 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 10-8-96 order transmitted to OAL 2-5-97; disapproved by OAL and order of repeal as to 10-8-96 order filed on 3-21-97 (Register 97, No. 12).
6. New section filed 3-21-97 as an emergency; operative 3-21-97 (Register 97, No. 12). A Certificate of Compliance must be transmitted to OAL by 7-21-97 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 3-21-97 order, including amendment of  section, transmitted to OAL 7-21-97 and filed 8-21-97 (Register 97, No. 34).
§785.12. Nursing Service--General.
Note     •     History

(a) Licensed nursing staff shall perform the following nursing services within the scope of their license; services shall include, but not be limited to, the following:
(1) Planning of client care which shall include at least the identification of care needs based upon an initial written and continuing evaluation of the client's needs with input, as necessary, from health professionals involved in the care of the client. Initial evaluation shall commence at the time of admission of the client and be completed within seven (7) days after admission.
(2) Implementing of each client's care plan according to the methods indicated which shall include at a minimum, initial assessment and documentation, ongoing evaluations and documentation, and preparing for and attending client care plan conferences.
(3) Ensuring that clients are served the diets as prescribed by physicians.
(4) Obtaining and documenting physician orders for medical care, appointments and laboratory work-ups or tests, administration of medications including PRN (pro rae natae) and immediately authorized or emergency (STAT) medications.
(5) Monitoring of clients' height and weight, and vital signs.
(6) Implementation and evaluation of quality assurance policies and procedures addressing client care.
(7) Writing, review and sign off of weekly progress notes.
(8) Notifying the physician promptly of:
(A) The admission of a client.
(B) Any sudden marked adverse change in signs, symptoms or behavior exhibited by a client.
(C) An unusual occurrence involving a client, as specified in Section 784.15.
(D) A change in weight of five pounds or more within a 30-day period unless a different stipulation has been stated in writing by the client's physician.
(E) Any adverse response or reaction by a client to a medication or treatment.
(F) Any error in the administration of a medication or treatment to a client which is life threatening and presents a risk to the client.
(G) The mental health rehabilitation center's inability to obtain or administer, on a prompt and timely basis, drugs, equipment, supplies or services as prescribed under conditions which present a risk to the health, safety or security of the client.
(H) All attempts to notify physicians shall be noted in the client's record including the time and method of communication and the name of the person acknowledging contact, if any. If the physician is not readily available, arrangements for emergency medical care shall be completed.
(b) Unlicensed staff services that can be provided by either rehabilitation or activity program staff as specified in Sections 786.12(c) and 786.19(a) shall be supervised and monitored by licensed nursing staff, and may include the following:
(1) Assisting clients with dressing, grooming, bathing and other personal hygiene related activities.
(2) Taking and recording of clients' height and weight and vital signs.
(3) Assisting clients with getting and eating meals.
(4) Based on established nursing service procedure(s), monitor and report on clients' whereabouts and status when in their room or elsewhere in the mental health rehabilitation center.
NOTE

Authority cited: Sections 5675 and 5768, Welfare and Institutions Code; Section 3 of Chapter 678 of the Statutes of 1994. Reference: Sections 5675 and 5768, Welfare and Institutions Code.
HISTORY

1. New section filed 8-21-95 as an emergency; operative 8-21-95 (Register 95, No. 34). A Certificate of Compliance must be transmitted to OAL by 2-17-95 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 2-9-96 as an emergency; operative 2-9-96 (Register 96, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-8-96 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 6-10-96 as an emergency; operative 6-10-96 (Register 96, No. 24). A Certificate of Compliance must be transmitted to OAL by 10-8-96 or emergency language will be repealed by operation of law on the following day.
4. New section refiled 10-8-96 as an emergency; operative 10-8-96 (Register 96, No. 41). A Certificate of Compliance must be transmitted to OAL by 2-5-97 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 10-8-96 order transmitted to OAL 2-5-97; disapproved by OAL and order of repeal as to 10-8-96 order filed on 3-21-97 (Register 97, No. 12).
6. New section filed 3-21-97 as an emergency; operative 3-21-97 (Register 97, No. 12). A Certificate of Compliance must be transmitted to OAL by 7-21-97 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 3-21-97 order, including amendment of section, transmitted to OAL 7-21-97 and filed 8-21-97 (Register 97, No. 34).
§785.13. Nursing Service--Administration of Medication and Treatment.
Note     •     History

(a) Medication and treatment shall be administered as follows:
(1) No medication or treatment shall be administered except on the order of a person lawfully authorized to give such order.
(2) Medication and treatment shall be administered as prescribed.
(3) Tests and taking of vital signs, upon which administration of medication or treatment are conditioned, shall be performed as required and the results recorded.
(4) Preparation of doses for more than one scheduled administration time shall not be permitted, except for self-medication in which medications should be prepared for up to 7 days in advance.
(5) All medication and treatment shall be administered only by licensed medical or licensed nursing personnel.
(6) Medication shall be administered as soon as possible, but no more than two hours after doses are prepared, and shall be administered by the same person who prepares the doses for administration. Doses shall be administered within one hour of the prescribed time unless otherwise indicated by the prescriber.
(7) Clients shall be identified prior to administration of a drug or treatment.
(8) Drugs may be administered in the absence of a specific duration of therapy on a licensed prescriber's new drug order if the mental health rehabilitation center applies its stop-order policy for such drugs. The prescriber shall be contacted prior to discontinuing therapy as established by stop-order policy.
(b) No medication shall shall be used for any client other than the client for whom it was prescribed.
(c) The time and dose of the medication or treatment administered to the client shall be recorded in the client's individual medication record by the person who administers the drug or treatment. Recording shall include the date, the time and the dosage of the medication or type of the treatment. Initials may be used, provided that the signature of the person administering the medication or treatment is also recorded on the medication or treatment record.
NOTE

Authority cited: Sections 5675 and 5768, Welfare and Institutions Code; Section 3 of Chapter 678 of the Statutes of 1994. Reference: Sections 5675 and 5768, Welfare and Institutions Code.
HISTORY

1. New section filed 8-21-95 as an emergency; operative 8-21-95 (Register 95, No. 34). A Certificate of Compliance must be transmitted to OAL by 2-17-95 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 2-9-96 as an emergency; operative 2-9-96 (Register 96, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-8-96 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 6-10-96 as an emergency; operative 6-10-96 (Register 96, No. 24). A Certificate of Compliance must be transmitted to OAL by 10-8-96 or emergency language will be repealed by operation of law on the following day.
4. New section refiled 10-8-96 as an emergency; operative 10-8-96 (Register 96, No. 41). A Certificate of Compliance must be transmitted to OAL by 2-5-97 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 10-8-96 order transmitted to OAL 2-5-97; disapproved by OAL and order of repeal as to 10-8-96 order filed on 3-21-97 (Register 97, No. 12).
6. New section filed 3-21-97 as an emergency; operative 3-21-97 (Register 97, No. 12). A Certificate of Compliance must be transmitted to OAL by 7-21-97 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 3-21-97 order, including amendment of subsection (a)(8), transmitted to OAL 7-21-97 and filed 8-21-97 (Register 97, No. 34).
§785.14. Nursing Service--Director of Nursing Service.
Note     •     History

(a) The director of nursing service shall be a registered nurse and shall be employed 40 hours per week.
(b) The director of nursing service shall have at least one year of experience in nursing supervision within the last five (5) years.
(c) The director of nursing service shall have, stated in writing, administrative authority, responsibility and accountability for the nursing services within the mental health rehabilitation center and serve only one facility in this capacity at any one time if the mental health rehabilitation center is 42 beds or more.
(d) The director of nursing service shall not have charge nurse responsibilities if the mental health rehabilitation center is 42 beds or more.
NOTE

Authority cited: Sections 5675 and 5768, Welfare and Institutions Code; Section 3 of Chapter 678 of the Statutes of 1994. Reference: Sections 5675 and 5768, Welfare and Institutions Code.
HISTORY

1. New section filed 8-21-95 as an emergency; operative 8-21-95 (Register 95, No. 34). A Certificate of Compliance must be transmitted to OAL by 2-17-95 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 2-9-96 as an emergency; operative 2-9-96 (Register 96, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-8-96 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 6-10-96 as an emergency; operative 6-10-96 (Register 96, No. 24). A Certificate of Compliance must be transmitted to OAL by 10-8-96 or emergency language will be repealed by operation of law on the following day.
4. New section refiled 10-8-96 as an emergency; operative 10-8-96 (Register 96, No. 41). A Certificate of Compliance must be transmitted to OAL by 2-5-97 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 10-8-96 order transmitted to OAL 2-5-97; disapproved by OAL and order of repeal as to 10-8-96 order filed on 3-21-97 (Register 97, No. 12).
6. New section filed 3-21-97 as an emergency; operative 3-21-97 (Register 97, No. 12). A Certificate of Compliance must be transmitted to OAL by 7-21-97 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 3-21-97 order, including repealer of former section 785.14, and renumbering and amendment of former section 785.17 to new section 785.14, transmitted to OAL 7-21-97 and filed 8-21-97 (Register 97, No. 34).
§785.15. Nursing Service--Staff.
Note     •     History

(a) Nursing service staff shall be employed, present in the mental health rehabilitation center, awake and on duty in at least the number and with the qualifications determined by the Department to provide the necessary nursing services for clients admitted for care.
(1) Each mental health rehabilitation center shall provide for the full time equivalent of nursing staff for the provision of nursing services, as follows:
(A) At a minimum, one licensed nursing staff awake and on duty in the mental health rehabilitation center, at all times, day and night.
(B) For mental health rehabilitation centers of 42 beds or more, 0.6 hours of licensed nursing staff and 0.6 hours of unlicensed staff hours for each client during each 24-hour period, on a seven day (weekly) basis.
(C) For mental health rehabilitation centers with 41 beds or less, the number of licensed nursing staff and unlicensed nursing staff hours for each client shall be provided as specified in (a)(1)(A) above.
(b) Nursing service charge staff on all shifts shall have at least one year of experience or training related to mental health rehabilitation programs, or shall participate in in-service training provided by the facility.
(c) A licensed psychiatric technician may:
(1) Serve as a charge nurse.
(2) Administer medications in a mental health rehabilitation program.
NOTE

Authority cited: Sections 5675 and 5768, Welfare and Institutions Code; Section 3 of Chapter 678 of the Statutes of 1994. Reference: Sections 5675 and 5768, Welfare and Institutions Code.
HISTORY

1. New section filed 8-21-95 as an emergency; operative 8-21-95 (Register 95, No. 34). A Certificate of Compliance must be transmitted to OAL by 2-17-95 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 2-9-96 as an emergency; operative 2-9-96 (Register 96, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-8-96 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 6-10-96 as an emergency; operative 6-10-96 (Register 96, No. 24). A Certificate of Compliance must be transmitted to OAL by 10-8-96 or emergency language will be repealed by operation of law on the following day.
4. New section refiled 10-8-96 as an emergency; operative 10-8-96 (Register 96, No. 41). A Certificate of Compliance must be transmitted to OAL by 2-5-97 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 10-8-96 order transmitted to OAL 2-5-97; disapproved by OAL and order of repeal as to 10-8-96 order filed on 3-21-97 (Register 97, No. 12).
6. New section filed 3-21-97 as an emergency; operative 3-21-97 (Register 97, No. 12). A Certificate of Compliance must be transmitted to OAL by 7-21-97 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 3-21-97 order, including repealer of former section 785.15, and renumbering and amendment of former section 785.18 to new section 785.15, transmitted to OAL 7-21-97 and filed 8-21-97 (Register 97, No. 34).
§785.16. Dietetic Service--General.
Note     •     History

(a) The total daily diet for clients shall be of the quality and in the quantity to meet the needs of the clients and shall meet the “Recommended Dietary Allowances”, 10th Edition (1989), adopted by the Food and Nutrition Board of the National Research Council of the National Academy of Science, adjusted to the age, activity and environment of the group involved. All food shall be of good quality and be selected, stored, prepared and served in a safe and healthful manner. The following shall apply:
(1) Arrangements shall be made so that each client has available at least three meals per day. Not more than 14 hours shall elapse between the last and first meal.
(2) Client food preferences shall be adhered to as much as possible and shall be from appropriate food groups.
(3) A mental health rehabilitation center shall either purchase, store and prepare the required food for its clients, or it shall purchase prepared meals from other appropriate sources, through a written contract.
(4) Between-meal feeding shall be provided as required by a diet order. Bedtime nourishments shall be made available unless contraindicated.
(5) A person shall be designated by the mental health rehabilitation center director to be responsible for the management and operation of the food service.
(A) This may be provided by a full-time or part-time employee with the mental health rehabilitation center, or  through a written contract with an outside supplier or food service.
(B) If this person is not a dietitian, provision shall be made for consultation from a person so qualified, who shall provide this consultation at least four (4) hours every (3) three months.
(C) If the total food service is by contract, a staff member will be designated to monitor the operation of the food service within the mental health rehabilitation center.
(6) If clients participate in food preparation and/or service to the client population as part of their individual service plan, they shall comply with the same policies and procedures as those required for food service personnel.
(7) Supplies of staple foods for a minimum of two days shall be maintained on the premises.
(8) The mental health rehabilitation center shall maintain a written plan to provide clients' food service in emergencies.
(9) Provisions shall be made to provide clients with access to beverages and nourishments at times when the main food service is not in operation.
(b) All kitchen equipment, fixed or mobile, and dishes shall be kept clean and maintained in good condition and free from breaks, open seams, cracks or chips.
(c) All utensils used for eating and drinking and in the preparation of food and drink shall be clean and sanitized after each usage.
NOTE

Authority cited: Sections 5675 and 5768, Welfare and Institutions Code; Section 3 of Chapter 678 of the Statutes of 1994. Reference: Sections 5675 and 5768, Welfare and Institutions Code.
HISTORY

1. New section filed 8-21-95 as an emergency; operative 8-21-95 (Register 95, No. 34). A Certificate of Compliance must be transmitted to OAL by 2-17-95 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 2-9-96 as an emergency; operative 2-9-96 (Register 96, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-8-96 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 6-10-96 as an emergency; operative 6-10-96 (Register 96, No. 24). A Certificate of Compliance must be transmitted to OAL by 10-8-96 or emergency language will be repealed by operation of law on the following day.
4. New section refiled 10-8-96 as an emergency; operative 10-8-96 (Register 96, No. 41). A Certificate of Compliance must be transmitted to OAL by 2-5-97 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 10-8-96 order transmitted to OAL 2-5-97; disapproved by OAL and order of repeal as to 10-8-96 order filed on 3-21-97 (Register 97, No. 12).
6. New section filed 3-21-97 as an emergency; operative 3-21-97 (Register 97, No. 12). A Certificate of Compliance must be transmitted to OAL by 7-21-97 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 3-21-97 order, including renumbering of former section 785.16 to new section 787.23, and renumbering and amendment of former section 785.19 to new section 785.16, transmitted to OAL 7-21-97 and filed 8-21-97 (Register 97, No. 34).
§785.17. Dietetic Service--Therapeutic Diets.
Note     •     History

Therapeutic diets shall be provided for each client as prescribed and shall be planned, prepared and served with supervision or consultation from the dietitian. 
NOTE

Authority cited: Sections 5675 and 5768, Welfare and Institutions Code; Section 3 of Chapter 678 of the Statutes of 1994. Reference: Sections 5675 and 5768, Welfare and Institutions Code.
HISTORY

1. New section filed 8-21-95 as an emergency; operative 8-21-95 (Register 95, No. 34). A Certificate of Compliance must be transmitted to OAL by 2-17-95 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 2-9-96 as an emergency; operative 2-9-96 (Register 96, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-8-96 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 6-10-96 as an emergency; operative 6-10-96 (Register 96, No. 24). A Certificate of Compliance must be transmitted to OAL by 10-8-96 or emergency language will be repealed by operation of law on the following day.
4. New section refiled 10-8-96 as an emergency; operative 10-8-96 (Register 96, No. 41). A Certificate of Compliance must be transmitted to OAL by 2-5-97 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 10-8-96 order transmitted to OAL 2-5-97; disapproved by OAL and order of repeal as to 10-8-96 order filed on 3-21-97 (Register 97, No. 12).
6. New section filed 3-21-97 as an emergency; operative 3-21-97 (Register 97, No. 12). A Certificate of Compliance must be transmitted to OAL by 7-21-97 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 3-21-97 order, including renumbering of former section 785.17 to new section 785.14, and renumbering and amendment of former section 785.20 to new section 785.17, transmitted to OAL 7-21-97 and filed 8-21-97 (Register 97, No. 34).
§785.18. Dietetic Service--Menus.
Note     •     History

(a) Menus for regular and therapeutic diets shall be written at least one week in advance, dated and posted in a conspicuous place in the mental health rehabilitation center and in the kitchen at least one week in advance.
(b) All menus shall be approved by the dietician.
(c) If any meal served varies from the planned menu, the change and the reason for the change shall be noted in writing on the posted menu in the kitchen.
(d) Menus shall provide a variety of foods and indicate standard portions at each meal. Menus shall be varied for the same of consecutive weeks. If a cycle menu is used, the cycle shall be of no less than three weeks duration and shall be revised quarterly.
(e) Menus shall be adjusted to include seasonal commodities.
(f) Menus shall be planned with consideration of cultural background and food habits of clients.
(g) A copy of the menu as served shall be kept on file for at least one year.
NOTE

Authority cited: Sections 5675 and 5768, Welfare and Institutions Code; Section 3 of Chapter 678 of the Statutes of 1994. Reference: Sections 5675 and 5768, Welfare and Institutions Code.
HISTORY

1. New section filed 8-21-95 as an emergency; operative 8-21-95 (Register 95, No. 34). A Certificate of Compliance must be transmitted to OAL by 2-17-95 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 2-9-96 as an emergency; operative 2-9-96 (Register 96, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-8-96 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 6-10-96 as an emergency; operative 6-10-96 (Register 96, No. 24). A Certificate of Compliance must be transmitted to OAL by 10-8-96 or emergency language will be repealed by operation of law on the following day.
4. New section refiled 10-8-96 as an emergency; operative 10-8-96 (Register 96, No. 41). A Certificate of Compliance must be transmitted to OAL by 2-5-97 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 10-8-96 order transmitted to OAL 2-5-97; disapproved by OAL and order of repeal as to 10-8-96 order filed on 3-21-97 (Register 97, No. 12).
6. New section filed 3-21-97 as an emergency; operative 3-21-97 (Register 97, No. 12). A Certificate of Compliance must be transmitted to OAL by 7-21-97 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 3-21-97 order, including renumbering of former section 785.18 to new section 785.15, and renumbering and amendment of former section 785.21 to new section 785.18, transmitted to OAL 7-21-97 and filed 8-21-97 (Register 97, No. 34).
§785.19. Dietetic Service--Staff.
Note     •     History

(a) Sufficient staff shall be employed, oriented, trained and their working hours scheduled to provide for the nutritional needs of the clients and to maintain the dietetic service areas.
(b) Current work schedules by job titles and weekly time schedules by job titles shall be posted.
(c) Dietetic service personnel shall be trained in basic food sanitation techniques, wear clean clothing, and a cap or a hair net, and shall be excluded from duty when affected by skin infection or communicable diseases. Beards and mustaches which are not closely cropped and neatly trimmed shall be covered.
(d) Under supervision, clients may assist in cooking/kitchen activities as part of their skills training program.
NOTE

Authority cited: Sections 5675 and 5768, Welfare and Institutions Code; Section 3 of Chapter 678 of the Statutes of 1994. Reference: Sections 5675 and 5768, Welfare and Institutions Code.
HISTORY

1. New section filed 8-21-95 as an emergency; operative 8-21-95 (Register 95, No. 34). A Certificate of Compliance must be transmitted to OAL by 2-17-95 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 2-9-96 as an emergency; operative 2-9-96 (Register 96, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-8-96 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 6-10-96 as an emergency; operative 6-10-96 (Register 96, No. 24). A Certificate of Compliance must be transmitted to OAL by 10-8-96 or emergency language will be repealed by operation of law on the following day.
4. New section refiled 10-8-96 as an emergency; operative 10-8-96 (Register 96, No. 41). A Certificate of Compliance must be transmitted to OAL by 2-5-97 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 10-8-96 order transmitted to OAL 2-5-97; disapproved by OAL and order of repeal as to 10-8-96 order filed on 3-21-97 (Register 97, No. 12).
6. New section filed 3-21-97 as an emergency; operative 3-21-97 (Register 97, No. 12). A Certificate of Compliance must be transmitted to OAL by 7-21-97 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 3-21-97 order, including renumbering of former section 785.19 to new section 785.16, and renumbering and amendment of former section 785.22 to new section 785.19, transmitted to OAL 7-21-97 and filed 8-21-97 (Register 97, No. 34).
§785.20. Pharmaceutical Service--General.
Note     •     History

(a) Arrangements shall be made with pharmacists licensed by the California Board of Pharmacy to ensure that pharmaceutical services are available to provide clients with prescribed drugs and biologicals.
(b) Dispensing, labeling, storage and administration of drugs and biologicals shall be in conformance with state and federal laws.
(c) The mental health rehabilitation center shall not accept money, goods or services free or below cost from any pharmacist or pharmacy as compensation or inducement for referral of business to any pharmacy.
NOTE

Authority cited: Sections 5675 and 5768, Welfare and Institutions Code; Section 3 of Chapter 678 of the Statutes of 1994. Reference: Sections 5675 and 5768, Welfare and Institutions Code.
HISTORY

1. New section filed 8-21-95 as an emergency; operative 8-21-95 (Register 95, No. 34). A Certificate of Compliance must be transmitted to OAL by 2-17-95 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 2-9-96 as an emergency; operative 2-9-96 (Register 96, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-8-96 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 6-10-96 as an emergency; operative 6-10-96 (Register 96, No. 24). A Certificate of Compliance must be transmitted to OAL by 10-8-96 or emergency language will be repealed by operation of law on the following day.
4. New section refiled 10-8-96 as an emergency; operative 10-8-96 (Register 96, No. 41). A Certificate of Compliance must be transmitted to OAL by 2-5-97 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 10-8-96 order transmitted to OAL 2-5-97; disapproved by OAL and order of repeal as to 10-8-96 order filed on 3-21-97 (Register 97, No. 12).
6. New section filed 3-21-97 as an emergency; operative 3-21-97 (Register 97, No. 12). A Certificate of Compliance must be transmitted to OAL by 7-21-97 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 3-21-97 order, including renumbering of former section 785.20 to new section 785.17, and renumbering and amendment of former section 785.23 to new section 785.20, transmitted to OAL 7-21-97 and filed 8-21-97 (Register 97, No. 34).
§785.21. Pharmaceutical Service--Requirements.
Note     •     History

(a) Pharmaceutical service shall include, but not be limited to, the following:
(1) Obtaining necessary drugs including the availability of 24-hour prescription service on a prompt and timely basis as follows:
(A) Drugs ordered “Stat” that are not available in the mental health rehabilitation center emergency drug supply shall be available and administered within one (1) hour of time ordered during normal pharmacy hours of a local drug store or hospital. For those hours during which a local drug store or hospital pharmacy is closed, drugs ordered “Stat” shall be available and administered within two hours of the time ordered. Drugs ordered “Stat” which are available in the emergency drug supply shall be administered immediately.
(B) Anti-infectives and drugs used to treat severe pain, nausea, agitation, diarrhea or other severe discomfort shall be available and administered four (4) hours of the time ordered.
(C) Except as indicated above, all new drug orders shall be available on the same day ordered unless the drug would not normally be started until the next day.
(D) Refill of prescription drugs shall be available when needed.
(2) Dispensing of drugs and biologicals.
(3) Monitoring the drug distribution system which includes ordering, dispensing and administering of medication.
(4) Provision of consultative and other services furnished by pharmacists which assist in the development, coordination, supervision and review of the pharmaceutical services within the facility.
NOTE

Authority cited: Sections 5675 and 5768, Welfare and Institutions Code; Section 3 of Chapter 678 of the Statutes of 1994. Reference: Sections 5675 and 5768, Welfare and Institutions Code.
HISTORY

1. New section filed 8-21-95 as an emergency; operative 8-21-95 (Register 95, No. 34). A Certificate of Compliance must be transmitted to OAL by 2-17-95 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 2-9-96 as an emergency; operative 2-9-96 (Register 96, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-8-96 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 6-10-96 as an emergency; operative 6-10-96 (Register 96, No. 24). A Certificate of Compliance must be transmitted to OAL by 10-8-96 or emergency language will be repealed by operation of law on the following day.
4. New section refiled 10-8-96 as an emergency; operative 10-8-96 (Register 96, No. 41). A Certificate of Compliance must be transmitted to OAL by 2-5-97 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 10-8-96 order transmitted to OAL 2-5-97; disapproved by OAL and order of repeal as to 10-8-96 order filed on 3-21-97 (Register 97, No. 12).
6. New section filed 3-21-97 as an emergency; operative 3-21-97 (Register 97, No. 12). A Certificate of Compliance must be transmitted to OAL by 7-21-97 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 3-21-97 order, including renumbering of former section 785.21 to new section 785.18, and renumbering and amendment of former section 785.24 to new section 785.21, transmitted to OAL 7-21-97 and filed 8-21-97 (Register 97, No. 34).
§785.22. Pharmaceutical Service--Labeling and Storage of Drugs.
Note     •     History

(a) Containers which are cracked, soiled or without secure closures shall not be used. Drug labels shall be legible.
(b) All drugs obtained by prescription shall be labeled in compliance with state and federal laws governing prescription dispensing. No person other than the dispenser of the drug shall alter any prescription label.
(c) Nonlegend drugs shall be labeled in conformance with state and federal food and drug laws.
(d) Test reagents, germicides, disinfectants and other household substances shall be stored separately from drugs and shall not be accessible to clients.
(e) External use drugs in liquid, table, capsule or powder form shall be stored separately from drugs for internal use.
(f) Drugs shall be stored in appropriate temperatures. Drugs required to be stored at room temperature shall be stored at a temperature between 15oC (59oF) and 30oC (86oF). Drugs requiring refrigeration shall be stored in a refrigerator between 2oC (36oF) and 8oC (46oF). When drugs are stored in the same refrigerator with food, the drugs shall be kept in a closed container clearly labeled “drugs.”
(g) Drugs shall be stored in an orderly manner in cabinets, drawers or carts of sufficient size to prevent crowding.
(h) Dose preparation and administration areas shall be well lighted.
(i) Drugs shall be accessible only to personnel designated in writing by the licensee.
(j) Storage of nonlegend drugs at the bedside shall meet the following conditions:
(1) The manner of storage shall prevent access by other clients. Lockable drawers or cabinets need not be used unless alternate procedures, including storage on a client's person or in an unlocked drawer or cabinet, are ineffective.
(2) The mental health rehabilitation center shall record in the client's health record the bedside medications used by the client, based on observation by nursing personnel and/or information supplied by the client.
(3) The quantity of each drug supplied by the client for bedside storage shall be recorded in the health record each time the drug is so supplied.
(k) Storage of legend drugs at the bedside shall meet the conditions of (a) through (j) above, and shall in addition:
(1) Be specifically ordered by the prescriber of the drugs, and
(2) Be limited to sublingual or inhalation forms of emergency drugs.
(l) Drugs shall not be kept in stock after the expiration date on the label and no contaminated or deteriorated drugs shall be available for use.
(m) The drugs of each client shall be kept and stored in their originally received containers. No drug shall be transferred between containers.
(n) Discontinued drug containers shall be marked, or otherwise identified, to indicate that the drug has been discontinued, or shall be stored in a separate location which shall be identified solely for this purpose. Discontinued drugs shall be disposed of within 90 days of the date the drug order was discontinued, unless the drug is reordered within that time.
NOTE

Authority cited: Sections 5675 and 5768, Welfare and Institutions Code; Section 3 of Chapter 678 of the Statutes of 1994. Reference: Sections 5675 and 5768, Welfare and Institutions Code.
HISTORY

1. New section filed 8-21-95 as an emergency; operative 8-21-95 (Register 95, No. 34). A Certificate of Compliance must be transmitted to OAL by 2-17-95 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 2-9-96 as an emergency; operative 2-9-96 (Register 96, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-8-96 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 6-10-96 as an emergency; operative 6-10-96 (Register 96, No. 24). A Certificate of Compliance must be transmitted to OAL by 10-8-96 or emergency language will be repealed by operation of law on the following day.
4. New section refiled 10-8-96 as an emergency; operative 10-8-96 (Register 96, No. 41). A Certificate of Compliance must be transmitted to OAL by 2-5-97 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 10-8-96 order transmitted to OAL 2-5-97; disapproved by OAL and order of repeal as to 10-8-96 order filed on 3-21-97 (Register 97, No. 12).
6. New section filed 3-21-97 as an emergency; operative 3-21-97 (Register 97, No. 12). A Certificate of Compliance must be transmitted to OAL by 7-21-97 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 3-21-97 order, including renumbering of former section 785.22 to new section 785.19, and renumbering and amendment of former section 785.25 to new section 785.22, transmitted to OAL 7-21-97 and filed 8-21-97 (Register 97, No. 34).
§785.23. Pharmaceutical Service--Stop Orders.
Note     •     History

Written policies shall be established and implemented limiting the duration of new drug orders in the absence of a prescriber's specific indication for duration of therapy. The prescriber shall be contacted for new orders prior to the termination time established by the policy. These policies shall include all categories of drugs.
NOTE

Authority cited: Sections 5675 and 5768, Welfare and Institutions Code; Section 3 of Chapter 678 of the Statutes of 1994. Reference: Sections 5675 and 5768, Welfare and Institutions Code.
HISTORY

1. New section filed 8-21-95 as an emergency; operative 8-21-95 (Register 95, No. 34). A Certificate of Compliance must be transmitted to OAL by 2-17-95 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 2-9-96 as an emergency; operative 2-9-96 (Register 96, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-8-96 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 6-10-96 as an emergency; operative 6-10-96 (Register 96, No. 24). A Certificate of Compliance must be transmitted to OAL by 10-8-96 or emergency language will be repealed by operation of law on the following day.
4. New section refiled 10-8-96 as an emergency; operative 10-8-96 (Register 96, No. 41). A Certificate of Compliance must be transmitted to OAL by 2-5-97 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 10-8-96 order transmitted to OAL 2-5-97; disapproved by OAL and order of repeal as to 10-8-96 order filed on 3-21-97 (Register 97, No. 12).
6. New section filed 3-21-97 as an emergency; operative 3-21-97 (Register 97, No. 12). A Certificate of Compliance must be transmitted to OAL by 7-21-97 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 3-21-97 order, including renumbering of former section 785.23 to new section 785.20, and renumbering of former section 785.26 to new section 785.23, transmitted to OAL 7-21-97 and filed 8-21-97 (Register 97, No. 34).
§785.24. Pharmaceutical Service--Orders for Drugs.
Note     •     History

(a) No drugs shall be administered except upon the order of a person lawfully authorized to prescribe for and treat human illness.
(b) All drug orders shall be written, dated, and signed by the person lawfully authorized to give such an order. The name, quantity or specific duration of therapy, dosage and time or frequency of administration of the drug, and the route of administration if other than oral shall be specific. “P.R.N.” order shall also include the indication for use of a drug.
(c) Verbal orders for drugs and treatments shall be received only by licensed nurses, psychiatric technicians, pharmacists, physicians, physicians' assistants from their supervising physicians only, and certified respiratory therapists when the orders relate specifically to respiratory care. Such orders shall be recorded immediately in the client's health record by the person receiving the order and shall include the date and time of the order. The order shall be signed by the prescriber within five days.
(d) The signing of orders shall be by signature or a personal computer key. Signature stamps shall not be used.
NOTE

Authority cited: Sections 5675 and 5768, Welfare and Institutions Code; Section 3 of Chapter 678 of the Statutes of 1994. Reference: Sections 5675 and 5768, Welfare and Institutions Code.
HISTORY

1. New section filed 8-21-95 as an emergency; operative 8-21-95 (Register 95, No. 34). A Certificate of Compliance must be transmitted to OAL by 2-17-95 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 2-9-96 as an emergency; operative 2-9-96 (Register 96, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-8-96 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 6-10-96 as an emergency; operative 6-10-96 (Register 96, No. 24). A Certificate of Compliance must be transmitted to OAL by 10-8-96 or emergency language will be repealed by operation of law on the following day.
4. New section refiled 10-8-96 as an emergency; operative 10-8-96 (Register 96, No. 41). A Certificate of Compliance must be transmitted to OAL by 2-5-97 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 10-8-96 order transmitted to OAL 2-5-97; disapproved by OAL and order of repeal as to 10-8-96 order filed on 3-21-97 (Register 97, No. 12).
6. New section filed 3-21-97 as an emergency; operative 3-21-97 (Register 97, No. 12). A Certificate of Compliance must be transmitted to OAL by 7-21-97 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 3-21-97 order, including renumbering of former section 785.24 to new section 785.21, and renumbering of former section 785.27 to new section 785.24, transmitted to OAL 7-21-97 and filed 8-21-97 (Register 97, No. 34).
§785.25. Pharmaceutical Service--Drug Order Processing.
Note     •     History

Signed orders for drugs shall be transmitted to the issuing pharmacy within 48 hours, either by written prescription of the prescriber or by an order form which produces a direct copy of the order, or by an electronically reproduced facsimile.
NOTE

Authority cited: Sections 5675 and 5768, Welfare and Institutions Code; Section 3 of Chapter 678 of the Statutes of 1994. Reference: Sections 5675 and 5768, Welfare and Institutions Code.
HISTORY

1. New section filed 8-21-95 as an emergency; operative 8-21-95 (Register 95, No. 34). A Certificate of Compliance must be transmitted to OAL by 2-17-95 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 2-9-96 as an emergency; operative 2-9-96 (Register 96, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-8-96 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 6-10-96 as an emergency; operative 6-10-96 (Register 96, No. 24). A Certificate of Compliance must be transmitted to OAL by 10-8-96 or emergency language will be repealed by operation of law on the following day.
4. New section refiled 10-8-96 as an emergency; operative 10-8-96 (Register 96, No. 41). A Certificate of Compliance must be transmitted to OAL by 2-5-97 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 10-8-96 order transmitted to OAL 2-5-97; disapproved by OAL and order of repeal as to 10-8-96 order filed on 3-21-97 (Register 97, No. 12).
6. New section filed 3-21-97 as an emergency; operative 3-21-97 (Register 97, No. 12). A Certificate of Compliance must be transmitted to OAL by 7-21-97 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 3-21-97 order, including renumbering of former section 785.25 to new section 785.22, and renumbering of former section 785.28 to new section 785.25, transmitted to OAL 7-21-97 and filed 8-21-97 (Register 97, No. 34).
§785.26. Pharmaceutical Service--Personal Medications.
Note     •     History

(a) Facilities shall maintain a record which includes, for each drug ordered by prescription, the name of the client, the drug name, and strength, the date ordered, the date and amount received and the name of the issuing pharmacy. The records shall be kept at least one year.
(b) Medications brought by or with the client on admission to the mental health rehabilitation center shall not be used unless the contents of the containers have been examined and positively identified after admission by the client's physician or a pharmacist retained by the mental health rehabilitation center.
(c) The mental health rehabilitation center may use drugs transferred from other licensed facilities or those drugs dispensed or obtained after admission from any licensed or governmental pharmacy and may accept the delivery of those drugs by any agency of the client or pharmacy without the necessity of identification by a physician or pharmacist.
NOTE

Authority cited: Sections 5675 and 5768, Welfare and Institutions Code; Section 3 of Chapter 678 of the Statutes of 1994. Reference: Sections 5675 and 5768, Welfare and Institutions Code.
HISTORY

1. New section filed 8-21-95 as an emergency; operative 8-21-95 (Register 95, No. 34). A Certificate of Compliance must be transmitted to OAL by 2-17-95 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 2-9-96 as an emergency; operative 2-9-96 (Register 96, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-8-96 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 6-10-96 as an emergency; operative 6-10-96 (Register 96, No. 24). A Certificate of Compliance must be transmitted to OAL by 10-8-96 or emergency language will be repealed by operation of law on the following day.
4. New section refiled 10-8-96 as an emergency; operative 10-8-96 (Register 96, No. 41). A Certificate of Compliance must be transmitted to OAL by 2-5-97 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 10-8-96 order transmitted to OAL 2-5-97; disapproved by OAL and order of repeal as to 10-8-96 order filed on 3-21-97 (Register 97, No. 12).
6. New section filed 3-21-97 as an emergency; operative 3-21-97 (Register 97, No. 12). A Certificate of Compliance must be transmitted to OAL by 7-21-97 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 3-21-97 order, including renumbering of former section 785.26 to new section 785.23, and renumbering and amendment of former section 785.29 to new section 785.26, transmitted to OAL 7-21-97 and filed 8-21-97 (Register 97, No. 34).
§785.27. Pharmaceutical Service--Controlled Drugs.
Note     •     History

(a) Drugs listed in Schedules II, III, and IV of the Federal Comprehensive Drug Abuse Prevention and Control Action of 1970 shall not be accessible to other than licensed nursing, pharmacy and medical personnel designated by the licensee. Drugs listed in Schedule II of the above Act shall be stored in a locked cabinet or a locked drawer, separate from noncontrolled drugs, unless they are supplied on a scheduled basis as part of a unit dose medication system.
(b) Separate records of use shall be maintained on all Schedule II drugs. Such records shall be maintained accurately and shall include the name of the client, the prescription number, the drug name, strength and dose administered, the date and time of administration and the signature of the person administering the drug. Such records shall be reconciled at least daily and shall be retained at least one year. If such drugs are supplied on a scheduled basis as part of a unit dose medication system, such records need not be maintained separately.
(c) Drug records shall be maintained for drugs listed in Schedules III and IV of the above Act in such a way that the receipt and disposition of each dose of any such drug may be readily traced. Such records need not be separate from other medication records.
NOTE

Authority cited: Sections 5675 and 5768, Welfare and Institutions Code; Section 3 of Chapter 678 of the Statutes of 1994. Reference: Sections 5675 and 5768, Welfare and Institutions Code.
HISTORY

1. New section filed 8-21-95 as an emergency; operative 8-21-95 (Register 95, No. 34). A Certificate of Compliance must be transmitted to OAL by 2-17-95 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 2-9-96 as an emergency; operative 2-9-96 (Register 96, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-8-96 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 6-10-96 as an emergency; operative 6-10-96 (Register 96, No. 24). A Certificate of Compliance must be transmitted to OAL by 10-8-96 or emergency language will be repealed by operation of law on the following day.
4. New section refiled 10-8-96 as an emergency; operative 10-8-96 (Register 96, No. 41). A Certificate of Compliance must be transmitted to OAL by 2-5-97 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 10-8-96 order transmitted to OAL 2-5-97; disapproved by OAL and order of repeal as to 10-8-96 order filed on 3-21-97 (Register 97, No. 12).
6. New section filed 3-21-97 as an emergency; operative 3-21-97 (Register 97, No. 12). A Certificate of Compliance must be transmitted to OAL by 7-21-97 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 3-21-97 order, including renumbering of former section 785.27 to new section 785.24, and renumbering of former section 785.30 to new section 785.27, transmitted to OAL 7-21-97 and filed 8-21-97 (Register 97, No. 34).
§785.28. Pharmaceutical Service--Disposition of Drugs.
Note     •     History

(a) Drugs which have been dispensed for individual client use and are labeled in conformance with state and federal law for outpatient use shall be furnished to clients on discharge on the orders of the discharging physician. If the physician's discharge orders do not include provisions for drug disposition, drugs shall be furnished to clients unless:
(1) The discharging physician specifies otherwise, or
(2) The client leaves or is discharged without a physician's order, or approval, or
(3) The client is discharged to a general acute care hospital, acute psychiatric hospital, or acute care rehabilitation hospital, or
(4) The drug was discontinued prior to discharge, or
(5) The labeled directions for use are not substantially the same as most current orders for the drug in the client's health record.
(b) A record of the drugs sent with the client shall be made in the client's health record.
(c) Client's drugs supplied by prescription which have been discontinued and those which remain in the mental health rehabilitation center after discharge of the client shall be destroyed by the mental health rehabilitation center in the following manner:
(1) Drugs listed in Schedules II, III or IV of the Federal Comprehensive Drug Abuse Prevention and Control Act of 1970 shall be destroyed by the facility in the presence of a pharmacist and a registered nurse employed by the mental health rehabilitation center. The name of the client, the name and strength of the drug, the prescription number, the amount destroyed, the date of destruction and the signatures of the witnesses required above shall be recorded in the client's health record or in a separate log. Such log shall be retained for at least three (3) years.
(2) Drugs not listed under Schedules II, III or IV of the Federal Comprehensive Drug Abuse Prevention and Control Act of 1970 shall be destroyed by the mental health rehabilitation center in the presence of a pharmacist or licensed nurse. The name of client, the name and strength of the drug, the prescription number if applicable, the amount destroyed, the date of destruction and the signatures of the person named above and one other person shall be recorded in the client's health record or in a separate log. Such log shall be retained for at least three (3) years.
(d) Unless otherwise prohibited under applicable federal or state laws, individual client drugs supplied in sealed containers may be returned if unopened, to the issuing pharmacy for disposition provided that:
(1) No drugs covered under the Federal Comprehensive Drug Abuse Prevention and Control Act of 1970 are returned.
(2) All such drugs are identified as to lot or control number.
(3) The signatures of the receiving pharmacist and a registered nurse employed by the mental health rehabilitation center are recorded in a separate log which lists the name of the client, the name, strength, prescription number (if applicable), the amount of the drug returned and the date of return. The log must be retained for at least three (3) years.
NOTE

Authority cited: Sections 5675 and 5768, Welfare and Institutions Code; Section 3 of Chapter 678 of the Statutes of 1994. Reference: Sections 5675 and 5768, Welfare and Institutions Code.
HISTORY

1. New section filed 8-21-95 as an emergency; operative 8-21-95 (Register 95, No. 34). A Certificate of Compliance must be transmitted to OAL by 2-17-95 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 2-9-96 as an emergency; operative 2-9-96 (Register 96, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-8-96 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 6-10-96 as an emergency; operative 6-10-96 (Register 96, No. 24). A Certificate of Compliance must be transmitted to OAL by 10-8-96 or emergency language will be repealed by operation of law on the following day.
4. New section refiled 10-8-96 as an emergency; operative 10-8-96 (Register 96, No. 41). A Certificate of Compliance must be transmitted to OAL by 2-5-97 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 10-8-96 order transmitted to OAL 2-5-97; disapproved by OAL and order of repeal as to 10-8-96 order filed on 3-21-97 (Register 97, No. 12).
6. New section filed 3-21-97 as an emergency; operative 3-21-97 (Register 97, No. 12). A Certificate of Compliance must be transmitted to OAL by 7-21-97 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 3-21-97 order, including renumbering of former section 785.28 to new section 785.25, and renumbering of former section 785.31 to new section 785.28, transmitted to OAL 7-21-97 and filed 8-21-97 (Register 97, No. 34).
§785.29. Pharmaceutical Service--Unit Dose Medication System.
Note     •     History

In facilities utilizing a unit dose medication system, there shall be at least a 24-hour supply of client medications on hand at all times, except those drugs that are to be discontinued within the 24-hour period. Drugs that are part of a unit dose medication system shall not exceed a 30 day supply.
NOTE

Authority cited: Sections 5675 and 5768, Welfare and Institutions Code; Section 3 of Chapter 678 of the Statutes of 1994. Reference: Sections 5675 and 5768, Welfare and Institutions Code.
HISTORY

1. New section filed 8-21-95 as an emergency; operative 8-21-95 (Register 95, No. 34). A Certificate of Compliance must be transmitted to OAL by 2-17-95 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 2-9-96 as an emergency; operative 2-9-96 (Register 96, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-8-96 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 6-10-96 as an emergency; operative 6-10-96 (Register 96, No. 24). A Certificate of Compliance must be transmitted to OAL by 10-8-96 or emergency language will be repealed by operation of law on the following day.
4. New section refiled 10-8-96 as an emergency; operative 10-8-96 (Register 96, No. 41). A Certificate of Compliance must be transmitted to OAL by 2-5-97 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 10-8-96 order transmitted to OAL 2-5-97; disapproved by OAL and order of repeal as to 10-8-96 order filed on 3-21-97 (Register 97, No. 12).
6. New section filed 3-21-97 as an emergency; operative 3-21-97 (Register 97, No. 12). A Certificate of Compliance must be transmitted to OAL by 7-21-97 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 3-21-97 order, including renumbering of former section 785.29 to new section 785.26, and renumbering and amendment of former section 785.32 to new section 785.29, transmitted to OAL 7-21-97 and filed 8-21-97 (Register 97, No. 34).
§785.30. Pharmaceutical Service--Staff.
Note     •     History

(a) Mental health rehabilitation centers shall retain a consulting pharmacist who devotes a sufficient number of hours during a regularly scheduled visit, for the purpose of coordinating, supervising and reviewing the pharmaceutical service committee, or its equivalent, at least quarterly. The report shall include a log or record of time spent in the mental health rehabilitation center. There shall be a written agreement between the pharmacist and the mental health rehabilitation center which includes duties and responsibilities of both.
(b) A pharmacist shall review the drug regimen of each client at least monthly and prepare appropriate reports. The review of the drug regimen of each client shall include all drugs currently ordered, information concerning the client's condition relating to drug therapy, medication administration records, and where appropriate, physician's progress notes, nurse's notes, and laboratory test results. The pharmacists shall be responsible for reporting, in writing, irregularities in the dispensing and administration of drugs and other matters relating to the review of the drug regimen to the mental health rehabilitation center director and director of the nursing service.
NOTE

Authority cited: Sections 5675 and 5768, Welfare and Institutions Code; Section 3 of Chapter 678 of the Statutes of 1994. Reference: Sections 5675 and 5768, Welfare and Institutions Code.
HISTORY

1. New section filed 8-21-95 as an emergency; operative 8-21-95 (Register 95, No. 34). A Certificate of Compliance must be transmitted to OAL by 2-17-95 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 2-9-96 as an emergency; operative 2-9-96 (Register 96, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-8-96 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 6-10-96 as an emergency; operative 6-10-96 (Register 96, No. 24). A Certificate of Compliance must be transmitted to OAL by 10-8-96 or emergency language will be repealed by operation of law on the following day.
4. New section refiled 10-8-96 as an emergency; operative 10-8-96 (Register 96, No. 41). A Certificate of Compliance must be transmitted to OAL by 2-5-97 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 10-8-96 order transmitted to OAL 2-5-97; disapproved by OAL and order of repeal as to 10-8-96 order filed on 3-21-97 (Register 97, No. 12).
6. New section filed 3-21-97 as an emergency; operative 3-21-97 (Register 97, No. 12). A Certificate of Compliance must be transmitted to OAL by 7-21-97 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 3-21-97 order, including renumbering of former section 785.30 to new section 785.27, and renumbering and amendment of former section 785.33 to new section 785.30, transmitted to OAL 7-21-97 and filed 8-21-97 (Register 97, No. 34).
§785.31. Pharmaceutical Service--Equipment and Supplies.
Note     •     History

(a) There shall be adequate equipment and supplies necessary for the provision of pharmaceutical services within the mental health rehabilitation center including at least the following:
(1) Refrigerator with an accurate thermometer.
(2) Lockable drug cabinets, drawers, closets or rooms.
(3) Drug service trays and/or carts.
(4) Drug preparation counter area and convenient water source.
(5) Reference materials containing drug monographs on all drugs in use in the facility. Such monographs shall include information concerning generic and brand names, if applicable, available strengths and dosage forms and pharmacological data including indications and side effects.
(b) Emergency supplies shall be readily available to each nursing station. Emergency drug supplies shall meet the following requirements:
(1) Legend drugs shall not be stored in the emergency supply, except under the following conditions:
(A) Injectable supplies of legend drugs shall be limited to a maximum of three single doses in ampules or vials or one container of the smallest available multi-dose vial and shall be in sealed, unused containers.
(B) Sublingual or inhalation emergency drugs shall be limited to single sealed containers of the smallest available size.
(C) Not more than 24 emergency drugs in solid, oral dosage form or suppository dosage form may be stored, if in sealed containers. Not more than four doses of any one drug may be so stored.
(2) The emergency drug supply shall be stored in a portable container which is sealed in such a manner that the tamper-proof seal must be broken to gain access to the drugs. The director of nursing service or charge nurse shall notify the pharmacist when drugs have been used from the emergency kit or when the seal has been broken. Drugs used from the kit shall be replaced within 72 hours and the supply resealed by the pharmacist.
(3) The contents of the supply shall be listed on the outside of the container.
(4) The supply shall be checked at least monthly by the pharmacist.
(5) Separate records of use shall be maintained for drugs administered from the supply. Such records shall include the name and dose of the drug administered, name of the client, the date and time of administration and the signature of the person administering the dose.
NOTE

Authority cited: Sections 5675 and 5768, Welfare and Institutions Code; Section 3 of Chapter 678 of the Statutes of 1994. Reference: Sections 5675 and 5768, Welfare and Institutions Code.
HISTORY

1. New section filed 8-21-95 as an emergency; operative 8-21-95 (Register 95, No. 34). A Certificate of Compliance must be transmitted to OAL by 2-17-95 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 2-9-96 as an emergency; operative 2-9-96 (Register 96, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-8-96 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 6-10-96 as an emergency; operative 6-10-96 (Register 96, No. 24). A Certificate of Compliance must be transmitted to OAL by 10-8-96 or emergency language will be repealed by operation of law on the following day.
4. New section refiled 10-8-96 as an emergency; operative 10-8-96 (Register 96, No. 41). A Certificate of Compliance must be transmitted to OAL by 2-5-97 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 10-8-96 order transmitted to OAL 2-5-97; disapproved by OAL and order of repeal as to 10-8-96 order filed on 3-21-97 (Register 97, No. 12).
6. New section filed 3-21-97 as an emergency; operative 3-21-97 (Register 97, No. 12). A Certificate of Compliance must be transmitted to OAL by 7-21-97 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 3-21-97 order, including renumbering of former section 785.31 to new section 785.28, and renumbering and amendment of former section 785.34 to new section 785.31, transmitted to OAL 7-21-97 and filed 8-21-97 (Register 97, No. 34).
§785.32. Pharmaceutical Service--Unit Dose Medication System.
Note     •     History

NOTE

Authority cited: Sections 5675 and 5768, Welfare and Institutions Code; Section 3 of Chapter 678 of the Statutes of 1994. Reference: Sections 5675 and 5768, Welfare and Institutions Code.
HISTORY

1. New section filed 8-21-95 as an emergency; operative 8-21-95 (Register 95, No. 34). A Certificate of Compliance must be transmitted to OAL by 2-17-95 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 2-9-96 as an emergency; operative 2-9-96 (Register 96, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-8-96 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 6-10-96 as an emergency; operative 6-10-96 (Register 96, No. 24). A Certificate of Compliance must be transmitted to OAL by 10-8-96 or emergency language will be repealed by operation of law on the following day.
4. New section refiled 10-8-96 as an emergency; operative 10-8-96 (Register 96, No. 41). A Certificate of Compliance must be transmitted to OAL by 2-5-97 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 10-8-96 order transmitted to OAL 2-5-97; disapproved by OAL and order of repeal as to 10-8-96 order filed on 3-21-97 (Register 97, No. 12).
6. New section filed 3-21-97 as an emergency; operative 3-21-97 (Register 97, No. 12). A Certificate of Compliance must be transmitted to OAL by 7-21-97 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 3-21-97 order, including renumbering of former section 785.32 to new section 785.29, transmitted to OAL 7-21-97 and filed 8-21-97 (Register 97, No. 34).
§785.33. Pharmaceutical Service--Staff.
Note     •     History

NOTE

Authority cited: Sections 5675 and 5768, Welfare and Institutions Code; Section 3 of Chapter 678 of the Statutes of 1994. Reference: Sections 5675 and 5768, Welfare and Institutions Code.
HISTORY

1. New section filed 8-21-95 as an emergency; operative 8-21-95 (Register 95, No. 34). A Certificate of Compliance must be transmitted to OAL by 2-17-95 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 2-9-96 as an emergency; operative 2-9-96 (Register 96, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-8-96 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 6-10-96 as an emergency; operative 6-10-96 (Register 96, No. 24). A Certificate of Compliance must be transmitted to OAL by 10-8-96 or emergency language will be repealed by operation of law on the following day.
4. New section refiled 10-8-96 as an emergency; operative 10-8-96 (Register 96, No. 41). A Certificate of Compliance must be transmitted to OAL by 2-5-97 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 10-8-96 order transmitted to OAL 2-5-97; disapproved by OAL and order of repeal as to 10-8-96 order filed on 3-21-97 (Register 97, No. 12).
6. New section filed 3-21-97 as an emergency; operative 3-21-97 (Register 97, No. 12). A Certificate of Compliance must be transmitted to OAL by 7-21-97 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 3-21-97 order, including renumbering of former section 785.33 to new section 785.30, transmitted to OAL 7-21-97 and filed 8-21-97 (Register 97, No. 34).
§785.34. Pharmaceutical Service--Equipment and Supplies.
Note     •     History

NOTE

Authority cited: Sections 5675 and 5768, Welfare and Institutions Code; Section 3 of Chapter 678 of the Statutes of 1994. Reference: Sections 5675 and 5768, Welfare and Institutions Code.
HISTORY

1. New section filed 8-21-95 as an emergency; operative 8-21-95 (Register 95, No. 34). A Certificate of Compliance must be transmitted to OAL by 2-17-95 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 2-9-96 as an emergency; operative 2-9-96 (Register 96, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-8-96 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 6-10-96 as an emergency; operative 6-10-96 (Register 96, No. 24). A Certificate of Compliance must be transmitted to OAL by 10-8-96 or emergency language will be repealed by operation of law on the following day.
4. New section refiled 10-8-96 as an emergency; operative 10-8-96 (Register 96, No. 41). A Certificate of Compliance must be transmitted to OAL by 2-5-97 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 10-8-96 order transmitted to OAL 2-5-97; disapproved by OAL and order of repeal as to 10-8-96 order filed on 3-21-97 (Register 97, No. 12).
6. New section filed 3-21-97 as an emergency; operative 3-21-97 (Register 97, No. 12). A Certificate of Compliance must be transmitted to OAL by 7-21-97 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 3-21-97 order, including renumbering of former section 785.34 to new section 785.31, transmitted to OAL 7-21-97 and filed 8-21-97 (Register 97, No. 34).
Article 6. Required Programs
§786.00. Program Requirements--General.
Note     •     History

(a) Mental health rehabilitation centers shall have the capability of providing, at a minimum, a rehabilitation and activity program as specified in these regulations.
(b) The objective shall be to provide a rehabilitation and activity program aimed at improving the adaptive functioning of persons with mental disabilities to enable clients to move into a less restrictive environment while preventing regression to a lower level of functioning.
(c) Orientation and in-service training of staff members to assist them in the recognition and understanding of the emotional problems, social needs of clients, and the means for taking appropriate action. Utilization of available community resources and services, including the purpose and value of the participation of consumers and family members, should be included in the orientation.
(d) The mental health rehabilitation center shall comply with all requirements of its approved Plan of Operation and any approved, specific alternate requirement which shall govern the operation of the program notwithstanding the provisions of any other regulations contained in this subchapter.
NOTE

Authority cited: Sections 5675 and 5768, Welfare and Institutions Code; Section 3 of Chapter 678 of the Statutes of 1994. Reference: Sections 5675 and 5768, Welfare and Institutions Code.
HISTORY

1. New article 6 and section filed 8-21-95 as an emergency; operative 8-21-95 (Register 95, No. 34). A Certificate of Compliance must be transmitted to OAL by 2-17-95 or emergency language will be repealed by operation of law on the following day.
2. Editorial correction of  History 1 (Register 96, No. 6).
3. New article 6 and section refiled 2-9-96 as an emergency; operative 2-9-96 (Register 96, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-8-96 or emergency language will be repealed by operation of law on the following day.
4. New article 6 and section refiled 6-10-96 as an emergency; operative 6-10-96 (Register 96, No. 24). A Certificate of Compliance must be transmitted to OAL by 10-8-96 or emergency language will be repealed by operation of law on the following day.
5. New article 6 and section refiled  10-8-96 as an emergency; operative 10-8-96 (Register 96, No. 41). A Certificate of Compliance must be transmitted to OAL by 2-5-97 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 10-8-96 order transmitted to OAL 2-5-97; disapproved by OAL and order of repeal as to 10-8-96 order filed on 3-21-97 (Register 97, No. 12).
7. New article 6 and section filed 3-21-97 as an emergency; operative 3-21-97 (Register 97, No. 12). A Certificate of Compliance must be transmitted to OAL by 7-21-97 or emergency language will be repealed by operation of law on the following day.
8. Certificate of Compliance as to 3-21-97 order, including amendment of subsection (c), repealer of subsection (d), subsection relettering, and amendment of newly designated subsection (e), transmitted to OAL 7-21-97 and filed 8-21-97 (Register 97, No. 34).
§786.10. Rehabilitation Program--Services.
Note     •     History

(a) The program shall include services designed to assist persons considered seriously disabled due to a mental illness to develop skills to become self-sufficient and capable of increasing levels of independent functioning in the community. The services in this program shall include, but not be limited to, clinical treatment which includes psychiatric and psychological services, learning disability assessment and educational services, prevocational and vocational counseling, development of independent living skills, self-help and social skills, and community outreach to develop linkages with other support and service systems, including family members.
(b) All services shall be client centered, in recognition of varying individual goals, diverse needs, concerns, strengths, motivations, and disabilities.
(c) The program shall emphasize the participation of clients in all aspects of the program including, but not limited to, individual treatment/service planning, program design and evaluation.
(d) Structured day and evening services shall consist of, at a minimum, an average of fourteen (14) specific rehabilitation service hours and seven (7) activity program hours per week for each client, and shall be available seven (7) days a week. Services shall include, but not be limited to:
(1) Individual and group counseling or therapy.
(2) Crisis intervention.
(3) Pre-vocational or vocational counseling.
(4) Provision of educational services and remediation.
(5) Client advocacy, including assisting clients to develop their own advocacy skills.
(6) Independent living skills.
(7) Money management.
(8) Self-control and symptom management.
(9) Sex education.
(10) Self-medication education.
(11) Personal grooming and hygiene.
(12) An activity program that encourages socialization within the program and general community, and that assists linking the client to resources which are available after leaving the program
(e) Consultative resources shall be used, including consumer and family members, in the planning and organization of rehabilitation services for persons with mental disabilities, incorporating discharge planning intended to enable the client to function and gain independence.
NOTE

Authority cited: Sections 5675 and 5768, Welfare and Institutions Code; Section 3 of Chapter 678 of the Statutes of 1994. Reference: Sections 5675 and 5768, Welfare and Institutions Code.
HISTORY

1. New section filed 8-21-95 as an emergency; operative 8-21-95 (Register 95, No. 34). A Certificate of Compliance must be transmitted to OAL by 2-17-95 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 2-9-96 as an emergency; operative 2-9-96 (Register 96, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-8-96 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 6-10-96 as an emergency; operative 6-10-96 (Register 96, No. 24). A Certificate of Compliance must be transmitted to OAL by 10-8-96 or emergency language will be repealed by operation of law on the following day.
4. New section refiled 10-8-96 as an emergency; operative 10-8-96 (Register 96, No. 41). A Certificate of Compliance must be transmitted to OAL by 2-5-97 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 10-8-96 order transmitted to OAL 2-5-97; disapproved by OAL and order of repeal as to 10-8-96 order filed on 3-21-97 (Register 97, No. 12).
6. New section filed 3-21-97 as an emergency; operative 3-21-97 (Register 97, No. 12). A Certificate of Compliance must be transmitted to OAL by 7-21-97 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 3-21-97 order, including amendment of subsections (a) and (d), transmitted to OAL 7-21-97 and filed 8-21-97 (Register 97, No. 34).
§786.11. Rehabilitation Program--Admission Requirements.
Note     •     History

(a) The mental health rehabilitation center shall have an admission agreement, signed by the client or authorized representative, describing the services to be provided and the expectations and rights of the client regarding program rules, client empowerment and involvement in the program, and fees. The client shall receive a copy of the signed admission agreement.
(b) There shall be an initial written assessment of each client within fifteen (15) days of admission, unless a similar assessment has been done by the referring agency within thirty (30) days prior to admissions to the mental health rehabilitation center. The assessment shall include, at a minimum:
(1) Health and psychiatric histories.
(2) Psychosocial skills.
(3) Social support skills.
(4) Current psychological, education, vocational and other functional needs and/or limitations.
(5) Medical needs, as reported.
(6) Self control and symptom management.
(7) The signature of a licensed mental health professional.
(c) Each client admitted shall have a comprehensive individual mental health evaluation within 30 days of admission, signed by a licensed mental health professional upon completion.
NOTE

Authority cited: Sections 5675 and 5768, Welfare and Institutions Code; Section 3 of Chapter 678 of the Statutes of 1994. Reference: Sections 5675 and 5768, Welfare and Institutions Code.
HISTORY

1. New section filed 8-21-95 as an emergency; operative 8-21-95 (Register 95, No. 34). A Certificate of Compliance must be transmitted to OAL by 2-17-95 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 2-9-96 as an emergency; operative 2-9-96 (Register 96, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-8-96 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 6-10-96 as an emergency; operative 6-10-96 (Register 96, No. 24). A Certificate of Compliance must be transmitted to OAL by 10-8-96 or emergency language will be repealed by operation of law on the following day.
4. New section refiled 10-8-96 as an emergency; operative 10-8-96 (Register 96, No. 41). A Certificate of Compliance must be transmitted to OAL by 2-5-97 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 10-8-96 order transmitted to OAL 2-5-97; disapproved by OAL and order of repeal as to 10-8-96 order filed on 3-21-97 (Register 97, No. 12).
6. New section filed 3-21-97 as an emergency; operative 3-21-97 (Register 97, No. 12). A Certificate of Compliance must be transmitted to OAL by 7-21-97 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 3-21-97 order, including amendment of subsections (a) and (b) and new subsection (c), transmitted to OAL 7-21-97 and filed 8-21-97 (Register 97, No. 34).
§786.12. Rehabilitation Program--Staff.
Note     •     History

(a) Licensees are required to provide additional mental health professional, administrative or supportive personnel whenever the Department determines, through a written evaluation, that additional personnel are needed to provide for the health, safety and rehabilitation needs of clients.
(b) Interdisciplinary Professional Staff: The mental health rehabilitation center shall provide either through direct employment or by contractual arrangement, an interdisciplinary professional staff to develop and implement a specialized rehabilitation program and services, and to provide specific expertise to the program staff, and to provide direct client services.
(1) The interdisciplinary professional staff shall be composed of at least two of the following disciplines:
(A) Psychologist.
(B) Social Worker.
(C) Marriage, Family and Child Counselor.
(D) Occupational Therapist.
(E) Mental Health Rehabilitation Specialist.
(F) Program Director as specified in Section 786.13(d).
(G) Licensed Nursing Staff.
(H) Any other related discipline approved by the Department
(2) Each member of the professional staff shall have a minimum of one (1) year of experience or training in a mental health setting.
(3) In addition to other staffing requirements, a licensed mental health rehabilitation facility which provides a rehabilitation services program shall provide interdisciplinary professional staff as required in (b) above, in accordance with the following schedule:
(A) For facilities having an average of 41 or fewer clients per week, a minimum of 24 hours per week of interdisciplinary professional staff time.
(B) For facilities having an average of 42 or more clients per week, a minimum of 48 hours per week of interdisciplinary professional staff time.
(c) Program staff shall include only those full or part time employees of the mental health rehabilitation center whose duties and responsibilities include the treatment, counseling or supervision of the mental health rehabilitation center's program population.
(1) At a minimum, all program staff shall have graduated from high school or possess a General Equivalency Diploma (GED) and have a minimum of two (2) years of full-time experience, or its part-time equivalent, working in a mental health program serving persons with severe and persistent mental disabilities. Such experience shall be in the direct provision of services to a program's identified clients or residents. A bachelors degree with a major in psychology, social work or behavioral sciences may be substituted for the two (2) years of full-time work experience or its part-time equivalent.
(A) Persons who have been consumers of mental health services may be utilized in the program when consistent with program design and services provided, and (c)(1) above.
(B) Program staff shall be employed and on duty in at least the number and with the qualifications determined by the Department to provide the required rehabilitation services.
(2) The mental health rehabilitation center shall provide at least one (1) hour of program staff time for each five (5) hours of rehabilitation services provided for each client. 
(d) Program staff time shall not include the program director, interdisciplinary professional staff, director of nursing service or nursing staff.
NOTE

Authority cited: Sections 5675 and 5768, Welfare and Institutions Code; Section 3 of Chapter 678 of the Statutes of 1994. Reference: Sections 5675 and 5768, Welfare and Institutions Code.
HISTORY

1. New section filed 8-21-95 as an emergency; operative 8-21-95 (Register 95, No. 34). A Certificate of Compliance must be transmitted to OAL by 2-17-95 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 2-9-96 as an emergency; operative 2-9-96 (Register 96, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-8-96 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 6-10-96 as an emergency; operative 6-10-96 (Register 96, No. 24). A Certificate of Compliance must be transmitted to OAL by 10-8-96 or emergency language will be repealed by operation of law on the following day.
4. New section refiled 10-8-96 as an emergency; operative 10-8-96 (Register 96, No. 41). A Certificate of Compliance must be transmitted to OAL by 2-5-97 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 10-8-96 order transmitted to OAL 2-5-97; disapproved by OAL and order of repeal as to 10-8-96 order filed on 3-21-97 (Register 97, No. 12).
6. New section filed 3-21-97 as an emergency; operative 3-21-97 (Register 97, No. 12). A Certificate of Compliance must be transmitted to OAL by 7-21-97 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 3-21-97 order, including repealer of former section 786.12 and renumbering and amendment of former section 786.13 to new section 786.12, transmitted to OAL 7-21-97 and filed 8-21-97 (Register 97, No. 34).
§786.13. Rehabilitation Program--Program Director.
Note     •     History

(a) The mental health rehabilitation center shall have a program director who meets the requirements of Section 782.40. The program director shall not be the director of nursing service or a charge nurse.
(b) The program director shall also have at least two years experience or training in a mental or training setting, one year of which shall include experience or training in program development for persons with severe and persistent mental disabilities.
(c) The program director shall ensure that an in-service education program is provided.
(d) The program director may be included and counted as a member of interdisciplinary professional staff in mental rehabilitation centers with 41 or fewer beds.
NOTE

Authority cited: Sections 5675 and 5768, Welfare and Institutions Code; Section 3 of Chapter 678 of the Statutes of 1994. Reference: Sections 5675 and 5768, Welfare and Institutions Code.
HISTORY

1. New section filed 8-21-95 as an emergency; operative 8-21-95 (Register 95, No. 34). A Certificate of Compliance must be transmitted to OAL by 2-17-95 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 2-9-96 as an emergency; operative 2-9-96 (Register 96, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-8-96 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 6-10-96 as an emergency; operative 6-10-96 (Register 96, No. 24). A Certificate of Compliance must be transmitted to OAL by 10-8-96 or emergency language will be repealed by operation of law on the following day.
4. New section refiled 10-8-96 as an emergency; operative 10-8-96 (Register 96, No. 41). A Certificate of Compliance must be transmitted to OAL by 2-5-97 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 10-8-96 order transmitted to OAL 2-5-97; disapproved by OAL and order of repeal as to 10-8-96 order filed on 3-21-97 (Register 97, No. 12).
6. New section filed 3-21-97 as an emergency; operative 3-21-97 (Register 97, No. 12). A Certificate of Compliance must be transmitted to OAL by 7-21-97 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 3-21-97 order, including renumbering of former section 786.13 to new section 786.12, and renumbering and amendment of former section 786.14 to new section 786.13, transmitted to OAL 7-21-97 and filed 8-21-97 (Register 97, No. 34).
§786.14. Rehabilitation Program--In-Service Education.
Note     •     History

(a) The mental health rehabilitation center shall provide to all rehabilitation and activity staff an average of fifty two (52) hours per year of ongoing, planned academic and on-the-job in-service education. The education shall include, but not be limited to, the following:
(1) Client-centered approach as to addressing the needs and goals of persons with mental disabilities.
(2) Principles and practices of psychosocial rehabilitation and community support, including self-help, peer support and family involvement.
(3) Cultural competence.
(4) Interpersonal relationships and communication skills.
(5) Confidentiality of client information.
(6) Preservation of client dignity, including provision of privacy.
(7) Client rights and civil rights.
(8) Conflict resolution.
(9) Prevention and control of infections.
(10) Fire prevention and safety.
(11) Accident prevention and safety measures.
(12) Choking prevention and intervention.
(13) Sex education.
(14) Use of unlicensed staff.
(b) In addition to (a) above, all direct service staff shall have training in cardiopulmonary resuscitation.
(c) The mental health rehabilitation center shall maintain a record of the in-service education. This record shall include the signature of staff in attendance, the number of hours, the date and the subjects covered.
NOTE

Authority cited: Sections 5675 and 5768, Welfare and Institutions Code; Section 3 of Chapter 678 of the Statutes of 1994. Reference: Sections 5675 and 5768, Welfare and Institutions Code.
HISTORY

1. New section filed 8-21-95 as an emergency; operative 8-21-95 (Register 95, No. 34). A Certificate of Compliance must be transmitted to OAL by 2-17-95 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 2-9-96 as an emergency; operative 2-9-96 (Register 96, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-8-96 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 6-10-96 as an emergency; operative 6-10-96 (Register 96, No. 24). A Certificate of Compliance must be transmitted to OAL by 10-8-96 or emergency language will be repealed by operation of law on the following day.
4. New section refiled 10-8-96 as an emergency; operative 10-8-96 (Register 96, No. 41). A Certificate of Compliance must be transmitted to OAL by 2-5-97 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 10-8-96 order transmitted to OAL 2-5-97; disapproved by OAL and order of repeal as to 10-8-96 order filed on 3-21-97 (Register 97, No. 12).
6. New section filed 3-21-97 as an emergency; operative 3-21-97 (Register 97, No. 12). A Certificate of Compliance must be transmitted to OAL by 7-21-97 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 3-21-97 order, including renumbering of former section 786.14 to new section 786.13, and renumbering and amendment of former section 786.15 to new section 786.14, transmitted to OAL 7-21-97 and filed 8-21-97 (Register 97, No. 34).
§786.15. Rehabilitation Program--Individual Service Plan and Documentation Requirements.
Note     •     History

(a) The written individual service plan shall be prepared within 30 days following admission by the program director or a staff member that is a licensed mental health professional, and shall include, but not be limited to, the following:
(1) Specific goals and measurable objectives, the staff and client's responsibilities for their achievement.
(A) Statement of specific treatment/rehabilitation needs and goals.
(B) The individual service plan shall indicate the services to be provided, the objectives to be accomplished, and the staff responsible for the provision of each service.
(C) The objectives shall be measurable, with time frames, and shall be reviewed and updated at least monthly.
(b) There shall be weekly progress notes in the record for each client which shall include notes written by members of the program staff or interdisciplinary professional staff providing rehabilitation services to the client. The notes shall be a general review of weekly progress.
(c) Documentation of reviews by staff and clients of the individual service plan on at least a monthly basis.
(1) Clients shall be involved in an on-going review of progress towards goal attainment and in the planning and evaluation of their treatment/rehabilitation goals.
(2) Anticipated length of stay for the client in the mental health rehabilitation center needed to accomplish identified goals, and methods to evaluate the achievement of these goals.
(d) There shall be a review and updating of the individual service plan as necessary but at least quarterly, and more often if there is a change in the client's condition.
(1) The quarterly review shall include a reevaluation which shall be a summary of the progress of the client in the rehabilitation program, the appropriateness of identified needs, client goals and objectives and the success of the plan.
(2) The client should be present at the quarterly review and if agreed to by the client, family members may be notified and attend the quarterly review.
(e) The service plan shall be approved by the program director or a licensed mental health professional, and signed by the client.
(f) Prior to discharge, there shall be a written discharge summary prepared by the staff which shall include an outline of services provided, goals accomplished, reason and plan for discharge, and referral follow-up plans.
(g) At least every four (4) months, the mental health rehabilitation center in conjunction with the local mental health director or designee, shall reassess each client to determine the need for continued placement of the client in the mental health rehabilitation center.
NOTE

Authority cited: Sections 5675 and 5768, Welfare and Institutions Code; Section 3 of Chapter 678 of the Statutes of 1994. Reference: Sections 5675 and 5768, Welfare and Institutions Code.
HISTORY

1. New section filed 8-21-95 as an emergency; operative 8-21-95 (Register 95, No. 34). A Certificate of Compliance must be transmitted to OAL by 2-17-95 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 2-9-96 as an emergency; operative 2-9-96 (Register 96, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-8-96 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 6-10-96 as an emergency; operative 6-10-96 (Register 96, No. 24). A Certificate of Compliance must be transmitted to OAL by 10-8-96 or emergency language will be repealed by operation of law on the following day.
4. New section refiled 10-8-96 as an emergency; operative 10-8-96 (Register 96, No. 41). A Certificate of Compliance must be transmitted to OAL by 2-5-97 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 10-8-96 order transmitted to OAL 2-5-97; disapproved by OAL and order of repeal as to 10-8-96 order filed on 3-21-97 (Register 97, No. 12).
6. New section filed 3-21-97 as an emergency; operative 3-21-97 (Register 97, No. 12). A Certificate of Compliance must be transmitted to OAL by 7-21-97 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 3-21-97 order, including renumbering of former section 786.15 to new section 786.14, and renumbering and amendment of former section 786.16 to new section 786.15, transmitted to OAL 7-21-97 and filed 8-21-97 (Register 97, No. 34).
§786.16. Rehabilitation Program--Equipment.
Note     •     History

There shall be sufficient equipment, assistive devices and supplies available to implement the treatment/rehabilitation program ordered or indicated for meeting the mental and emotional needs of clients.
NOTE

Authority cited: Sections 5675 and 5768, Welfare and Institutions Code; Section 3 of Chapter 678 of the Statutes of 1994. Reference: Sections 5675 and 5768, Welfare and Institutions Code.
HISTORY

1. New section filed 8-21-95 as an emergency; operative 8-21-95 (Register 95, No. 34). A Certificate of Compliance must be transmitted to OAL by 2-17-95 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 2-9-96 as an emergency; operative 2-9-96 (Register 96, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-8-96 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 6-10-96 as an emergency; operative 6-10-96 (Register 96, No. 24). A Certificate of Compliance must be transmitted to OAL by 10-8-96 or emergency language will be repealed by operation of law on the following day.
4. New section refiled 10-8-96 as an emergency; operative 10-8-96 (Register 96, No. 41). A Certificate of Compliance must be transmitted to OAL by 2-5-97 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 10-8-96 order transmitted to OAL 2-5-97; disapproved by OAL and order of repeal as to 10-8-96 order filed on 3-21-97 (Register 97, No. 12).
6. New section filed 3-21-97 as an emergency; operative 3-21-97 (Register 97, No. 12). A Certificate of Compliance must be transmitted to OAL by 7-21-97 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 3-21-97 order, including renumbering of former section 786.16 to new section 786.15, and renumbering of former section 786.17 to new section 786.16, transmitted to OAL 7-21-97 and filed 8-21-97 (Register 97, No. 34).
§786.17. Activity Program--General.
Note     •     History

An activity program shall be staffed and equipped to encourage the participation of each client and to meet the activity needs and interests of each client.
NOTE

Authority cited: Sections 5675 and 5768, Welfare and Institutions Code; Section 3 of Chapter 678 of the Statutes of 1994. Reference: Sections 5675 and 5768, Welfare and Institutions Code.
HISTORY

1. New section filed 8-21-95 as an emergency; operative 8-21-95 (Register 95, No. 34). A Certificate of Compliance must be transmitted to OAL by 2-17-95 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 2-9-96 as an emergency; operative 2-9-96 (Register 96, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-8-96 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 6-10-96 as an emergency; operative 6-10-96 (Register 96, No. 24). A Certificate of Compliance must be transmitted to OAL by 10-8-96 or emergency language will be repealed by operation of law on the following day.
4. New section refiled 10-8-96 as an emergency; operative 10-8-96 (Register 96, No. 41). A Certificate of Compliance must be transmitted to OAL by 2-5-97 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 10-8-96 order transmitted to OAL 2-5-97; disapproved by OAL and order of repeal as to 10-8-96 order filed on 3-21-97 (Register 97, No. 12).
6. New section filed 3-21-97 as an emergency; operative 3-21-97 (Register 97, No. 12). A Certificate of Compliance must be transmitted to OAL by 7-21-97 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 3-21-97 order, including renumbering of former section 786.17 to new section 786.16, and renumbering of former section 786.19 to new section 786.17, transmitted to OAL 7-21-97 and filed 8-21-97 (Register 97, No. 34).
§786.18. Activity Program--Requirements.
Note     •     History

(a) Clients shall be encouraged to participate in activities planned to meet their individual assessed needs. An activity program shall have a written, planned schedule of social and other purposeful independent or group activities. The program shall be designed to stimulate and support physical and mental capabilities to the fullest extent, and to enable the client to maintain the highest attainable social, physical and mental functioning.
(b) The activity program shall consist of individual activities, and small and large group activities to which family members shall be invited, if agreed to by the client, which are designed to meet the needs and interests of each client and which shall include, but are not limited to:
(1) Social activities.
(2) Indoor and outdoor activities.
(3) Supervised activities away from the facility.
(4) Opportunity for client involvement for planning and implementation of the activity program.
(5) Creative activities.
(6) Educational activities.
(7) Exercise activities.
(8) Opportunity for client involvement in religious programs.
(9) Client government.
(c) Activities shall be available on a daily basis.
(d) There shall be an activity coordinator, who meets the requirements of Section 782.11 and shall:
(1) Develop and implement the activity program under the supervision of the program director.
(2) Coordinate the activity schedule with other client services.
(3) Post the activity schedule conspicuously, in large visible print, for the information of clients and staff.
(4) Maintain age appropriate equipment and supplies in sufficient quantity.
(5) Develop and maintain contacts with community agencies and organizations.
(6) Maintain progress notes specific to the leisure and activity needs of the clients, at least quarterly, and more frequently if needed, in the client record.
(7) Maintain a current record of the type of frequency of activities provided and the names of clients participating in each activity.
(e) Where appropriate, the activity coordinator may recruit, train and supervise a volunteer program to assist with, and augment, services of the activity program.
NOTE

Authority cited: Sections 5675 and 5768, Welfare and Institutions Code; Section 3 of Chapter 678 of the Statutes of 1994. Reference: Sections 5675 and 5768, Welfare and Institutions Code.
HISTORY

1. New section filed 8-21-95 as an emergency; operative 8-21-95 (Register 95, No. 34). A Certificate of Compliance must be transmitted to OAL by 2-17-95 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 2-9-96 as an emergency; operative 2-9-96 (Register 96, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-8-96 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 6-10-96 as an emergency; operative 6-10-96 (Register 96, No. 24). A Certificate of Compliance must be transmitted to OAL by 10-8-96 or emergency language will be repealed by operation of law on the following day.
4. New section refiled 10-8-96 as an emergency; operative 10-8-96 (Register 96, No. 41). A Certificate of Compliance must be transmitted to OAL by 2-5-97 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 10-8-96 order transmitted to OAL 2-5-97; disapproved by OAL and order of repeal as to 10-8-96 order filed on 3-21-97 (Register 97, No. 12).
6. New section filed 3-21-97 as an emergency; operative 3-21-97 (Register 97, No. 12). A Certificate of Compliance must be transmitted to OAL by 7-21-97 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 3-21-97 order, including renumbering of former section 786.18 to new section 787.22, and renumbering and amendment of former section 786.20 to new section 786.18, transmitted to OAL 7-21-97 and filed 8-21-97 (Register 97, No. 34).
§786.19. Activity Program--Staff.
Note     •     History

(a) Activity staff with appropriate training and experience shall be available to meet the needs and interest of clients.
(1) At a minimum, all activity staff shall have graduated from high school or possess a General Equivalency Diploma (GED) and have a minimum of two (2) years of full-time experience, or its part-time equivalent, working in a mental health program serving persons with mental disabilities. Such experience shall be in the direct provision of services to a program's identified clients or residents. A bachelors degree with a major in psychology, social work or behavioral sciences may be substituted for the two (2) years of full-time work experience or its part-time equivalent.
(A) Persons who have been consumers of mental health services may be utilized in the activity program when consistent with program design and services provided, and (a)(1) above.
(2) The mental health rehabilitation center shall provide at least one (1) hour of activity program staff time for each seven (7) hours of activity programs provided to each client.
(b) An activity director shall be designated by and be responsible to the program director.
(1) Be an occupational therapist, art therapist, music therapist, dance therapist, or recreation therapist.
(2) Have two (2) years of experience in a social or recreational program within the past five (5) years, one (1) year of which was full-time in client activities and programs in a mental health setting.
NOTE

Authority cited: Sections 5675 and 5768, Welfare and Institutions Code; Section 3 of Chapter 678 of the Statutes of 1994. Reference: Sections 5675 and 5768, Welfare and Institutions Code.
HISTORY

1. New section filed 8-21-95 as an emergency; operative 8-21-95 (Register 95, No. 34). A Certificate of Compliance must be transmitted to OAL by 2-17-95 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 2-9-96 as an emergency; operative 2-9-96 (Register 96, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-8-96 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 6-10-96 as an emergency; operative 6-10-96 (Register 96, No. 24). A Certificate of Compliance must be transmitted to OAL by 10-8-96 or emergency language will be repealed by operation of law on the following day.
4. New section refiled 10-8-96 as an emergency; operative 10-8-96 (Register 96, No. 41). A Certificate of Compliance must be transmitted to OAL by 2-5-97 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 10-8-96 order transmitted to OAL 2-5-97; disapproved by OAL and order of repeal as to 10-8-96 order filed on 3-21-97 (Register 97, No. 12).
6. New section filed 3-21-97 as an emergency; operative 3-21-97 (Register 97, No. 12). A Certificate of Compliance must be transmitted to OAL by 7-21-97 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 3-21-97 order, including renumbering of former section 786.19 to new section 786.17, and renumbering and amendment of former section 786.21 to new section 786.19, transmitted to OAL 7-21-97 and filed 8-21-97 (Register 97, No. 34).
§786.20. Activity Program--Equipment and Supplies.
Note     •     History

Each mental health rehabilitation center shall provide equipment and supplies for both independent and group activities and for clients having special interests.
NOTE

Authority cited: Sections 5675 and 5768, Welfare and Institutions Code; Section 3 of Chapter 678 of the Statutes of 1994. Reference: Sections 5675 and 5768, Welfare and Institutions Code.
HISTORY

1. New section filed 8-21-95 as an emergency; operative 8-21-95 (Register 95, No. 34). A Certificate of Compliance must be transmitted to OAL by 2-17-95 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 2-9-96 as an emergency; operative 2-9-96 (Register 96, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-8-96 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 6-10-96 as an emergency; operative 6-10-96 (Register 96, No. 24). A Certificate of Compliance must be transmitted to OAL by 10-8-96 or emergency language will be repealed by operation of law on the following day.
4. New section refiled 10-8-96 as an emergency; operative 10-8-96 (Register 96, No. 41). A Certificate of Compliance must be transmitted to OAL by 2-5-97 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 10-8-96 order transmitted to OAL 2-5-97; disapproved by OAL and order of repeal as to 10-8-96 order filed on 3-21-97 (Register 97, No. 12).
6. New section filed 3-21-97 as an emergency; operative 3-21-97 (Register 97, No. 12). A Certificate of Compliance must be transmitted to OAL by 7-21-97 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 3-21-97 order, including renumbering of former section 786.20 to new section 786.18, and renumbering and amendment of former section 786.22 to new section 786.20, transmitted to OAL 7-21-97 and filed 8-21-97 (Register 97, No. 34).
§786.21. Activity Program--Staff.
Note     •     History

NOTE

Authority cited: Sections 5675 and 5768, Welfare and Institutions Code; Section 3 of Chapter 678 of the Statutes of 1994. Reference: Sections 5675 and 5768, Welfare and Institutions Code.
HISTORY

1. New section filed 8-21-95 as an emergency; operative 8-21-95 (Register 95, No. 34). A Certificate of Compliance must be transmitted to OAL by 2-17-95 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 2-9-96 as an emergency; operative 2-9-96 (Register 96, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-8-96 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 6-10-96 as an emergency; operative 6-10-96 (Register 96, No. 24). A Certificate of Compliance must be transmitted to OAL by 10-8-96 or emergency language will be repealed by operation of law on the following day.
4. New section refiled 10-8-96 as an emergency; operative 10-8-96 (Register 96, No. 41). A Certificate of Compliance must be transmitted to OAL by 2-5-97 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 10-8-96 order transmitted to OAL 2-5-97; disapproved by OAL and order of repeal as to 10-8-96 order filed on 3-21-97 (Register 97, No. 12).
6. New section filed 3-21-97 as an emergency; operative 3-21-97 (Register 97, No. 12). A Certificate of Compliance must be transmitted to OAL by 7-21-97 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 3-21-97 order, including renumbering of former section 786.21 to new section 786.19, transmitted to OAL 7-21-97 and filed 8-21-97 (Register 97, No. 34).
§786.22. Activity Program--Equipment and Supplies.
Note     •     History

NOTE

Authority cited: Sections 5675 and 5768, Welfare and Institutions Code; Section 3 of Chapter 678 of the Statutes of 1994. Reference: Sections 5675 and 5768, Welfare and Institutions Code.
HISTORY

1. New section filed 8-21-95 as an emergency; operative 8-21-95 (Register 95, No. 34). A Certificate of Compliance must be transmitted to OAL by 2-17-95 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 2-9-96 as an emergency; operative 2-9-96 (Register 96, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-8-96 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 6-10-96 as an emergency; operative 6-10-96 (Register 96, No. 24). A Certificate of Compliance must be transmitted to OAL by 10-8-96 or emergency language will be repealed by operation of law on the following day.
4. New section refiled 10-8-96 as an emergency; operative 10-8-96 (Register 96, No. 41). A Certificate of Compliance must be transmitted to OAL by 2-5-97 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 10-8-96 order transmitted to OAL 2-5-97; disapproved by OAL and order of repeal as to 10-8-96 order filed on 3-21-97 (Register 97, No. 12).
6. New section filed 3-21-97 as an emergency; operative 3-21-97 (Register 97, No. 12). A Certificate of Compliance must be transmitted to OAL by 7-21-97 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 3-21-97 order, including renumbering of former section 786.22 to new section 786.20, transmitted to OAL 7-21-97 and filed 8-21-97 (Register 97, No. 34).
§786.23. Activity Program--Space.
Note     •     History

NOTE

Authority cited: Sections 5675 and 5768, Welfare and Institutions Code; Section 3 of Chapter 678 of the Statutes of 1994. Reference: Sections 5675 and 5768, Welfare and Institutions Code.
HISTORY

1. New section filed 8-21-95 as an emergency; operative 8-21-95 (Register 95, No. 34). A Certificate of Compliance must be transmitted to OAL by 2-17-95 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 2-9-96 as an emergency; operative 2-9-96 (Register 96, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-8-96 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 6-10-96 as an emergency; operative 6-10-96 (Register 96, No. 24). A Certificate of Compliance must be transmitted to OAL by 10-8-96 or emergency language will be repealed by operation of law on the following day.
4. New section refiled 10-8-96 as an emergency; operative 10-8-96 (Register 96, No. 41). A Certificate of Compliance must be transmitted to OAL by 2-5-97 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 10-8-96 order transmitted to OAL 2-5-97; disapproved by OAL and order of repeal as to 10-8-96 order filed on 3-21-97 (Register 97, No. 12).
6. New section filed 3-21-97 as an emergency; operative 3-21-97 (Register 97, No. 12). A Certificate of Compliance must be transmitted to OAL by 7-21-97 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 3-21-97 order, including renumbering of former section 786.23 to new section 787.24, transmitted to OAL 7-21-97 and filed 8-21-97 (Register 97, No. 34).
Article 7. Physical Plant
§787.00. Fire Safety.
Note     •     History

(a) The licensee shall be responsible for maintaining the mental health rehabilitation center in conformity with the regulations adopted by the State Fire Marshal for the prevention of fire and for the protection of life and property against fire and panic. The licensee shall also secure and maintain a clearance relative to health safety from the State Fire Marshal in order to comply with the requirements for participation in the Federal Medicare and California's Medi-Cal programs.
(b) Clients shall not be permitted to smoke in the  mental health rehabilitation center.
(1) The  mental health rehabilitation center shall provide designated outside areas for smoking.
(A) Clients shall be permitted to smoke only in the designated areas.
(B) The designated area shall be under the periodic observation of  mental health rehabilitation center personnel.
(2) “No Smoking” signs shall be posted in prominent locations within the  mental health rehabilitation center.
(c) Smoking or open flames shall not be permitted in any space where oxygen cylinders are stored or where oxygen is in use. Such space shall be identified by prominently posted “No Smoking” or “No Open Flame” signs.
NOTE

Authority cited: Sections 5675 and 5768, Welfare and Institutions Code; Section 3 of Chapter 678 of the Statutes of 1994. Reference: Sections 5675 and 5768, Welfare and Institutions Code.
HISTORY

1. New section filed 8-21-95 as an emergency; operative 8-21-95 (Register 95, No. 34). A Certificate of Compliance must be transmitted to OAL by 2-17-95 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 2-9-96 as an emergency; operative 2-9-96 (Register 96, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-8-96 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 6-10-96 as an emergency; operative 6-10-96 (Register 96, No. 24). A Certificate of Compliance must be transmitted to OAL by 10-8-96 or emergency language will be repealed by operation of law on the following day.
4. New section refiled 10-8-96 as an emergency; operative 10-8-96 (Register 96, No. 41). A Certificate of Compliance must be transmitted to OAL by 2-5-97 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 10-8-96 order transmitted to OAL 2-5-97; disapproved by OAL and order of repeal as to 10-8-96 order filed on 3-21-97 (Register 97, No. 12).
6. New section filed 3-21-97 as an emergency; operative 3-21-97 (Register 97, No. 12). A Certificate of Compliance must be transmitted to OAL by 7-21-97 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 3-21-97 order, including amendment of article heading, renumbering of former section 787.00 to new section 788.00, and renumbering and amendment of former section 784.33 to new section 787.00, transmitted to OAL 7-21-97 and filed 8-21-97 (Register 97, No. 34).
§787.10. Alterations to Existing Buildings or New Construction.
Note     •     History

(a) Alterations to existing buildings or new construction shall be in conformance with the California Building Standards Code, Title 24, California Code of Regulations and requirements of the State Fire Marshal.
(b) Mental health rehabilitation centers licensed and in operation prior to the effective date of changes to applicable law or regulations shall not be required to institute corrective alterations or construction in order to comply with such new requirements. Any mental health rehabilitation center for which preliminary or working drawings and specifications have been approved by the Department prior to the effective date of changes to construction regulations shall not be required to comply with such new requirements provided substantial actual construction is commenced within one year of the effective date of such new requirements.
(c) All mental health rehabilitation centers shall maintain in operating condition all buildings, fixtures and spaces in the numbers and types as specified in the construction requirements under which the facility or unit was first licensed.
NOTE

Authority cited: Sections 5675 and 5768, Welfare and Institutions Code; Section 3 of Chapter 678 of the Statutes of 1994. Reference: Sections 5675 and 5768, Welfare and Institutions Code.
HISTORY

1. New section filed 8-21-95 as an emergency; operative 8-21-95 (Register 95, No. 34). A Certificate of Compliance must be transmitted to OAL by 2-17-95 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 2-9-96 as an emergency; operative 2-9-96 (Register 96, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-8-96 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 6-10-96 as an emergency; operative 6-10-96 (Register 96, No. 24). A Certificate of Compliance must be transmitted to OAL by 10-8-96 or emergency language will be repealed by operation of law on the following day.
4. New section refiled 10-8-96 as an emergency; operative 10-8-96 (Register 96, No. 41). A Certificate of Compliance must be transmitted to OAL by 2-5-97 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 10-8-96 order transmitted to OAL 2-5-97; disapproved by OAL and order of repeal as to 10-8-96 order filed on 3-21-97 (Register 97, No. 12).
6. New section filed 3-21-97 as an emergency; operative 3-21-97 (Register 97, No. 12). A Certificate of Compliance must be transmitted to OAL by 7-21-97 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 3-21-97 order, including renumbering of former section 787.10 to new section 788.10, and renumbering and amendment of former section 784.36 to new section 787.10, transmitted to OAL 7-21-97 and filed 8-21-97 (Register 97, No. 34).
§787.11. Space Conversion.
Note     •     History

Space approved for specific use at the time of licensure shall not be converted to other use without the approval of the Department.
NOTE

Authority cited: Sections 5675 and 5768, Welfare and Institutions Code; Section 3 of Chapter 678 of the Statutes of 1994. Reference: Sections 5675 and 5768, Welfare and Institutions Code.
HISTORY

1. New section filed 8-21-95 as an emergency; operative 8-21-95 (Register 95, No. 34). A Certificate of Compliance must be transmitted to OAL by 2-17-95 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 2-9-96 as an emergency; operative 2-9-96 (Register 96, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-8-96 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 6-10-96 as an emergency; operative 6-10-96 (Register 96, No. 24). A Certificate of Compliance must be transmitted to OAL by 10-8-96 or emergency language will be repealed by operation of law on the following day.
4. New section refiled 10-8-96 as an emergency; operative 10-8-96 (Register 96, No. 41). A Certificate of Compliance must be transmitted to OAL by 2-5-97 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 10-8-96 order transmitted to OAL 2-5-97; disapproved by OAL and order of repeal as to 10-8-96 order filed on 3-21-97 (Register 97, No. 12).
6. New section filed 3-21-97 as an emergency; operative 3-21-97 (Register 97, No. 12). A Certificate of Compliance must be transmitted to OAL by 7-21-97 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 3-21-97 order, including renumbering of former section 787.11 to new section 788.11, and renumbering of former section 784.37 to new section 787.11, transmitted to OAL 7-21-97 and filed 8-21-97 (Register 97, No. 34).
§787.12. Notice to Department.
Note     •     History

The Department shall be notified in writing, by the owner or licensee of the mental health rehabilitation center, within five (5) days of the commencement of any construction, remodeling or alterations to the mental health rehabilitation center.
NOTE

Authority cited: Sections 5675 and 5768, Welfare and Institutions Code; Section 3 of Chapter 678 of the Statutes of 1994. Reference: Sections 5675 and 5768, Welfare and Institutions Code.
HISTORY

1. New section filed 8-21-95 as an emergency; operative 8-21-95 (Register 95, No. 34). A Certificate of Compliance must be transmitted to OAL by 2-17-95 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 2-9-96 as an emergency; operative 2-9-96 (Register 96, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-8-96 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 6-10-96 as an emergency; operative 6-10-96 (Register 96, No. 24). A Certificate of Compliance must be transmitted to OAL by 10-8-96 or emergency language will be repealed by operation of law on the following day.
4. New section refiled 10-8-96 as an emergency; operative 10-8-96 (Register 96, No. 41). A Certificate of Compliance must be transmitted to OAL by 2-5-97 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 10-8-96 order transmitted to OAL 2-5-97; disapproved by OAL and order of repeal as to 10-8-96 order filed on 3-21-97 (Register 97, No. 12).
6. New section filed 3-21-97 as an emergency; operative 3-21-97 (Register 97, No. 12). A Certificate of Compliance must be transmitted to OAL by 7-21-97 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 3-21-97 order, including renumbering of former section 787.12 to new section 788.12, and renumbering and amendment of former section 784.38 to new section 787.12, transmitted to OAL 7-21-97 and filed 8-21-97 (Register 97, No. 34).
§787.13. Housekeeping.
Note     •     History

(a) Each mental health rehabilitation center shall routinely clean articles and surfaces such as furniture, floors, walls, ceilings, supply and exhaust grills and lighting fixtures.
(b) Schedules and procedures shall be posted which indicate the areas of the facility which shall be cleaned daily, weekly or monthly. The cleaning schedules and procedures shall be implemented.
(c) Cleaning supplies and equipment shall be available to housekeeping staff. Such cleaning supplies and equipment shall meet the following requirements:
(1) Cleaning supplies and equipment shall be stored in rooms for housekeeping use only.
(2) A commercial detergent germicide shall be used for all cleaning.
(3) Mop heads shall be removable and changed at least daily.
(d) Housekeeping personnel shall be employed to maintain the interior of the mental health rehabilitation center in a safe, clean, orderly and attractive manner free from offensive odors.
(e) Janitor closets, service sinks and storage areas shall be clean and maintained to meet the needs of the facility.
NOTE

Authority cited: Sections 5675 and 5768, Welfare and Institutions Code; Section 3 of Chapter 678 of the Statutes of 1994. Reference: Sections 5675 and 5768, Welfare and Institutions Code.
HISTORY

1. New section filed 8-21-95 as an emergency; operative 8-21-95 (Register 95, No. 34). A Certificate of Compliance must be transmitted to OAL by 2-17-95 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 2-9-96 as an emergency; operative 2-9-96 (Register 96, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-8-96 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 6-10-96 as an emergency; operative 6-10-96 (Register 96, No. 24). A Certificate of Compliance must be transmitted to OAL by 10-8-96 or emergency language will be repealed by operation of law on the following day.
4. New section refiled 10-8-96 as an emergency; operative 10-8-96 (Register 96, No. 41). A Certificate of Compliance must be transmitted to OAL by 2-5-97 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 10-8-96 order transmitted to OAL 2-5-97; disapproved by OAL and order of repeal as to 10-8-96 order filed on 3-21-97 (Register 97, No. 12).
6. New section filed 3-21-97 as an emergency; operative 3-21-97 (Register 97, No. 12). A Certificate of Compliance must be transmitted to OAL by 7-21-97 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 3-21-97 order, including renumbering of former section 787.13 to new section 788.13, and renumbering and amendment of former section 784.42 to new section 787.13, transmitted to OAL 7-21-97 and filed 8-21-97 (Register 97, No. 34).
§787.14. Laundry.
Note     •     History

(a) When a mental health rehabilitation center operates its own laundry, the laundry areas shall be:
(1) Located in relationship to other areas so that steam, odors, lint and objectionable noises do not reach client or personnel areas.
(2) Adequate in size, well-lighted, ventilated to meet the needs of the mental health rehabilitation center, and be kept clean and sanitary.
(3) Laundry equipment shall be kept in good condition, maintained in a sanitary condition, and have a suitable capacity.
(b) Laundry areas shall have, at a minimum, the following:
(1) Separate rooms for the storage of clean linen and soiled linen.
(2) Handwashing and toilet facilities maintained at locations convenient for laundry personnel.
(3) Separate linen carts labeled “soiled” or “clean” linen and constructed of washable materials which shall be laundered or suitably cleaned as needed to maintain sanitation.
(c) Written procedures for handling, storage, transportation and processing of linens shall be posted in the laundry and shall be implemented.
(d) If the mental health rehabilitation center does not maintain a laundry service, the commercial laundry utilized shall meet the standards of this section.
NOTE

Authority cited: Sections 5675 and 5768, Welfare and Institutions Code; Section 3 of Chapter 678 of the Statutes of 1994. Reference: Sections 5675 and 5768, Welfare and Institutions Code.
HISTORY

1. New section filed 8-21-95 as an emergency; operative 8-21-95 (Register 95, No. 34). A Certificate of Compliance must be transmitted to OAL by 2-17-95 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 2-9-96 as an emergency; operative 2-9-96 (Register 96, No. 6). A Certificate of Compliance must be transmitted to OAL by 6-8-96 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 6-10-96 as an emergency; operative 6-10-96 (Register 96, No. 24). A Certificate of Compliance must be transmitted to OAL by 10-8-96 or emergency language will be repealed by operation of law on the following day.
4. New section refiled 10-8-96 as an emergency; operative 10-8-96 (Register 96, No. 41). A Certificate of Compliance must be transmitted to OAL by 2-5-97 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 10-8-96 order transmitted to OAL 2-5-97; disapproved by OAL and order of repeal as to 10-8-96 order filed on 3-21-97 (Register 97, No. 12).
6. New section filed 3-21-97 as an emergency; operative 3-21-97 (Register 97, No. 12). A Certificate of Compliance must be transmitted to OAL by 7-21-97 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 3-21-97 order, including renumbering of former section 787.13 to new section 788.14, and renumbering and amendment of former section 784.43 to new section 787.14, transmitted to OAL 7-21-97 and filed 8-21-97 (Register 97, No. 34).
§787.15. General Maintenance.
Note     •     History

(a) The mental health rehabilitation center, including the grounds, shall be maintained in a clean and sanitary condition and in good condition at all times to ensure safety and well-being of clients, staff and visitors.
(b) Buildings and grounds shall be free of environmental pollutants and such nuisances as may adversely affect the health or welfare of clients to the extent that such conditions are within the reasonable control of the mental health rehabilitation center.
(c) All buildings, fixtures, equipment and spaces shall be maintained in operable condition.
(d) Personnel shall be employed to provide preventive maintenance and to carry out the required maintenance program.
(e) Equipment provided shall meet all applicable California Occupational Safety and Health Act requirements in effect at the time of purchase. All portable electrical medical equipment designed for 110-120 volts, 60 hertz current, shall be equipped with a 3 wire-grounded power cord with a hospital-grade 3 prong plug. The cord shall be an integral part of the plug.
(f) The mental health rehabilitation center shall be maintained free from vermin and rodents through operation of a pest control program. The pest control program shall be conducted in the main client buildings, all outbuildings on the property and all grounds.
NOTE

Authority cited: Sections 5675 and 5768, Welfare and Institutions Code; Section 3 of Chapter 678 of the Statutes of 1994. Reference: Sections 5675 and 5768, Welfare and Institutions Code.
HISTORY

1. Renumbering and amendment of former section 784.46 to new section 787.15 filed 8-21-97; operative 8-21-97 (Register 97, No. 34).
§787.16. Air Filters.
Note     •     History

(a) The licensee shall be responsible for regular inspection, cleaning or replacement of all filters installed in heating, air conditioning and ventilating systems, as necessary to maintain the systems in normal operating condition.
(b) A written record of inspection, cleaning or replacement, including static pressure drop, shall be maintained and available for inspection. The record shall include a description of the filters originally installed, the American Society of Heating, Refrigeration and Air Conditioning Engineers (ASHRAE) efficiency rating and the criteria established by the manufacturer or supplier to determine when replacement or cleaning is necessary.
(c) Following filter replacement or cleaning, the installation shall be visually inspected for torn media and by-pass in filter frames by means of a flashlight or equivalent, both with fans in operation and stopped. Tears in filter media and by-pass in filter frames shall be eliminated in accordance with the manufacturer's directions and as required by the Department.
(d) Where a filter maintenance is performed by an equipment service company, a certification shall be provided to the licensee that the requirements listed in this section have been accommodated.
NOTE

Authority cited: Sections 5675 and 5768, Welfare and Institutions Code; Section 3 of Chapter 678 of the Statutes of 1994. Reference: Sections 5675 and 5768, Welfare and Institutions Code.
HISTORY

1. Renumbering of former section 784.47 to new section 787.16 filed 8-21-97; operative 8-21-97 (Register 97, No. 34).
§787.17. Water Supply and Plumbing.
Note     •     History

(a) Where water for human consumption is from an independent source, it shall be subjected to bacteriological analysis by the local health Department or a licensed commercial laboratory at least every three months. A copy of the most recent laboratory report shall be available for inspection.
(b) Plumbing, drainage facilities, and drinking water supplies shall be maintained in compliance with Part 5, Title 24, California Code of Regulations, Basic Plumbing Requirements.
(c) Vacuum breakers shall be maintained in operating condition where required by Part 5, Title 24, California Code of Regulations.
(d) Hot water temperature controls shall be maintained to automatically regulate temperature of hot water delivered to plumbing fixtures used by clients to attain a hot water temperature in compliance with Part 5, Title 24, California Code of Regulations.
(e) Minimum hot water temperature shall be maintained at the final rinse section of dishwashing facilities as required by Part 5, Title 24, California Code of Regulations, unless alternate methods are approved by the Department.
(f) Taps delivering water at or above the state temperatures shall be in compliance with requirements specified in Part 5, Title 24, California Code of Regulations. Special precautions shall be taken to prevent the scalding of clients.
(g) Grab bars, readily accessible to clients, shall be maintained at each toilet, bathtub and shower used by clients.
(h) Toilet, handwashing and bathing facilities shall be maintained in operating condition and in the number and types specified in construction requirements in effect at the time the building or unit was constructed. Those handwashing facilities listed in Part 5, Title 24, California Code of Regulations, shall not be equipped with aerators.
(i) If the mental health rehabilitation center accepts physically handicapped clients, the water closets, bathing and toileting appliances shall be equipped for use by the physically handicapped.
NOTE

Authority cited: Sections 5675 and 5768, Welfare and Institutions Code; Section 3 of Chapter 678 of the Statutes of 1994. Reference: Sections 5675 and 5768, Welfare and Institutions Code.
HISTORY

1. Renumbering and amendment of former section 784.51 to new section 787.17 filed 8-21-97; operative 8-21-97 (Register 97, No. 34).
§787.18. Lighting and Power System.
Note     •     History

(a) All rooms, attics, basements, passageways, and other spaces shall be provided with artificial illumination, as set forth in Part 3, Title 24, California Code of Regulations.
(b) All client rooms shall have a minimum of 30 foot candles of light delivered to reading or working surfaces and not less than 20 foot candles of light in the rest of the room.
(c) All accessible areas of corridors, storerooms, stairways, ramps, exits and entrances shall have a minimum of 20 foot candles of light.
(d) Auxiliary lighting and power facilities shall be provided as required by Part 3, Title 24, California Code of Regulations. Flashlights shall be in readiness for use at all times. Open-flame type of light shall not be used.
(e) The licensee shall provide and maintain an emergency electrical system in safe operating condition and in compliance with subsections (d), (e) and (f). The system shall serve all lighting, signals, alarms and equipment required to permit continued operation of all necessary functions of the mental health rehabilitation center for a minimum of six hours.
(f) If the Department determines that an evaluation of the emergency electrical system of a mental health rehabilitation center or portion thereof is necessary, the Department may require the licensee to submit a report by a registered electrical engineer which shall establish a bias for alteration of the system to provide reasonable compliance with Part 3, Title 24, California Code of Regulations. Essential engineering data, including load calculations, assumptions and tests, and, where necessary, plans and specifications, acceptable to the Department, shall be submitted in substantiation of the report. When corrective action is determined to be necessary, the work shall be initiated and completed within an acceptable time limit.
(g) The emergency lighting and power system shall be maintained in operating condition to provide automatic restoration of power for emergency circuits within ten seconds after normal power failure.
(h) Emergency generators shall be tested at least every 14 days under full load condition for a minimum of 30 minutes.
(i) A written record of inspection, performance, exercising period, and repair of the emergency electrical system shall be maintained on the premises and available for inspection by the Department.
NOTE

Authority cited: Sections 5675 and 5768, Welfare and Institutions Code; Section 3 of Chapter 678 of the Statutes of 1994. Reference: Sections 5675 and 5768, Welfare and Institutions Code.
HISTORY

1. Renumbering and amendment of former section 784.52 to new section 787.18 filed 8-21-97; operative 8-21-97 (Register 97, No. 34).
§787.19. Mechanical Systems.
Note     •     History

Heating, air conditioning and ventilating systems shall be maintained in normal operating conditions to provide a comfortable temperature and shall meet the requirements of Part 4, Title 24, California Code of Regulations.
NOTE

Authority cited: Sections 5675 and 5768, Welfare and Institutions Code; Section 3 of Chapter 678 of the Statutes of 1994. Reference: Sections 5675 and 5768, Welfare and Institutions Code.
HISTORY

1. Renumbering of former section 784.54 to new section 787.19 filed 8-21-97; operative 8-21-97 (Register 97, No. 34).
§787.20. Maintenance Manual.
Note     •     History

(a) A written manual on maintenance of heating, air conditioning and ventilation systems shall be adopted by each mental health rehabilitation center.
(b) A log shall be utilized to document maintenance work performed.
(c) When maintenance is performed by an equipment service company, a certification shall be provided to the licensee that the required work has been performed in accordance with acceptable standards. This certification shall be retained on file in the mental health rehabilitation center for review by the Department.
NOTE

Authority cited: Sections 5675 and 5768, Welfare and Institutions Code; Section 3 of Chapter 678 of the Statutes of 1994. Reference: Sections 5675 and 5768, Welfare and Institutions Code.
HISTORY

1. Renumbering and amendment of former section 784.54 to new section 787.20 filed 8-21-97; operative 8-21-97 (Register 97, No. 34).
§787.21. Space.
Note     •     History

Space located in the mental health rehabilitation center or internally connected to a licensed mental health rehabilitation center shall be considered a part of the mental health rehabilitation center and shall be subject to licensing regulations.
NOTE

Authority cited: Sections 5675 and 5768, Welfare and Institutions Code; Section 3 of Chapter 678 of the Statutes of 1994. Reference: Sections 5675 and 5768, Welfare and Institutions Code.
HISTORY

1. Renumbering and amendment of former section 784.55 to new section 787.21 filed 8-21-97; operative 8-21-97 (Register 97, No. 34).
§787.22. Rehabilitation Program--Space.
Note     •     History

(a) The rehabilitation program shall have identified program or service areas in order to provide at least the required program services.
(b) Indoor and outdoor areas shall be designated for rehabilitation program services.
NOTE

Authority cited: Sections 5675 and 5768, Welfare and Institutions Code; Section 3 of Chapter 678 of the Statutes of 1994. Reference: Sections 5675 and 5768, Welfare and Institutions Code.
HISTORY

1. Renumbering and amendment of former section 786.18 to new section 787.22 filed 8-21-97; operative 8-21-97 (Register 97, No. 34).
§787.23. Nursing Service--Space.
Note     •     History

(a) A nursing station shall be maintained in each nursing unit or building.
(b) Each nursing station shall have a cabinet, a desk, space for records, a bulletin board, a telephone and a specifically designated and well illuminated medication storage compartment with a lockable door. If a separate medication room is maintained, it shall have a lockable door and a sink with water connections for care of equipment and for handwashing.
NOTE

Authority cited: Sections 5675 and 5768, Welfare and Institutions Code; Section 3 of Chapter 678 of the Statutes of 1994. Reference: Sections 5675 and 5768, Welfare and Institutions Code.
HISTORY

1. Renumbering and amendment of former section 785.16 to new section 787.23 filed 8-21-97; operative 8-21-97 (Register 97, No. 34).
§787.24. Activity Program--Space.
Note     •     History

(a) Each mental health rehabilitation center shall provide a designated activity area which meets the independent and group activity needs of clients. Such areas shall be of sufficient size to accommodate necessary equipment and permit unobstructed movement of wheelchair and ambulatory clients or personnel responsible for instruction and supervision.
(b) Storage space for equipment and supplies shall be provided and shall be maintained in a clean and orderly manner.
NOTE

Authority cited: Sections 5675 and 5768, Welfare and Institutions Code; Section 3 of Chapter 678 of the Statutes of 1994. Reference: Sections 5675 and 5768, Welfare and Institutions Code.
HISTORY

1. Renumbering and amendment of former section 786.23 to new section 787.24 filed 8-21-97; operative 8-21-97 (Register 97, No. 34).
§787.25. Client Rooms.
Note     •     History

(a) Each client's room shall be labeled with a number, letter or combination of the two for identification.
(b) Clients' rooms shall not be locked except for rooms approved by the Department for seclusion of clients.
(c) Only upon the written approval of the Department shall an exit door, corridor door, yard enclosure or perimeter fences be locked to egress.
NOTE

Authority cited: Sections 5675 and 5768, Welfare and Institutions Code; Section 3 of Chapter 678 of the Statutes of 1994. Reference: Sections 5675 and 5768, Welfare and Institutions Code.
HISTORY

1. Renumbering and amendment of former section 784.40 to new section 787.25 filed 8-21-97; operative 8-21-97 (Register 97, No. 34).
§787.26. Client's Property Storage and Room Furnishings.
Note     •     History

(a) Each client room shall be provided with a closet or locker space for clothing, toilet articles and other personal belongings.
(b) For each licensed bed there shall be provided:
(1) A clean comfortable bed with an adequate mattress, sheets, pillow, pillow case and blankets, all of which shall be in good condition, and consistent with individual client needs.
(2) A night stand, chair, and reading light, all of which shall be in good condition.
NOTE

Authority cited: Sections 5675 and 5768, Welfare and Institutions Code; Section 3 of Chapter 678 of the Statutes of 1994. Reference: Sections 5675 and 5768, Welfare and Institutions Code.
HISTORY

1. Renumbering of former section 784.41 to new section 787.26 filed 8-21-97; operative 8-21-97 (Register 97, No. 34).
§787.27. Client Capacity.
Note     •     History

(a) A mental health rehabilitation center shall not have more clients or beds set up for use than the number for which it is licensed except in case of emergency when temporary permission may be granted by the Director or designee.
(b) Clients shall not be housed in areas which have not been approved by the Department for client housing and which have not been given a fire clearance by the State Fire Marshal except as provided in (a) above.
(c) The number of licensed beds shown on a license shall not exceed the number of beds for which the mental health rehabilitation center meets applicable construction and operational requirements.
NOTE

Authority cited: Sections 5675 and 5768, Welfare and Institutions Code; Section 3 of Chapter 678 of the Statutes of 1994. Reference: Sections 5675 and 5768, Welfare and Institutions Code.
HISTORY

1. Renumbering and amendment of former section 784.39 to new section 787.27 filed 8-21-97; operative 8-21-97 (Register 97, No. 34).
Article 8. Citations and License Revocation
§788.00. Definitions.
Note     •     History

(a) The following definitions shall apply to this article:
(1) Substantial probability means that the likelihood of an event is real, actual and not imaginary, insignificant or remote.
(2) Physical harm means that type of dangerous bodily injury, illness or condition in which:
(A) A part of the body would be permanently removed, rendered functionally useless or substantially reduced in capacity, either temporarily or permanently and/or;
(B) A part of an internal function of the body would be inhibited in its normal performance to such a degree as to temporarily or permanently cause a reduction in physical or mental capacity or shorten life.
(3) Direct relationship means one in which a significant risk or effect is created and does not include a remote or minimal risk or effect.
NOTE

Authority cited: Sections 5675 and 5768, Welfare and Institutions Code; Section 3 of Chapter 678 of the Statutes of 1994. Reference: Sections 5675 and 5768, Welfare and Institutions Code.
HISTORY

1. New article 8 heading (sections 788.00-788.14) and renumbering of former section 787.00  to new section 788.00 filed 8-21-97; operative 8-21-97 (Register 97, No. 34).
§788.10. Filing of Names and Addresses.
Note     •     History

(a) The licensee of each mental health rehabilitation center shall file with the Department the address of the licensee to whom all license citations and revocations shall be mailed by the Department.
(b) Each licensee shall also designate one or more persons who is authorized to accept, on the licensee's behalf, any license citations and revocations to be served by any representative of the Department.
(c) Each licensee shall file with the Department the names or titles of those persons who are such designees of the licensee.
(d) Each licensee shall also file with the Department a written notice of any change in address or of any change of designee. The Department shall mail all license citations and revocations to the latest address on file with the Department.
NOTE

Authority cited: Sections 5675 and 5768, Welfare and Institutions Code; Section 3 of Chapter 678 of the Statutes of 1994. Reference: Sections 5675 and 5768, Welfare and Institutions Code.
HISTORY

1. Renumbering and amendment of former section 787.10 to new section 788.10 filed 8-21-97; operative 8-21-97 (Register 97, No. 34).
§788.11. Issuance of Revocation and License Citations.
Note     •     History

(a) Each citation shall be in writing and shall include at least the following:
(1) The earliest feasible time for the elimination of the condition constituting the noncompliance with regulations of this chapter. Such time shall be the shortest possible time within which the licensee reasonably can be expected to comply with the regulations. In prescribing such time, the Department shall consider the following factors:
(A) The risk of physical harm to clients or staff because of the alleged noncompliance.
(B) The number of clients affected.
(C) The availability of required equipment or personnel.
(D) The estimated time required for delivery, and any installation of required equipment.
(E) Any other relevant circumstances.
(2) The Department shall require a plan describing the corrective measures that the licensee will take to remedy the conditions that caused the issuance of the citation(s).
NOTE

Authority cited: Sections 5675 and 5768, Welfare and Institutions Code; Section 3 of Chapter 678 of the Statutes of 1994. Reference: Sections 5675 and 5768, Welfare and Institutions Code.
HISTORY

1. Renumbering and amendment of former section 787.11 to new section 788.11 filed 8-21-97; operative 8-21-97 (Register 97, No. 34).
§788.12. Conditions of Revocation of License.
Note     •     History

(a) The Department may revoke a license for noncompliance with the provisions of this chapter. In establishing the conditions for imposing revocation, the Department shall consider:
(1) the gravity of the noncompliance which shall include:
(A) The degree of substantial probability that death or physical harm to the client would result and, if applicable, did result from the noncompliance.
(B) The severity of serious physical harm to a client or guest which was likely to result and, if applicable, that did result, from the noncompliance.
(C) The extent of noncompliance with the provisions of the applicable statutes or regulations.
(2) Mitigating circumstances, which shall include awareness of the applicable statutes and regulations and reasonable diligence in complying with such requirements, prior accomplishments manifesting the licensee's desire to comply with such requirements, and any other mitigating factors in favor of the licensee.
(3) Any previous license citations and revocations committed by the licensee.
NOTE

Authority cited: Sections 5675 and 5768, Welfare and Institutions Code; Section 3 of Chapter 678 of the Statutes of 1994. Reference: Sections 5675 and 5768, Welfare and Institutions Code.
HISTORY

1. Renumbering of former section 787.12  to new section 788.12, including amendment of section heading and section, filed 8-21-97; operative 8-21-97 (Register 97, No. 34).
§788.13. Appeal of Revocation.
Note     •     History

The licensee may appeal any license citations or revocations imposed by submitting a written appeal to the Director within 30 calendar days of the issuance of a citation. The Director shall respond to the appeal within 60 calendar days. If an appeal is denied, the licensee may request a citation review conference.
NOTE

Authority cited: Sections 5675 and 5768, Welfare and Institutions Code; Section 3 of Chapter 678 of the Statutes of 1994. Reference: Sections 5675 and 5768, Welfare and Institutions Code.
HISTORY

1. Renumbering and amendment of former section 787.13  to new section 788.13 filed 8-21-97; operative 8-21-97 (Register 97, No. 34).
§788.14. License Revocation and Citation Review Conference.
Note     •     History

(a) At a citation review conference:
(1) The licensee shall have the right to be represented by legal counsel, or a person of the licensee's choosing, to prevent oral or written information on the licensee's behalf, and to explain any mitigating circumstances.
(2) The representatives of the Department who issued the citation should attend the conference and present information, oral or written, in substantiation of the alleged noncompliance.
(3) The conference shall be an informal proceeding, and shall not be conducted in the manner of a judicial hearing or as a hearing under the Administrative Procedure Action (Chapter 5 [commencing with Section 11500] of Part 1 of Division 3 of Title 2 of the Government Code), and need not be conducted according to technical rules relating to evidence and witnesses.
(4) Neither the licensee nor the Department shall have the right to subpoena any witness to attend the conference, to record testimony at the conference, nor to formally cross-examine any person testifying at the conference. However, the licensee and the Department may present any witness on its behalf at the conference.
NOTE

Authority cited: Sections 5675 and 5768, Welfare and Institutions Code; Section 3 of Chapter 678 of the Statutes of 1994. Reference: Sections 5675 and 5768, Welfare and Institutions Code.
HISTORY

1. Renumbering of former section 787.14  to new section 788.14, including amendment of section heading and section, filed 8-21-97; operative 8-21-97 (Register 97, No. 34).
Chapter 4. Community Mental Health Services Under the Lanterman-Petris-Short Act
Article 1. Application
§800. Application of Subchapter.
Note     •     History

Subchapter 4 shall apply to community mental health services as provided for in the Lanterman-Petris-Short Act of part 1 of division 5 of the Welfare and Institutions Code.
NOTE

Authority cited: Section 5400, Welfare and Institutions Code. Reference: Sections 5000 through 5401, Welfare and Institutions Code. Additional authority cited: Section 5750, Welfare and Institutions Code.
HISTORY

1. New subchapter 4 (sections 800, 801, 810-812, 820-822, 830) filed 7-24-68 and designated effective on the 61st day after final adjournment of 1968 Regular Session of the Legislature (Register 68, No. 28).
2. Repealer of subchapter 4 and new subchapter 4 (sections 800, 801, 810-812, 820, 821, 821.1, 822, 823, 830) filed 5-21-69; designated effective 7-1-69 (Register 69, No. 21).
3. Editorial correction of printing error in chapter 4 heading (Register 91, No. 30).
§801. Section Headings. [Repealed]
History

HISTORY

1. Repealer filed 1-13-83; effective thirtieth day thereafter (Register 83, No. 3).
Article 2. Definitions and General Provisions
§810. Act.
Note     •     History

``Act'' means the Lanterman-Petris-Short Act, Division 5, Part 1 (commencing with Section 5000 of the Welfare and Institutions Code).
NOTE

Authority cited: Section 5400, Welfare and Institutions Code. Reference: Section 5000, Welfare and Institutions Code.
HISTORY

1. Editorial correction adding NOTE filed 10-26-82 (Register 82, No. 44).
§811. Department.
Note     •     History

``Department'' means the State Department of Mental Health.
NOTE

Authority cited: Sections 4012 and 5400, Welfare and Institutions Code. Reference: Chapter 1252, Statutes of 1977.
HISTORY

1. Amendment filed 6-29-73 as an emergency; designated effective 6-30-73 (Register 73, No. 26).
2. Certificate of Compliance filed 10-24-73 (Register 73, No. 43).
3. Amendment filed 6-30-78 as an emergency; designated effective at 11:59 p.m. on 6-30-78 (Register 78, No. 26).
4. Certificate of Compliance transmitted to OAH 10-27-78; filed 10-31-78 (Register 78, No. 44).
§812. Shall and May.

As used in this subchapter, ``shall'' is mandatory and ``may'' is permissive.
§813. Mental Disorder. [Repealed]
Note     •     History

NOTE

Authority cited: Section 5400, Welfare and Institutions Code. Reference: Sections 5150, 5200 and 5250, Welfare and Institutions Code.
HISTORY

1. New section filed 6-29-71; effective thirtieth day thereafter (Register 71, No. 27). For history of former Sections 813 and 814, see Register 70, No. 50.
2. Order of Repeal filed 6-3-85 by OAL pursuant to Government Code Section 11349.7; effective thirtieth day thereafter (Register 85, No. 26).
Article 3. Facilities
§820. Designation by Board of Supervisors. [Repealed]
History

HISTORY

1. Order of Repeal filed 6-3-85 by OAL pursuant to Government Code Section 11349.7; effective thirtieth day thereafter (Register 85, No. 26).
§821. Approval of Facilities.
Note     •     History

Any facility designated by the board of supervisors of a county for evaluation and treatment pursuant to Articles 1 and 2 of Chapter 2, Part 1, Division 5 of the Welfare and Institutions Code, is subject to approval of the Department. Such a facility shall be approved by the Department if it meets the requirements of Chapter 3 of this title for inpatient services.
NOTE

Authority cited: Sections 5400 and 5404, Welfare and Institutions Code. Reference: Sections 5150, 5202, 5366.1, 5400 and 5404, Welfare and Institutions Code.
HISTORY

1. Editorial correction adding NOTE filed 10-26-82 (Register 82, No. 44).
2. Change without regulatory effect amending section filed 3-25-2003 pursuant to section 100, title 1, California Code of Regulations (Register 2003, No. 13).
§821.1. Approval of Persons or Agencies for Prepetition Screening.
Note     •     History

Any person or agency designated by the board of supervisors of a county under Section 5202 of the Act to provide prepetition screening is subject to the approval of the Department. Such person or agency shall be approved by the Department only if the person or agency is working under the direction of the Director of Local Mental Health Services or a physician designated by the Director of Local Mental Health Services or social worker as defined in Section 624 or 625 designated by the Director of Local Mental Health Services.
NOTE

Authority cited: Sections 5202 and 5400, Welfare and Institutions Code. Reference: Section 5202, Welfare and Institutions Code.
HISTORY

1. Amendment filed 1-28-76; effective thirtieth day thereafter (Register 76, No. 5).
2. Change without regulatory effect (Register 88, No.3).
§822. Professional Person in Charge of a Facility.
Note     •     History

As used in the Act, ``professional person in charge of a facility'' means a person as defined in Section 623, 624, 625, 626, or 627 of this Chapter who is designated by the governing board of the facility or other agency or person having control of the facility as the professional person clinically in charge of the facility for purposes of the Act. The designation shall be in writing.
NOTE

Authority cited: Sections 5600.5, 5750 and 5751, Welfare and Institutions Code. Reference: Sections 5150, 5152.1, 5154, 5208, 5251, 5254, 5254.1, 5257, 5258, 5264, 5267, 5268, 5275, 5301, 5326, 5328(k), 5328.3, 5328.4, 5328.6, 5328.8, 5352, 5352.3, 5352.5 and 5366.1, Welfare and Institutions Code.
HISTORY

1. Amendment filed 1-28-76; effective thirtieth day thereafter (Register 76, No. 5).
2. Change without regulatory effect correcting internal cites filed 10-27-88 (Register 88, No. 45).
3. Amendment filed 11-28-88; operative 12-28-88 (Register 89, No. 11).
§823. Attending Staff.

``Attending staff'' under section 5150 of the Act means any person having responsibility for the care and treatment of the patient, as designated by the Local Mental Health Director, on the staff of an evaluation facility designated by the county.
§824. Facilities for Inebriates and Alcoholics. [Repealed]
History

HISTORY

1. New section filed 3-16-73 as an emergency; effective upon filing (Register 73, No. 11).
2. Certificate of Compliance filed 7-12-73 (Register 73, No. 28).
3. Repealer filed 4-9-82; effective thirtieth day thereafter (Register 82, No. 15).
§825. Calculation of Evaluation and Treatment Period.
Note     •     History

As of January 1, 1979, all facilities that are designated as 72-hour evaluation and treatment facilities pursuant to Section 5150 of the Welfare and Institutions Code must count Saturdays, Sundays, and holidays as part of the 72-hour period unless exempted by the Department.
NOTE

Authority cited: Section 5151, Welfare and Institutions Code. Reference: Section 5151, Welfare and Institutions Code.
HISTORY

1. New section filed 12-29-78 as an emergency; designated effective 1-1-79 (Register 78, No. 52).
2. Certificate of Compliance filed 5-16-79; transmitted to OAH 4-24-79 (Register 79, No. 20).
§825.1. Exemption Requests.
Note     •     History

Facilities wishing to be exempted from this requirement must apply through the Local Mental Health Director who shall submit a written request to the Department requesting such exemption.
NOTE

Authority cite: Section 5151, Welfare and Institutions Code. Reference: Section 5151, Welfare and Institutions Code.
HISTORY

1. New section filed 12-29-78 as an emergency; designated effective 1-1-79 (Register 78, No. 52).
2. Certificate of Compliance filed 5-16-79; transmitted to OAH 4-24-79 (Register 79, No. 20).
§825.2. Exemption Request Requirements.
Note     •     History

The request shall include the following information:
(a) The identity of the facility for which the exemption is requested;
(b) The reason(s) that evaluation and treatment services cannot be made available on Saturdays, Sundays, and holidays. If the reason relates to staffing, there shall be included a statement explaining normal staffing standards pursuant to Article 10 of Subchapter 3 on days when evaluation and treatment services are provided and why such staffing is not available on Saturdays, Sundays, and holidays.
(c) A description of the efforts the facility has made and will make to provide evaluation and treatment services on Saturdays, Sundays, and holidays.
NOTE

Authority cited: Section 5151, Welfare and Institutions Code. Reference: Section 5151, Welfare and Institutions Code.
HISTORY

1. New section filed 12-29-78 as an emergency; designated effective 1-1-79 (Register 78, No. 52).
2. Certificate of Compliance filed 5-16-79; transmitted to OAH 4-24-79 (Register 79, No. 20).
§825.3. Certification of Exemptions.
Note     •     History

The Department will either certify that the facility cannot reasonably provide evaluation and treatment services on Saturdays, Sundays, and holidays or deny such certification. If granted, the certification shall be effective for two years unless revoked in accordance with Section 825.4.
NOTE

Authority cited: Section 5151, Welfare and Institutions Code. Reference: Section 5151, Welfare and Institutions Code.
HISTORY

1. New section filed 12-29-78 as an emergency; designated effective 1-1-79 (Register 78, No. 52).
2. Certificate of Compliance filed 5-16-79; transmitted to OAH 4-24-79 (Register 79, No. 20).
§825.4. Reapplication for or Revocation of Certification.
Note     •     History

If certification is denied a facility, the Local Mental Health Director may reapply for certification at any time. In addition, prior certifications exempting facilities may be revoked by the Department upon a finding that the facility can reasonably be expected to provide such services and after written notice and opportunity for the facility to respond has been given.
NOTE

Authority cited: Section 5151, Welfare and Institutions Code. Reference: Section 5151, Welfare and Institutions Code.
HISTORY

1. New section filed 12-29-78 as an emergency; designated effective 1-1-79 (Register 78, No. 52).
2. Certificate of Compliance filed 5-16-79; transmitted to OAH 4-24-79 (Register 79, No. 20).
§829. Mental Health Treatment Facility. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 1500 and 1851, Probate Code. References: Sections 1500 and 1851, Probate Code and division 5, part 1, chapter 2 and chapter 3, Welfare and Institutions Code.
HISTORY

1. New section filed 5-31-79; effective July 1, 1979 (Register 79, No. 22).
2. Order of Repeal filed 6-3-85 by OAL pursuant to Government Code Section 11349.7; effective thirtieth day thereafter (Register 85, No. 26).
Article 4. Conservatorship
§830. Conservatorship. [Repealed]
History

HISTORY

1. Order of Repeal filed 6-3-85 by OAL pursuant to Government Code Section 11349.7; effective thirtieth day thereafter (Register 85, No. 26).
Article 5. Patients' Rights: Convulsive Treatment and Psychosurgery
§835. General Provision.
Note     •     History

Any person, without regard to where that person is treated, shall have the right to refuse convulsive treatment, insulin coma treatment, prefrontal sonic treatment, and psychosurgery, except as otherwise provided by statute or regulation. In addition, any administration of these treatments or performance of psychosurgery, wherever administered or performed, shall be performed only by a physician licensed to practice in the State of California, and shall be subject to the regulations contained in this Article.
NOTE

Authority cited: Sections 5325(g), 5326.95 and 5400, Welfare and Institutions Code. Reference: Sections 5325(f), 5325.1(i), 5326.6, 5326.7, 5326.75 and 5326.85, Welfare and Institutions Code.
HISTORY

1. New Article 5 (Sections 840-845) filed 4-30-74; effective thirtieth day thereafter (Register 74, No. 18).
2. Order of Repeal of Article 5 (Sections 840-845) filed 6-3-85 by OAL pursuant to Government Code Section11349.7; effective thirtieth day thereafter (Register 85, No. 26).
3. New Article 5 (Sections 835-849, not consecutive) filed 7-26-85; effective thirtieth day thereafter (Register 85, No. 30).
§836. Types of Treatment: Definitions.
Note

(a) ``Convulsive treatment'' is the planned induction of a seizure through electrical or chemical means for therapeutic purposes. When more than one seizure is induced in a single treatment session, each seizure shall be considered a separate treatment for records-keeping and reporting purposes.
(b) ``Insulin Coma Treatment'' consists of the production of a coma for therapeutic purposes, with or without convulsions, through the intramuscular administration of insulin.
(c) ``Psychosurgery'' is defined as any of those operations currently referred to as lobotomy, psychiatric surgery, and behavioral surgery and all other forms of brain surgery if the surgery is performed for the purpose of any of the following:
(1) Modification, alteration, or control of thoughts, feelings, actions, or behavior rather than the treatment of a known and diagnosed physical disease of the brain;
(2) Modification or alteration of normal brain function, brain tissue or brain cells in order to modify, alter, or control thoughts, feelings, actions, or behavior; or
(3) Treatment of abnormal brain function, brain tissue or brain cells in order to modify, alter, or control thoughts, feelings, actions, or behavior when the abnormality is not an established cause for those thoughts, feelings, actions, or behavior.
Psychosurgery shall not include surgery for relief of pain caused by physical disease elsewhere in the body.
(d) “Prefrontal sonic treatment” is the direct stimulation and/or destruction of brain cells or brain tissue by ultrasound for therapeutic purposes, as discussed in Section 837.
NOTE

Authority cited: Sections 5325(g), 5326.95 and 5400, Welfare and Institutions Code. Reference: Sections 5325, 5326.6, 5326.7, 5326.75, 5326.8 and 5326.85, Welfare and Institutions Code.
§836.1. Voluntary and Involuntary Patients: Definitions.
Note

(a) “Involuntary patients,” for purposes of this Article, include:
(1) Persons involuntarily detained for 72-hour evaluation and treatment under Section 5150 of the Welfare and Institutions Code;
(2) Persons certified for intensive treatment under Section 5250 of the Welfare and Institutions Code;
(3) Persons certified for additional intensive treatment as suicidal under Section 5260 of the Welfare and Institutions Code;
(4) Persons postcertified as a demonstrated danger of substantial physical harm to others under Section 5300 of the Welfare and Institutions Code;
(5) Persons under temporary or permanent conservatorship or guardianship;
(6) Persons who have been judicially committed, as defined under Section 5008.1 of the Welfare and Institutions Code. In the event that this Article conflicts with regulations dealing with the developmentally disabled promulgated under Chapter 1 (commencing with Section 4500) of the Welfare and Institutions Code, the latter statute and regulations shall control.
(b) “Voluntary patients,” for the purposes of this Article, include all other patients not included in subdivision (a) above.
NOTE

Authority cited: Sections 5326.95 and 5400, Welfare and Institutions Code. Reference: Sections 5326.7, 5326.15 and 5326.75, Welfare and Institutions Code.
§836.2. Facility: Definition.
Note

“Facility” includes any health facility, including but not limited to, any health facility as defined in Section 1250 of the Health and Safety Code, in which convulsive treatment, insulin coma treatment, prefrontal sonic treatment or psychosurgery is administered or performed.
NOTE

Authority cited: Sections 5326.95 and 5400, Welfare and Institutions Code. Reference: Sections 5325, 5326.6, 5326.7, 5326.15 and 5326.75, Welfare and Institutions Code.
§837. Procedures for Insulin Coma and Prefrontal Sonic Treatment.
Note     •     History

(a) Unless otherwise indicated, all the requirements set forth in statute or regulation for the administration of convulsive treatment shall be followed when insulin coma treatment is administered, or when prefrontal sonic treatment is administered which involves only direct stimulation of brain cells or brain tissue.
(b) Unless otherwise indicated, all the requirements of statute or regulation described for psychosurgery shall be followed when prefrontal sonic treatment is administered and there exists any possibility there will be destruction of brain cells or brain tissue.
NOTE

Authority cited: Sections 5325(g), 5326.95 and 5400, Welfare and Institutions Code. Reference: Sections 5326.6, 5326.7 and 5326.75, Welfare and Institutions Code.
HISTORY

1. Editorial correction of subsection (a) (Register 95, No. 43).
§838. Quarterly Reports on Convulsive, Insulin Coma, and Prefrontal Sonic Treatment--Application and Requirement.
Note

(a) The reporting requirements of Welfare and Institutions Code Section 5326.15 shall be applicable to all facilities which administer or perform convulsive treatment, insulin coma treatment, or prefrontal sonic treatment involving only direct stimulation of cells or tissue, and to all physicians who provide these treatments outside health facilities.
(b) Quarterly, any such facility which has performed these treatments during the prior quarter, or which considers such treatment methods a part of the facility's program, shall report to the local mental health director. These reports shall be made regardless of whether or not any of these treatment methods were used during the quarter. Likewise, any physician who considers any of these methods a service that he or she provides, and whose use of the above-mentioned treatment methods is not included in any facility's report, must submit a quarterly report to the local mental health director even if such treatments were not administered during that particular quarter.
(c) Quarterly reports shall be made on a form which shall be issued by the Director of the State Department of Mental Health which shall include all necessary instructions and definitions.
NOTE

Authority cited: Sections 5325(g), 5326.95 and 5400, Welfare and Institutions Code. Reference: Sections 5326.1 and 5326.15, Welfare and Institutions Code.
§838.1. Quarterly Reports on Psychosurgery.
Note

Each facility which performs psychosurgery, or prefrontal sonic treatment involving destruction of cells or tissue, or each physician who performs these treatments outside a facility, shall submit to the local mental health director a quarterly report of all such procedures actually performed during the preceding quarter. The report shall contain, in addition to the data listed in Welfare and Institutions Code Section 5326.15, the following information:
(a) Psychiatric diagnosis;
(b) Type of psychosurgery performed;
(c) Date surgery performed;
(d) Complications that arose during or after completing psychosurgery.
NOTE

Authority cited: Sections 5326.95 and 5400, Welfare and Institutions Code. Reference: Section 5326.15, Welfare and Institutions Code.
§838.2. Failure to Submit Quarterly Reports.
Note

A facility, clinic, or physician who fails to submit the reports as provided in Section 838 or 838.1, by the 15th of the month following completion of the quarter, shall be notified by the local mental health director of the legal obligation to submit these reports. Failure to comply within 15 days after such notification shall be reported to the Director of the State Department of Mental Health who may take any or all of the actions specified in Section 5326.9 of the Welfare and Institutions Code.
NOTE

Authority cited: Sections 5325(g), 5326.95 and 5400, Welfare and Institutions Code. Reference: Section 5326.15, Welfare and Institutions Code.
§838.3. Quarterly Reports to State.
Note

The local mental health director shall transmit copies of all quarterly reports received to the Director of the State Department of Mental Health, or to the office designated by the Director, by the last day of the month following the end of the quarter.
NOTE

Authority cited: Sections 5325(g), 5326.95 and 5400, Welfare and Institutions Code. Reference: Sections 5326.1 and 5326.15, Welfare and Institutions Code.
§839. Informed Consent for Electroconvulsive Treatment.
Note     •     History

(a) For purposes of obtaining written informed consent to electroconvulsive treatment, the treating physician shall use the consent form developed by the department. The form entitled “Informed Consent for Electroconvulsive Treatment (ECT) MH 300 (11/90)” is the standard written consent form prescribed in section 5326.3 of the Welfare and Institutions Code.
(b) The oral explanation required by section 5326.4 of the Welfare and Institutions Code regarding the information contained on the consent form shall be in a language or modality understood by the person giving consent.
NOTE

Authority cited: Section 5326.95, Welfare and Institutions Code. Reference: Sections 5325, 5326.2, 5326.3, 5326.4, 5326.5, 5326.6, 5326.7, 5326.75 and 5326.8, Welfare and Institutions.
HISTORY

1. New section filed 4-12-90; operative 5-12-90 (Register 90, No. 15).
2. Change without regulatory effect revising date of form in subsection (a) filed 3-7-91 pursuant to section 100, title 1, California Code of Regulations (Register 91, No. 15).
§840. Capacity to Consent or Refuse Consent to Recommended Treatment or Surgery.
Note

(a) A person shall be deemed to have the capacity to consent or to refuse to consent if it is determined that such person has actually understood and can knowingly and intelligently act upon the information specified in Welfare and Institutions Code Section 5326.2. Understanding of the potential benefits and risks of the proposed treatment or surgery is the primary factor in determining such capacity to consent or to refuse consent.
(b) A person shall not be deemed to lack capacity to consent or refuse consent solely by virtue of any psychiatric or medical diagnosis.
(c) When Section 5326.7(e) of the Welfare and Institutions Code requires that a person's attorney make a determination as to the person's capacity or incapacity to give written informed consent, the attorney shall make an independent judgment of capacity.
NOTE

Authority cited: Sections 5325(g), 5326.95 and 5400, Welfare and Institutions Code. Reference: Sections 5326.5, 5326.7 and 5326.75, Welfare and Institutions Code.
§841. Refusal to Consent to Recommended Treatment or Surgery.
Note

If a patient is deemed by the physician to have the capacity to give informed consent, but refuses to do so, the physician shall indicate in the clinical record that the treatment was refused despite the physician's advice, and that he or she has explained to the patient the patient's responsibility for any untoward consequence of the refusal. However, such explanation shall in no case be made in a manner so as to constitute duress or coercion. Transfer of the patient to another facility, loss of hospital privileges or placement in a more restrictive setting may subsequently be justified for medical or psychiatric reasons, but shall not be a direct consequence of the patient's refusal to consent to the proposed treatment.
NOTE

Authority cited: Sections 5325(g), 5326.95 and 5400, Welfare and Institutions Code. Reference: Sections 5326.5 and 5326.85, Welfare and Institutions Code.
§845. Minors.
Note

(a) Under no circumstances shall psychosurgery or prefrontal sonic treatment be performed on a person under 18 years of age.
(b) The following minors shall be subject to the provisions of Section 5326.7 of the Welfare and Institutions Code: (1) persons aged 16 or 17 who are involuntary patients, or who lack verification of capacity to give written informed consent as required by Section 5326.75 of the Welfare and Institutions Code; and (2) all persons aged 12, 13, 14, or 15.
(c) For persons listed in subdivision (b), except where such persons have been emancipated, the custodial parent or parents, or the individual or agency with legal custody, shall be considered the guardian for purposes of granting or withholding substituted consent.
(d) Persons aged 16 and 17 who are voluntary patients may themselves grant or withhold consent for convulsive treatment to the same extent as adults who are voluntary patients.
NOTE

Authority cited: Sections 5325(g), 5326.95 and 5400, Welfare and Institutions Code. Reference: Sections 5326.6 and 5326.8, Welfare and Institutions Code.
§847. Post-Treatment Review Committees.
Note

(a) Any facility in which convulsive treatment is performed, whether on a voluntary or an involuntary patient, shall designate a qualified committee of three psychiatrists and/or neurologists knowledgeable about the treatment and its effect to verify the appropriateness and need for such treatment. This committee shall review all convulsive treatments given in that facility on a quarterly basis. If treatments are initiated in a facility, and then continued outside that facility, the physician who continues treatments shall report the total number to the facility. Any such treatments shall be reviewed by the facility's review committee.
(b) For convulsive treatments and insulin coma treatments not included under Subdivision (a), the local mental health director shall establish the post-treatment review committee. This committee shall consist of three psychiatrists and/or neurologists, and shall meet on a quarterly basis to verify the appropriateness and need for such treatment. Records submitted to these committees shall have data identifying the patient deleted, except where disclosure is otherwise authorized by Welfare and Institutions Code Sections 5328, et seq.
(c) Refusal by any facility or physician to submit convulsive treatment and insulin coma treatment cases for review shall be reported by the review committees to the Director of the State Department of Mental Health who may take any or all of the actions specified in Section 5326.9 of the Welfare and Institutions Code.
NOTE

Authority cited: Sections 5326.91, 5326.95 and 5400, Welfare and Institutions Code. Reference: Section 5326.91, Welfare and Institutions Code.
§849. Excessive Use of Convulsive Treatment.
Note

(a) Convulsive treatments shall be considered excessive if more than 15 treatments are given to a patient within a 30-day period, or a total or more than 30 treatments are given to a patient within a one-year period.
(b) If, in the judgment of the attending physician, more than the above limits are indicated, prior approval must first be obtained from the review committee of the facility or county, whichever is appropriate. (Sections 847 and 848.) Requests for approval shall include documentation of the diagnosis, the clinical findings leading to the recommendation for the additional treatments, the consideration of other reasonable treatment modalities and the opinion that additional treatments pose less risk than other potentially effective alternatives available for the particular patient at the present time. A maximum number of additional treatments shall be specified. The review committee shall act upon any such request within seven days of its receipt and shall document the maximum number of additional treatments approved. All applicable informed consent procedures shall also be followed.
NOTE

Authority cited: Sections 5326.95 and 5400, Welfare and Institutions Code. Reference: Section 5326.95, Welfare and Institutions Code.
Article 5.5. Voluntary Patients' Right to Refuse Antipsychotic Medications
§850. Refusal of Antipsychotic Medications.
Note     •     History

Every person admitted as a voluntary patient for psychiatric evaluation or treatment in any facility as listed in Section 860 of this subchapter has the right to refuse the administration of antipsychotic medications.
A voluntary patient for purposes of this article does not include: 
(a) voluntary minor patients unless such minor is otherwise authorized by law to seek and consent to treatment for mental illness, nor
(b) conservatees (as defined by Section 5350 et seq. of the Welfare and Institutions Code, i.e., “L-P-S conservatees”) whose conservators have been given the right to require their conservatees to receive treatment related specifically to remedying or preventing the recurrence of the conservatees' being gravely disabled.
NOTE

Authority cited: Sections 5325 and 5326.95, Welfare and Institutions Code. Reference: Sections 5325, 5325.1, 5358, 6000, 6002 and 6004, Welfare and Institutions Code.
HISTORY

1. New Article 5.5 (Sections 850-857) filed 3-6-80; designated effective 6-1-80 (Register 80, No. 10).
2. Editorial correction of NOTE filed 10-26-82 (Register 82, No. 44).
§851. Informed Consent to Antipsychotic Medications.
Note     •     History

A voluntary patient shall be treated with antipsychotic medications only after such person has been informed of his or her right to accept or refuse such medications and has consented to the administration of such medications. In order to make an informed decision, the patient must be provided with sufficient information by the physician prescribing such medications (in the patient's native language, if possible) which shall include the following:
(a) The nature of the patient's mental condition,
(b) The reasons for taking such medication, including the likelihood of improving or not improving without such medication, and that consent, once given, may be withdrawn at any time by stating such intention to any member of the treating staff,
(c) The reasonable alternative treatments available, if any,
(d) The type, range of frequency and amount (including use of PRN orders), method (oral or injection), and duration of taking the medications,
(e) The probable side effects of these drugs known to commonly occur, and any particular side effects likely to occur with the particular patient,
(f) The possible additional side effects which may occur to patients taking such medication beyond three months. The patient shall be advised that such side effects may include persistent involuntary movement of the face or mouth and might at times include similar movement of the hands and feet, and that these symptoms of tardive dyskinesia are potentially irreversible and may appear after medications have been discontinued.
NOTE

Authority cited: Sections 5325 and 5326.95, Welfare and Institutions Code. Reference: Sections 5325 and 5325.1, Welfare and Institutions Code; Cobbs v. Grant (1972) 8 Cal. 3d 229.
HISTORY

1. Editorial correction of NOTE filed 10-26-82 (Register 82, No. 44).
§852. Maintenance of Records.
Note     •     History

For each patient receiving antipsychotic medications, the facility shall maintain a written record of the patient's decision to consent to such medications.
That written record shall be a written consent form signed by the patient indicating that items (a) through (f) of Section 851 have been discussed with the patient by the prescribing physician.
In the event that the patient has been shown but does not wish to sign the written consent form, it shall be sufficient for the physician to place the unsigned form in the patient's records maintained by the facility together with the notation that while the patient understands the nature and effect of antipsychotic medications and consents to the administration of such medications, the patient does not desire to sign a written consent form.
NOTE

Authority cited: Sections 5325 and 5326.95, Welfare and Institutions Code. Reference: Sections 5325 and 5325.1, Welfare and Institutions Code.
HISTORY

1. Editorial correction of NOTE filed 10-26-82 (Register 82, No. 44).
§853. Emergency.
Note     •     History

Nothing in this article is intended to prohibit the physician from taking appropriate action in an emergency. An emergency exists when there is a sudden marked change in the patient's condition so that action is immediately necessary for the preservation of the life or the prevention of serious bodily harm to the patient or others, and it is impracticable to first obtain consent. If antipsychotic medication is administered during an emergency, such medication shall be only that which is required to treat the emergency condition and shall be provided in ways that are least restrictive of the personal liberty of the patient.
NOTE

Authority cited: Sections 5325, 5326 and 5326.95, Welfare and Institutions Code. Reference: Sections 5325 and 5325.1, Welfare and Institutions Code; Cobbs v. Grant (1972) 8 Cal. 3d 229.
HISTORY

1. Editorial correction of NOTE filed 10-26-82 (Register 82, No. 44).
§854. Withdrawal of Consent.
Note     •     History

A voluntary patient may withdraw consent to the administration of antipsychotic medications at any time by stating such intention to any member of the treatment staff.
NOTE

Authority cited: Sections 5325 and 5326.95, Welfare and Institutions Code. Reference: Sections 5325, 5325.1, 6000, 6002 and 6004, Welfare and Institutions Code.
HISTORY

1. Editorial correction of NOTE filed 10-26-82 (Register 82, No. 44).
§855. Consequence of Refusal.
Note     •     History

The refusal to consent to the administration of antipsychotic medications shall not in itself constitute grounds for initiating an involuntary commitment.
NOTE

Authority cited: Sections 5325 and 5326.95, Welfare and Institutions Code. Reference: Sections 5150, 5250, 5325 and 5325.1, Welfare and Institutions Code.
HISTORY

1. Editorial correction of NOTE filed 10-26-82 (Register 82, No. 44).
§856. Definition of Antipsychotic Medication.
Note     •     History

For purposes of this article, ``antipsychotic medication'' means any drug customarily used for the treatment of symptoms of psychoses and other severe mental and emotional disorders.
NOTE

Authority cited: Sections 5325 and 5326.95, Welfare and Institutions Code. Reference: Title 9, California Administrative Code, Sections 850-855.
HISTORY

1. Editorial correction of NOTE filed 10-26-82 (Register 82, No. 44).
§857. Reports of Violations.
Note     •     History

Any alleged or suspected violation of the rights of patients as set out in this article shall be reported to the county patients' rights advocate, or for state hospital patients, to the state hospital patients' rights advocate, who shall report all complaints to the Director of the State Department of Mental Health. The Director shall take appropriate action which, depending on the nature of the complaint, could include:
(a) Referral for disciplinary action to the facility governing body for review and monitoring,
(b) Referral to the Board of Medical Quality Assurance regarding a review of the individual practitioner's license,
(c) Referral for review of the facility license,
(d) Compelling negotiations to ensure compliance with these regulations, withholding part or all of state mental health funds, or taking appropriate court action.
The remedies provided by these regulations shall not preclude any other remedies which the individual patient may have under the law.
NOTE

Authority cited: Sections 5325 and 5326.95, Welfare and Institutions Code. Reference: Sections 5325, 5325.1, 5326.9 and 5655, Welfare and Institutions Code.
HISTORY

1. Editorial correction of NOTE filed 10-26-82 (Register 82, No. 44).
Article 6. Patient Rights: Denial for Good Cause
§860. Application of Article. [Repealed]
Note     •     History

NOTE

Authority cited: Section 5326, Welfare and Institutions Code. Reference: Section 5326, Welfare and Institutions Code.
HISTORY

1. New Article 6 (Sections 860-863, 863.1, 863.2, 864, 865, 865.1-865.5, 866-868) filed 5-4-76; effective thirtieth day thereafter (Register 76, No. 19).
2. Order of Repeal filed 6-3-85 by OAL pursuant to Government Code Section 11349.7; effective thirtieth day thereafter (Register 85, No. 26).
§861. List of Rights. [Repealed]
History

HISTORY

1. Order of Repeal filed 6-3-85 by OAL pursuant to Government Code Section 11349.7; effective thirtieth day thereafter (Register 85, No. 26).
§862. Notification of Rights.

(a) A list of the rights set forth in Section 5325 of the Welfare and Institutions Code and in Section 861, as well as the complaint procedure, prescribed in Section 864, shall remain posted, in English and Spanish, in all wards and common living areas of facilities specified in Section 860.
(b) Each person admitted to a facility specified in Section 860 shall be personally notified of his rights in writing, in language he can understand, or shall have his rights brought to his attention by other means if he is unable to read or understand the information provided him.
(c) A notation to the effect that notification, or an attempt to provide notification, has occurred, shall be entered in the patient's/resident's record within 24 hours of admission.
§863. Definitions.

(a) The ``Patients' Rights Specialist'' means the person in the Headquarters Office of the Department of Health delegated the responsibility for ensuring that mentally and developmentally disabled persons in facilities providing mental health services or residential care are afforded their statutory and constitutional rights.
(b) The ``Patients' Advocate'' means the person in a local mental health program delegated the responsibility for ensuring that mentally disabled persons in facilities specified in Section 860 are afforded their statutory and constitutional rights.
(c) The ``Residents' Advocate'' means the person in a regional center program delegated the responsibility for ensuring that developmentally disabled residents in facilities specified in Section 860 are afforded their statutory and constitutional rights.
§863.1. Assignment of Patients'/Residents' Advocate.

(a) Each county mental health director shall assign a Patients' Advocate to handle complaints of mentally disabled patients and residents regarding the abuse, unreasonable denial, or punitive withholding of a right guaranteed under Section 861 of this article. Each regional center director shall assign a Residents' Advocate to handle similar complaints from developmentally disabled residents. If the person assigned to handle complaints is a member of the staff of a particular facility, he shall not be involved in the direct supervision of patients or residents of that facility.
(b) The appointment of a Patients'/Residents' Advocate in a state hospital, as well as the complaint procedure to be observed there, shall be in accordance with Department of Health directives on the patients' rights program for state hospitals.
§863.2. Duties of Patients'/Residents' Advocate.

(a) The Patients'/Residents' Advocate shall:
(1) Ensure that the rights listed in Section 5325 of the Welfare and Institutions Code and in Section 861 remain posted in all facilities where posting is required pursuant to Section 860.
(2) Ensure that all incoming patients/residents are notified of these rights.
(3) Assist in training staff of facilities specified in Section 860 regarding patients'/residents' rights.
(4) Investigate complaints of patients/residents or their responsible relatives, and, if necessary, act as advocate for patients/residents.
(5) Act as advocate in behalf of patients/residents who are unable to register a complaint because of their mental or physical condition.
(6) Act as local consultant in the area of patients'/residents' rights.
(7) Act as liaison to the Patient Rights Specialist, Department of Health.
§864. Complaint Procedure.
Note     •     History

(a) The list of rights that shall be posted, provided, or explained to the patient/resident pursuant to Section 862 shall contain:
(1) Notification that any patient/resident who believes a right of his/hers has been abused, punitively withheld, or unreasonably denied may file a complaint with the Patients'/Residents' Advocate.
(2) The name of the Patients'/Residents' Advocate who has been assigned to handle such complaints, his telephone number, and the times during which he may be contacted.
(b) When a complaint is received by the Patients'/Residents' Advocate he shall, within two working days, take action to investigate and resolve it.
(c) If the complainant expresses dissatisfaction with the action taken, the matter shall be referred, within five working days, to the local mental health director if the complaint originated in the mental disabilities program or to the regional center director if the complaint originated in the developmental disabilities program. 
(d) If the complaint cannot be satisfactorily resolved by the local mental health director or by the regional center director within ten working days, it shall be referred to the Patients' Rights Specialist, Department of Health, whose responsibility it shall be to make a decision in the case. Appeal from the decision of the Patients' Rights Specialist may be made to the Director of State Department of Health, or his designee.
(e) This section shall not apply to state mental health hospitals. The complaint procedures for Lanterman-Petris-Short individual patients in state mental health hospitals shall be the same as those that apply to Non-LPS patients as set forth in Title 9, California Code of Regulations Section 885.
NOTE

Authority cited: Sections 4005.1, 4027 and 4101, Welfare and Institutions Code. Reference: Section 4027, Welfare and Institutions Code.
HISTORY

1. New subsection (e) and Note filed 8-9-2010; operative 8-9-2010 pursuant to Government Code section 11343.4 (Register 2010, No. 33).
§865. Authority for Denial of Rights.
History

(a) (Reserved)
(b) ``Professional person in charge of the facility'' is defined in Section 822 of this subchapter, Title 9, California Administrative Code; in community care facilities it is the administrator of the facility. Prior to denying the rights, as listed in Section 861, of a resident for good cause, the administrator of a community care facility shall first obtain concurrence from the resident's physician or social worker that good cause for denial exists.
(c) Notwithstanding the provisions of this article, good cause denial of that right listed under subdivision (f) of Section 5325 shall be in accordance with the provisions set forth in Article 7 (commencing with Section 5325) of Chapter 2 of Part 1 of Division 5 of the Welfare and Institutions Code, as interpreted by court decision.
(d) Any person who has the lawful right on his own choice to discharge himself from a facility shall be informed of said right at the time of admission to the facility. If the person elects to discharge himself from the facility rather than voluntarily accepting any denial of his rights, such election shall be documented in his treatment record, and the person shall be permitted to leave the facility.
HISTORY

1. Order of Repeal of subsection (a) filed 6-3-85 by OAL pursuant to Government Code Section 11349.7; effective thirtieth day thereafter (Register 85, No. 26).
§865.1. Denial of Rights in Community Care Facilities.

(a) A right listed in Section 861 of this article may be denied a resident of a licensed community care facility only upon the failure of all other means taken to resolve the behavior necessitating denial.
(b) Agreements and negotiations between the resident, administrator, and social worker shall be the primary means of resolving problems regarding the rights of the resident.
(c) If the community care facility, after compliance with subsections (a) and (b) of this section, wishes to deny one or more Section 861(a) through (e) rights, the procedure of Section 865 must be followed.
§865.2. Good Cause for Denial of Rights.

(a) Rights listed in Section 861, except for that right listed in subdivision (g), may be denied only for good cause, and the rights under subdivision (f) may be denied only under the conditions specified in Article 7 (commencing with Section 5325) of Chapter 2 of Part 1 of Division 5 of the Welfare and Institutions Code. Good cause for denying a patient/resident the exercise of a right exists when the professional person in charge of a facility or his designee has good reason to believe:
(1) That the exercise of the specific right would be injurious to the patient/resident; or
(2) That there is evidence that the specific right, if exercised would seriously infringe on the rights of others; or
(3) That the institution or facility would suffer serious damage if the specific right is not denied; and
(4) That there is no less restrictive way of protecting the interests specified in (1), (2), or (3).
(b) The reason used to justify the denial of a right to a patient/resident must be related to the specific right denied. A right shall not be withheld or denied as a punitive measure, nor shall a right be considered a privilege to be earned.
(c) Treatment modalities shall not include denial of any right specified in Section 861 of this article. Waivers signed by the patient/resident or by the responsible relative/guardian/conservator shall not be used as a basis for denying Section 861 rights in any treatment modality.
§865.3. Documentation of Denial of Rights.

(a) Each denial of a patient's/resident's right shall be noted in his treatment record. Documentation shall take place immediately whenever a right has been denied. The notation shall include:
(1) Date and time the right was denied.
(2) Specific right denied.
(3) Good cause for denial of right.
(4) Date of review if denial was extended beyond 30 days.
(5) Signature of the professional person in charge of the facility or his designee authorizing denial of right.
(b) The patient/resident shall be told of the content of the notation.
(c) Each denial of a right shall be documented regardless of the gravity of the reason for the denial or the frequency with which a specific right is denied in a partiular facility or to a particular individual.
§865.4. Seclusion and Restraints.

(a) Seclusion is the involuntary isolation of a patient in a locked room. Seclusion and/or restraints shall never be used as punishment or as a substitute for a less restrictive alternative form of treatment.
(b) Each instance of seclusion and/or restraints shall be noted in the patient's record in accordance with Section 865.3.
(c) Documentation of the Section 861 rights actually denied a person in seclusion or restraints shall be entered in the patient's record.
(d) In addition to the foregoing, all of the provisions contained in Sections 70577(j) (General Acute Care Hospitals), 71545 (Acute Psychiatric Hospitals), 72407, 72409, 72411, 72413 (SNF), 73403, 73405, 73407, 73409 (ICF) of Title 22 of the California Administrative Code shall prevail as applicable rules for the respective health care facilities.
(e) The authority for the use of seclusion and/or restraints on any resident of a community care facility shall be in accordance with provisions of Title 22, California Administrative Code, Section 80403(f).
§865.5. Restoration of Rights.

A right shall not continue to be denied a patient/resident when the good cause for its denial no longer exists. When a right has been denied, staff shall employ the least restrictive means of managing the behavior problem which led to the denial. The date a specific right is restored shall be documented in the patient's/resident's treatment record.
§866. Quarterly Reports to the Director of Health.

(a) Each local mental health director shall, by the last day of January, April, July, and October, report on the appropriate form to the Patients' Rights Specialist, Department of Health, the number of persons, by facility, whose rights were denied and the specific right or rights denied. Denials of rights in the following types of local facilities must be reported to the local mental health director for inclusion in each quarterly report:
(1) Facilities that treat persons involuntarily detained under the Lanterman-Petris-Short Act;
(2) Local mental health facilities operated directly by or under contract with local mental health services or designated in the county plan to provide such services;
(3) Private mental institutions;
(4) Psychiatric units of general acute care hospitals, acute psychiatric hospitals, and skilled nursing facilities.
(b) The content of the quarterly reports shall enable the State Director of Health and the Patients' Rights Specialist to identify individual treatment records, if necessary, for further analysis and investigation.
(c) Each facility shall note in its report to the local mental health directors that the treatment record of a person denied a specific right is identifiable and can be located for purposes of analysis and investigation by the Department.
(d) State hospitals shall submit quarterly reports on denials of rights directly to the Patients' Rights Specialist, Department of Health, in accordance with Department directive on the patients' rights program in state hospitals, as revised 1975.
§867. Access to Denial of Rights Information.

Information in a patient's/resident's treatment record pertaining to a denial of a right shall be available on request to the patient/resident, his attorney/conservator/guardian, the Department of Health, a member of the State Legislature, or a member of a county board of supervisors.
§868. Annual Review.

(a) The Patients' Rights Specialist shall, with the assistance of the Patients'/Residents' Advocate, conduct an annual review of the patients' rights program in each local mental health program and regional center.
(b) The Patients' Rights Specialist shall submit a report of the annual review to the local mental health director or the regional center director, as appropriate, with a copy to the Mental Disabilities Services Branch Chief, or the Developmental Disabilities Branch Chief, as appropriate.
Chapter 4.5. Patients' Rights and Related Procedures for Non-Lanterman-Petris- Short Act Patients in Department of Mental Health Facilities
Article 1. General Provisions
§880. Application of Chapter.
Note     •     History

Chapter 4.5 applies to patients' rights and related procedures for all non-Lanterman-Petris-Short Act (LPS) patients placed in or committed to a treatment program in a Department of Mental Health facility, except when transferred to or placed in a federally certified program. 
NOTE

Authority cited: Sections 4005.1 and 4027, Welfare and Institutions Code. Reference: Section 4027, Welfare and Institutions Code. 
HISTORY

1. New chapter 4.5 (articles 1-3, sections 880-892), article 1 (sections 880-881) and section filed 6-4-2003; operative 7-4-2003 (Register 2003, No. 23).
§881. Definitions, Abbreviations and Program Terms.
Note     •     History

(a) “Abuse” means physical abuse, neglect, financial abuse, abandonment, isolation, abduction, or other treatment with resulting physical harm or pain or mental suffering. The deprivation by a care custodian of goods or services that are necessary to avoid physical harm or mental suffering. 
(b) “Administrative isolation” means the temporary separation of a patient from other patients and the normal living environment for the purpose of protecting possible evidence or maintaining safety and security during a criminal investigation. 
(c) “Confidential mail” means letters or documents sent to or received from attorneys, courts or government officials through the mail. 
(d) “Confidential telephone calls” means telephone calls that are not monitored or recorded by hospital staff.  
(e) “Contraband” means materials, articles, or goods that patients are prohibited from having in their possession because such materials, articles or goods present a risk to safety and security in the facility. 
(f) “Department “ means the State Department of Mental Health. 
(g) “Facility” means a state hospital or other locked inpatient facility operated by the Department, either directly or by contract, for the care and treatment of non-LPS patients. 
(h) “Facility director” means the Executive Director or designee in overall charge of the facility. 
(i) “Facility monetary replacement system” means the alternate methods used to allow patients to purchase personal items within the facility without using United States currency. 
(j) “Interdisciplinary team” means the group of persons from each of the disciplines or service areas that works directly with the patient. 
(k) “Medical care” means procedures determined to be medically necessary, and that are not merely cosmetic in nature. 
(l) “Medical isolation” means the confinement of a patient alone in a room for the purpose of preventing the spread of infectious or contagious diseases that may be a public health concern. 
(m) “Mental disorder” means a diagnosed mental disorder listed in the American Psychiatric Association: Diagnostic and Statistical Manual of Mental Disorders, Fourth Edition, Text Revision, DSM-IV-TR, 2000. 
(n) “Neglect” means the negligent failure of any person having the care or custody of an elder or a dependent adult to exercise that degree of care that a reasonable person in a like position would exercise. 
(o) “Non-LPS” means that the placement in or commitment to the facility is pursuant to legal authority other than the Lanterman-Petris-Short (LPS) Act, commencing with Section 5000, of Part 1, Division 5 of the Welfare and Institutions Code). 
(p) “Office of Patients' Rights” means the contractor designated in accordance with Section 5510 of the Welfare and Institutions Code. The contractor is delegated the responsibility for providing direct advocacy and investigative services in the state hospitals and technical assistance, training and advice regarding patients' rights to advocates, mental health programs and/or patients. 
(q) “Package” means a wrapped or boxed object, a parcel, or a container in which something is packed for storage, mailing, or transporting. 
(r) “Patient” means a person placed in or committed to a facility under authority of law for care and treatment. 
(s) “Patients' Rights Advocate” means the person in the facility delegated the responsibility for reviewing and attempting to resolve patients' rights complaints and for ensuring that patients' rights of mentally disordered persons in the facility are observed and protected. This individual shall have no direct or indirect clinical or administrative responsibility for the person receiving mental health services. 
(t) “Physical restraint” means the direct application of physical force and/or approved restraining devices and methods to an individual, to restrict and/or limit freedom of movement. 
(u) “Privacy” means being free from observation by individuals of the opposite sex during medical examinations, personal care, bathing and restroom use, except during emergencies and necessary supervision by staff. 
(v) “Protective isolation” means the separation of a patient from other patients and the normal living environment to protect that individual from harm by others. 
(w) “Safety” means protection of persons and property from potential danger, risk, injury, harm or damage. 
(x) “Security” means the measures necessary to achieve the management and accountability of patients of the facility, staff, and visitors, as well as property of the facility. 
(y) “Seclusion” means the involuntary confinement of a person in a locked room or any area where the person is physically prevented from leaving. 
(z) “Treatment” means clinical intervention and action that is devised and implemented based on comprehensive assessment of the patient by the interdisciplinary team and that is designed to improve or stabilize a diagnosed mental and/or physical condition. 
(aa) “Treatment Plan” means the method developed by the interdisciplinary team to implement treatment for the patient on an ongoing basis. The treatment plan is documented in writing in the patient's medical record, includes specific goals and objectives, identifies a continuum of care, and is reviewed and modified at frequent intervals by the interdisciplinary team. 
NOTE

Authority cited: Sections 4005.1 and 4027, Welfare and Institutions Code. Reference: Sections 4005.1 and 4027, Welfare and Institutions Code. 
HISTORY

1. New section filed 6-4-2003; operative 7-4-2003 (Register 2003, No. 23).
Article 2. Non-LPS Patients' Rights
§882. Notification of Rights.
Note     •     History

(a) Upon admission to the facility, each non-LPS patient shall be informed of the rights specified in Sections 883 and 884 and given a copy of their rights in the language or modality understood by the patient. 
(b) These patients' rights shall also be prominently posted in the predominant languages of the patients in patients' living areas. 
NOTE

Authority cited: Sections 4005.1 and 4027, Welfare and Institutions Code. Reference: Sections 4027 and 5600.2(a), Welfare and Institutions Code. 
HISTORY

1. New article 2 (sections 882-886) and section filed 6-4-2003; operative 7-4-2003 (Register 2003, No. 23).
§883. Non-LPS Patients' Rights -- Non-Deniable.
Note     •     History

(a) The patient's parent, guardian, or conservator may not waive the rights listed in this Section unless authority to waive these rights is specifically granted by court order. 
(b) Non-LPS Patients have the following rights: 
(1) A right to privacy, dignity, respect and humane care. 
(2) A right to receive treatment for a diagnosed mental disorder that is provided in a method least restrictive of individual liberty and promotes personal independence. 
(3) A right to medical care and treatment for physical ailments and conditions according to accepted clinical standards and practices. 
(4) A right to refuse psychosurgery, electroconvulsive therapy, experimental and other hazardous procedures. 
(5) A right to be free from harm including abuse or neglect, and unnecessary or excessive medication, restraint, seclusion, or protective or administrative isolation. Medication, restraint, seclusion, or protective or administrative isolation shall not be used as punishment, as retaliation for filing complaints, for the convenience of staff, as a substitute for a treatment program or in quantities that interfere with the patient's treatment. 
(6) A right to confidential case discussions, consultation, examination, and patient records. Confidential information shall only be provided to those people providing evaluation and/or treatment or as authorized by law. 
(7) A right to be informed of the procedures for filing complaints and the process for appeals when complaints are not resolved to the patient's satisfaction. 
(8) A right to access the services of a Patients' Rights Advocate. 
(9) A right to confidential communications with an attorney, either through correspondence or through private consultation, during regularly scheduled visiting days and hours. 
(10) A right to religious freedom and practice, within the context of the environment of a secure treatment facility. 
(11) A right to opportunities for physical exercise and recreational activities. 
NOTE

Authority cited: Sections 4005.1 and 4027, Welfare and Institutions Code. Reference: Section 4027, Welfare and Institutions Code. 
HISTORY

1. New section filed 6-4-2003; operative 7-4-2003 (Register 2003, No. 23).
§884. Patients' Rights Subject to Denial for Good Cause.
Note     •     History

(a) The patient's parent, guardian, or conservator may not waive the rights listed in this Section unless authority to waive these rights is specifically granted by court order. These rights shall only be denied for good cause in accordance with Subsection (b) of this Section. 
(b) Non-LPS Patients have the following rights, subject to denial for good cause: 
(1) A right to keep and use personal possessions as space permits, except items and materials that are listed as contraband by the facility. Each facility shall make a copy of the contraband listing available on all treatment units and public areas within the facility. Each patient shall receive a copy of the contraband listing upon admission. 
(2) A right to have access to individual secured storage space for personal possessions in accordance with the formal policies and procedures of the facility. Title 19, Section 314 and Title 22, Sections 71543 and 73507 require hospitals and licensees to comply with State Fire Marshall regulations. 
(3) A right to keep and spend a sum of the patient's own money via the facility monetary replacement system. 
(4) A right to personal visits during regularly scheduled visiting days and hours. The right to have visits shall not be denied except as is necessary for reasonable security of the facility and the safety of persons. The length and frequency of visits and the number of persons permitted to visit a patient at the same time may be limited consistent with safety, security, and to ensure that all patients have a fair opportunity to have visitors. 
(5) A right to access telephones to make and receive confidential telephone calls, or to have such calls made for them. Telephone hours, frequency and duration of telephone calls, and method of payment may be limited to ensure access by all patients. 
(6) A right to have access to letter writing materials and to mail and receive correspondence. Designated facility employees shall open and inspect all incoming and outgoing mail addressed to and from patients for contraband. Confidential mail, as defined in Section 881(c), shall not be read. Limitations on size, weight and volume of mail shall be specified by formal facility policy. 
(7) A right to receive packages. Designated facility employees shall open and inspect all incoming and outgoing packages addressed to and from patients for contraband. Limitations on the size, weight and volume, and frequency/number of packages allowed shall be specified by formal facility policy. 
(8) A right to have access to legal reference material. Limitations on the time, duration, frequency, and method of access shall be specified by formal facility policy to ensure opportunity for access by all patients. 
(9) A right to participate in appropriate programs of publicly supported education that are consistent with the patient's treatment plan and with the secure treatment facility environment. 
(10) A right to social interaction. The formation of supervised patient leisure time activity groups that promote educational, social, cultural and recreational interests of participating patients shall be permitted, except for activities that pose a threat to safety and security. 
(c) The rights specified in Subsection (b) of this Section shall be denied only for good cause. Good cause for denying a patient the exercise of a right exists when the facility director determines that: 
(1) The exercise of the specific right would be injurious to the patient; or 
(2) There is evidence that the specific right, if exercised, would seriously infringe on the rights of others; or 
(3) The facility would suffer serious damage if the specific right is not denied, or; 
(4) The exercise of the right would compromise the safety and security of the facility and/or the safety of others; and 
(5) That there is no less restrictive way of protecting the interests specified in Subsections (c)(1) through (4) of this Section. 
(d) The reason for denial of a right under this Section must be related to the specific right denied. A right specified in this Section shall not be withheld or denied as a punitive measure, nor shall a right specified in this Section be considered a privilege to be earned. A denial of a right shall not exceed thirty days without additional staff review. Treatment plans shall not include denial of any right specified in Subsection (b) of this Section. 
(e) Each denial of a right specified in this Section shall be noted in the patient's treatment record. Documentation shall take place immediately whenever a right is denied. The notation shall include: 
(1) Date and time the right was denied. 
(2) Specific right denied. 
(3) Good cause for denial of right. 
(4) Date of review if denial was extended beyond 30 days. 
(5) The facility director's signature authorizing the denial. 
(f) The patient shall be told of the content of the notation and the process for restoration at the time of the denial. 
(g) Each denial of a right specified in this Section shall be documented regardless of the reason for the denial, or the frequency with which a specific right is denied in a particular facility, or to a particular patient. 
(h) A patient's right under this Section shall be restored when the good cause for its denial no longer exists. When a right has been denied, staff shall employ the least restrictive means of managing the behavior that led to the denial. The date that a specific right is restored shall be documented in the patient's treatment record. 
(i) Information in the patients' treatment record pertaining to a denial of rights shall be available on request to the patient, their attorney/conservator/guardian, the Department, or excluding the patient identity, a member of the State Legislature. 
NOTE

Authority cited: Sections 4005.1 and 4027, Welfare and Institutions Code. Reference: Section 4027, Welfare and Institution Code. 
HISTORY

1. New section filed 6-4-2003; operative 7-4-2003 (Register 2003, No. 23).
§885. Complaint and Appeal Procedure.
Note     •     History

Non-LPS patients shall be informed of and provided with a written procedure for filing complaints or appeals alleging violations of any right(s) contained in Sections 883 and 884. The written procedure shall contain the following information: 
(a) Notification that any patient who believes a patients' right listed in this Article has been abused, punitively withheld, or unreasonably denied may file a complaint with the Patients' Rights Advocate. 
(b) The contact name of the Patients' Rights Advocate assigned to address patients' rights complaints, their telephone number and contact times. 
(c) A statement that the Patients' Rights Advocate shall take action to investigate and address patients' rights complaints within two working days. 
(d) A statement that if the complainant is not satisfied with the response and/or action taken pursuant to Subsection (c) of this Section, the complainant may, within ten working days, request that the complaint be referred to the facility director for review and response. 
(e) A statement that the facility director shall take action to review the patients' rights complaint and issue a response within fifteen working days. 
(f) A statement that if the complainant is not satisfied with the response of the facility director, the complainant may, within thirty working days, request that the complaint be referred to the Office of Patients' Rights for review and response. 
(g) A statement that if the complainant is not satisfied with the response of the Office of Patients Rights, the complainant may request, within thirty working days, that the complaint be referred to the Director of the Department. 
NOTE

Authority cited: Sections 4005.1 and 4027, Welfare and Institutions Code. Reference: Section 4027, Welfare and Institutions Code. 
HISTORY

1. New section filed 6-4-2003; operative 7-4-2003 (Register 2003, No. 23).
§886. Quarterly Reports to the Office of Patients' Rights.
Note     •     History

(a) Each facility director shall file quarterly reports with the Office of Patients' Rights, by the last day of January, April, July, and October. These reports shall list the number of patients whose right or rights were denied and the specific right or rights that were denied. 
(b) The quarterly reports shall enable the Director of the Department and the Office of Patients' Rights to identify individual treatment records, if necessary, for further analysis and investigation. 
NOTE

Authority cited: Sections 4005.1 and 4027, Welfare and Institutions Code. Reference: Section 4027, Welfare and Institutions Code. 
HISTORY

1. New section filed 6-4-2003; operative 7-4-2003 (Register 2003, No. 23).
Article 3. General Limitations Applicable to Non-LPS Patients.
§890. Clothing.
Note     •     History

The facility director shall specify the types of clothing that are authorized to be worn by non-LPS patients in the facility. 
NOTE

Authority cited: Sections 4005.1 and 4027, Welfare and Institutions Code. Reference: Sections 4027 and 7232, Welfare and Institutions Code. 
HISTORY

1. New article 3 (sections 890-892) and section filed 6-4-2003; operative 7-4-2003 (Register 2003, No. 23).
§891. Internet Usage.
Note     •     History

Non-LPS patients shall not have access to the Internet. 
NOTE

Authority cited: Sections 4005.1 and 4027, Welfare and Institutions Code. Reference: Sections 4005.1 and 4027, Welfare and Institutions Code. 
HISTORY

1. New section filed 6-4-2003; operative 7-4-2003 (Register 2003, No. 23).
§892. Operating Businesses from Within the Facility.
Note     •     History

Non-LPS patients shall not operate a business from within the facility. If there is any business activity of a patient or disposition of property owned by a patient that needs to be attended to or to be administered, the patient shall designate a person outside the facility to be responsible for doing so. If necessary, the patient shall execute a power of attorney or other legally authorizing instrument that allows the patient's designee the legal authority to take care of the patient's business or property while the patient is in the facility. 
NOTE

Authority cited: Sections 4005.1 and 4027, Welfare and Institutions Code. Reference: Sections 4005.1 and 4027, Welfare and Institutions Code.
HISTORY

1. New section filed 6-4-2003; operative 7-4-2003 (Register 2003, No. 23).
Chapter 5. Conduct of Research and Patient Data Information Requirements in Facilities Providing Service Under Divisions 5, 6, or 7 of the Welfare and Institutions Code
Article 1. Application
§900. Application of Chapter.
Note     •     History

Chapter 5 shall apply to mental health services as provided for in Division 5 (commencing with Section 5000), Division 6 (commencing with Section 6000), and Division 7 (commencing with Section 7000) of the Welfare and Institutions Code, to either voluntary or involuntary patients.
NOTE

Authority cited for Subchapter 5: Sections 4101, 5750, 7003, 7201, Welfare and Institutions Code. Reference: Section 5328(e), Welfare and Institutions Code.
HISTORY

1. New Subchapter 5 (Sections 900, 901, 910-912, 920-923) filed 9-2-69 as an emergency; effective upon filing (Register 69, No. 36).
2. Amendment filed 11-17-69 as an emergency; effective upon filing (Register 69, No. 47).
3. Certificate of Compliance covering 9-2-69 and 11-17-69 filings, filed 12-31-69 (Register 70, No. 1).
§901. Section Headings. [Repealed]
History

HISTORY

1. Order of Repeal filed 6-3-85 by OAL pursuant to Government Code Section 11349.7; effective thirtieth day thereafter (Register 85, No. 26).
Article 2. Definitions and General Provisions
§910. Department.
Note     •     History

``Department'' means the State Department of Mental Health.
NOTE

Authority cited: Sections 4012 and 5400, Welfare and Institutions Code. Chapter 1252, Statutes of 1977.
HISTORY

1. Amendment filed 6-29-73 as an emergency; designated effective 6-30-73 (Register 73, No. 26).
2. Certificate of Compliance filed 10-24-73 (Register 73, No. 43). 
3. Amendment filed 6-30-78 as an emergency; designated effective at 11:59 p.m.  on 6-30-78 (Register 78, No. 26).
4. Certificate of Compliance transmitted to OAH 10-27-78; filed 10-31-78 (Register 78, No. 44).
§911. Shall and May.

As used in this subchapter, ``shall'' is mandatory and ``may'' is permissive.
§912. Facilities.
History

As used in this subchapter ``facilities'' include every State Hospital, Neuropsychiatric Institute, Local Mental Health Service, private or public establishment and institution providing services under Divisions 5, 6 or 7 of the Welfare and Institutions Code.
HISTORY

1. Amendment filed 11-17-69 as an emergency; effective upon filing (Register 69, No. 47).
2. Certificate of Compliance filed 12-31-69 (Register 70, No. 1).
Article 3. Research [Repealed]
HISTORY

1. Amendment filed 11-17-69 as an emergency; effective upon filing (Register 69, No. 47).
2. Certificate of Compliance filed 12-31-69 (Register 70, No. 1).
3. Order of Repeal of Article 3 (Sections 920-923) filed 6-3-85 by OAL pursuant to Government Code Section 11349.7; effective thirtieth day thereafter (Register 85, No. 26).
Article 4. Patient Data Information [Repealed]
NOTE

Authority cited for Article 4: Sections 4011, 5750, 6002, 7003 and 7201, Welfare and Institutions Code.
HISTORY

1. New Article 4 (Sections 940, 941, 942 and 943) filed 10-1-71; effective thirtieth day thereafter (Register 71, No. 40).
2. Order of Repeal of Article 4 (Sections 940-943) filed 6-3-85 by OAL pursuant to Government Code Section 11349.7; effective thirtieth day thereafter (Register 85, No. 26).
Chapter 6. Joint Regulations for Handicapped Children--Interagency Responsibilities for Providing Services to Handicapped Children
§1000. Joint Regulations for Handicapped Children
Note     •     History

CROSS-REFERENCE: See Title 2, Division 9, Articles 1-9, Sections 60000-60610, not consecutive.
HISTORY

1. New Subchapter 6 (Section 1000) printed as Cross-Reference only (Register 86, No. 21). For history of former Subchapter 6, see Register 83, No. 36.
Chapter 7. Acute and Nonacute Levels of 24-Hour Mental Health Care Provided by County Mental Health Agencies in Correctional Treatment Centers
§1101. Application of Chapter.
Note     •     History

This Chapter shall apply to acute and nonacute levels of 24- hour mental health care provided by county mental health agencies in correctional treatment centers in local detention facilities.
NOTE

Authority cited: Sections 1250.1(a)(12) and 1267.10(a). Health and Safety Code. Reference: Sections 1250(i) and 1254, Health and Safety Code.
HISTORY

1. New chapter 3.5 and section filed 7-14-94; operative 1-2-96 (Register 94, No. 28).
2. Change without regulatory effect renumbering and amending former chapter 3.5 (sections 781 through 795) to new chapter 7 (sections 1101 through 1115, respectively) and former section 781 to new section 1101 filed 8-31-95 pursuant to section 100, title 1, California Code of Regulations (Register 95, No. 34). For prior history of chapter 7, see Register 81, No. 49.
§1102. Definitions.
Note     •     History

The following definitions contained in Article 1 (commencing with Section 79501) of Chapter 12 of Division 5 of Title 22 as adopted by the Department of Health Services shall apply to terms used in this chapter; Sections 79509; 79511; 79513; 79516; 79531; 79535; 79537; 79539; 79541; 79543; 79547; 79551; 79559; 79561; 79564; 79565; 79567; 79569; 79571; 79575 and 79577.
NOTE

Authority cited: Sections 1250.1(a)(12) and 1267.10(a), Health and Safety Code. Reference: Sections 1250(j) and 1254, Health and Safety Code.
HISTORY

1. New section filed 7-14-94; operative 1-2-96 (Register 94, No. 28).
2. Change without regulatory effect renumbering former section 782 to new section 1102 filed 8-31-95 pursuant to section 100, title 1, California Code of Regulations (Register 95, No. 34).
§1103. Mental Health Treatment Program.
Note     •     History

A mental health treatment program shall be organized, staffed, and equipped to provide mental health treatment services for inmate-patients who require 24-hour inpatient care and treatment for acute or nonacute mental health disorders. A mental health treatment program is an optional program within a licensed correctional treatment center and therefore shall be subject to all pertinent rules contained in 22 CCR Sections 79501 through 79861.
NOTE

Authority cited: Sections 1250.1(a)(12) and 1267.10(a), Health and Safety Code. Reference: Sections 1250(j) and 1254, Health and Safety Code.
HISTORY

1. New section filed 7-14-94; operative 1-2-96 (Register 94, No. 28).
2. Change without regulatory effect renumbering former section 783 to new section 1103 filed 8-31-95 pursuant to section 100, title 1, California Code of Regulations (Register 95, No. 34).
§1104. Mental Health Treatment Program--General Requirements.
Note     •     History

(a) The mental health treatment program shall be only for inmate-patients with a diagnosable mental disorder who require 24-hour mental health care.
(b) Each mental health treatment program shall have a clinical director who shall direct the clinical program, provide general direction to professional and nonprofessional staff and be responsible for the quality of clinical services performed in the facility.
(c) The clinical director of the mental health treatment program in consultation with other mental health staff, shall develop and implement written policies and procedures for the mental health treatment program.
(d) There shall be preadmission patient screening for each inmate-patient completed by the clinical director or his or her designee.
(e) Release of medical records or mental health treatment information concerning any inmate-patient shall be only as authorized under Section 5328 of the Welfare and Institutions Code.
(f) Involuntary mental health treatment, including involuntary medication, shall be provided only as authorized in accordance with Part 1 (commencing with Section 5000) of Division 5 of the Welfare and Institutions Code, unless involuntary treatment is otherwise authorized by law.
NOTE

Authority cited: Sections 1250.1(a)(12) and 2367.10(a), Health and Safety Code. Reference: Sections 1250(i) and 1254, Health and Safety Code.
HISTORY

1. New section filed 7-14-94; operative 1-2-96 (Register 94, No. 28).
2. Change without regulatory effect renumbering former section 784 to new section 1104 filed 8-31-95 pursuant to section 100, title 1, California Code of Regulations (Register 95, No. 34).
§1105. Mental Health Treatment Program--Admission and Discharge Policies.
Note     •     History

(a) Each mental health treatment program shall develop and implement written admission and discharge policies approved by the Governing Body encompassing which staff members authorized by law to diagnose and treat may admit or discharge inmate-patients, the types of diagnoses for which inmate-patients may be admitted, limitations imposed by law or licensure, staffing limitations, preadmission inmate-patient screening, rules governing emergency admission, limitation of services, termination of services, discharge of inmate-patients and other relevant functions.
(b) No inmate-patient may be placed in a mental health treatment program who is not admitted as an inmate-patient by a member of the mental health treatment program staff.
(c) The inmate-patient's condition, provisional diagnosis and a plan for initial treatment shall be determined by admitting staff within 24 hours of admission.
NOTE

Authority cited: Sections 1250.1(a)(12) and 1267.10(a), Health and Safety Code. Reference: Sections 1250(j) and 1254, Health and Safety Code.
HISTORY

1. New section filed 7-14-94; operative 1-2-96 (Register 94, No. 28).
2. Change without regulatory effect renumbering former section 785 to new section 1105 filed 8-31-95 pursuant to section 100, title 1, California Code of Regulations (Register 95, No. 34).
§1106. Mental Health Treatment Program--  Multidisciplinary Treatment Team.
Note     •     History

(a) The multidisciplinary treatment team shall be comprised of those persons who work directly with the inmate-patient in each of the disciplines or service areas that provide service to the inmate-patient, including the clinical director or designee, a psychiatrist, a clinical psychologist, a licensed clinical social worker, a member of the nursing staff and any other staff person who is involved in the treatment and care of the inmate-patient.
(b) The multidisciplinary treatment team shall provide assessment, and any reassessment, of an inmate-patient's individual treatment plan.
NOTE

Authority cited: Sections 1250.1(a)(12) and 1267.10(a), Health and Safety Code. Reference: Sections 1250(i) and 1254, Health and Safety Code.
HISTORY

1. New section filed 7-14-94; operative 1-2-96 (Register 94, No. 28).
2. Change without regulatory effect renumbering former section 786 to new section 1106 filed 8-31-95 pursuant to section 100, title 1, California Code of Regulations (Register 95, No. 34).
§1107. Mental Health Treatment Program--Individual Treatment Plan.
Note     •     History

(a) The individual treatment plan shall:
(1) Be developed in writing by the multidisciplinary treatment team and, where possible, in collaboration with the inmate-patient. The treatment plan shall be developed as soon as possible, but no later than 72 hours following the inmate-patient's admission.
(2) Be based on a comprehensive assessment of the inmate-patient's physical, mental, emotional and social needs.
(3) Be reviewed and updated as often as indicated, but no less often than every seven (7) days, weekends and holidays excepted, for acute mental health inmate-patients and every thirty (30) days for nonacute mental health inmate-patients.
(4) Include, but not be limited to:
(A) A statement of the inmate-patient's physical and mental condition, including all mental health diagnoses.
(B) Prescribed medication, dosage and frequency of administration.
(C) Specific goals of treatment with intervention and actions that identify steps toward improvement or recovery and observable, measurable objectives.
(D) Identification of methods to be utilized, the frequency for conducting each treatment method and the person(s) or discipline(s) responsible for each treatment method.
(E) Documentation of the success or failure in achieving stated objectives.
(F) Evaluation of the factors contributing to the inmate-patient's progress or lack of progress toward recovery and a statement of the multidisciplinary treatment team decision for follow-up action.
(G) An activity plan.
(H) A plan for other services needed by the inmate-patient which are not provided by the mental health treatment program.
(I) Goals for aftercare and a plan for post-discharge follow-up.
(b) The individual treatment plan shall be in writing and be approved by a clinical psychologist, psychiatrist, licensed clinical social worker, licensed marriage, family and child counselor, or a psychiatric mental health nurse designated by the clinical director.
(c) The staff shall observe and note any chances in the inmate-patient's condition and the treatment plan shall be modified in response to the observed changes.
NOTE

Authority cited: Sections 1250.1(a)(12) and 1267.10(a), Health and Safety Code. Reference: Sections 1250(j) and 1254, Health and Safety Code.
HISTORY

1. New section filed 7-14-94; operative 1-2-96 (Register 94, No. 28).
2. Change without regulatory effect renumbering former section 787 to new section 1107 filed 8-31-95 pursuant to section 100, title 1, California Code of Regulations (Register 95, No. 34).
§1108. Mental Health Treatment Program--Services.
Note     •     History

(a) Psychiatric and psychological services.
(1) Psychiatrists or clinical psychologists, within the scope of their licensure and subject to the rules of the facility, shall be responsible for the initial diagnosis of each inmate-patient.
(2) An inmate-patient shall be evaluated by a psychiatrist as soon as possible but not later than seventy-two (72) hours from the time staff determines that the inmate-patient requires or may require psychotropic medication.
(b) Social work services shall be organized, directed and supervised by a licensed clinical social worker.
(c) Mental health rehabilitation therapy services.
(1) Mental health treatment programs shall provide and conduct organized therapeutic social, recreational and vocational activities in accordance with the interests, abilities and needs of the inmate-patient, and will include the opportunity for exercise.
(2) Mental health rehabilitation therapy services shall be designed by and provided under the direction of a recreational therapist, an occupational therapist, a psychiatrist, a clinical psychologist, a licensed clinical social worker, a licensed marriage, family, and child counselor, or a psychiatric mental health nurse.
(d) Aftercare plan.
(1) A written aftercare plan shall describe those services that should be provided to an inmate-patient following discharge, transfer or release from the mental health program for the purpose of enabling the inmate-patient to maintain stabilization and/or achieve an optimum level of functioning.
(2) Prior to or at the time of discharge, transfer or release from the mental health treatment program, each inmate-patient shall be evaluated concerning the inmate-patient's need for aftercare services. This evaluation shall consider the inmate's potential in-custody housing, proximity to release from incarceration, probable need for community treatment and social services, and need for continued mental health care.
(3) Aftercare plans shall include, but not be limited to, the following:
(A) Arrangement for medication supervision and follow-up care.
(B) Referral to social, vocational or education services, if available and appropriate.
(4) A member of the multidisciplinary treatment team designated by the clinical director shall be responsible for ensuring that the referral of the inmate-patient to the appropriate aftercare service has been completed and documented in the inmate-patient's health record.
(5) Arrangements for necessary community referral, placement, conservatorship or post-discharge care shall be made prior to release from custody.
(6) A copy of the aftercare plan conforming to the requirements of Section 5622 of the Welfare and Institutions Code shall be transmitted to the local director of mental health services or a designee in the county of residence for any inmatepatient referred to community service funded by the Bronzan-McCorquodale Act [Part 2 (commencing with Section 5600) of Division 5 of the Welfare and Institutions Code].
(7) The inmate-patient shall receive a copy of the aftercare plan when referred to community services.
NOTE

Authority cited: Sections 1250.1(a)(12) and 1267.10(a), Health and Safety Code. Reference: Sections 1250(j) and 1254, Health and Safety Code.
HISTORY

1. New section filed 7-14-94; operative 1-2-96 (Register 94, No. 28).
2. Change without regulatory effect renumbering former section 788 to new section 1108 filed 8-31-95 pursuant to section 100, title 1, California Code of Regulations (Register 95, No. 34).
§1109. Acute Mental Health Care.
Note     •     History

Acute mental health care means that level of voluntary or involuntary 24 hour care that is required to provide ongoing intensive evaluation and treatment by mental health staff to inmate-patients suffering from severe mental disorder. Acute levels of care include, but are not limited to: (1) treatment of acute levels of severe mental disorder or (2) clinical restraint and seclusion. Such inmate-patients are those, who if in the community, would require the services of a licensed health facility providing 24-hour acute mental health care. Such facilities include but are not limited to psychiatric health facilities or acute psychiatric hospitals.
NOTE

Authority cited: Sections 1250.1(a)(12) and 1267.10(a), Health and Safety Code. Reference: Section 1250(j) and 1254, Health and Safety Code.
HISTORY

1. New section filed 7-14-94; operative 1-2-96 (Register 94, No. 28).
2. Change without regulatory effect renumbering former section 789 to new section 1109 filed 8-31-95 pursuant to section 100, title 1, California Code of Regulations (Register 95, No. 34).
§1110. Nonacute 24-Hour Mental Health Care.
Note     •     History

Nonacute 24-hour mental health care means that level of voluntary or involuntary care that is required to provide mental health services to mentally disordered inmate-patients who are not in need of acute mental health care, but who require general mental health evaluation, diagnostic assessment, treatment, nursing and/or related services, on a 24-hour per day basis in order to achieve stabilization and/or an optimal level of functioning. Such inmate-patients are those who, if in the community, would require the services of a licensed health facility providing 24-hour subacute mental health care. Such facilities include, but are not limited to, skilled nursing facilities with special treatment programs. Subacute has the same meaning as nonacute as defined in this section.
NOTE

Authority cited: Sections 1250.1(a)(12) and 1267.10(a), Health and Safety Code. Reference: Sections 1250(j) and 1254, Health and Safety Code.
HISTORY

1. New section filed 7-14-94; operative 1-2-96 (Register 94, No. 28).
2. Change without regulatory effect renumbering former section 790 to new section 1110 filed 8-31-95 pursuant to section 100, title 1, California Code of Regulations (Register 95, No. 34).
§1111. Mental Health Treatment Program Staffing--Basic Requirements.
Note     •     History

(a) Each mental health treatment program shall have a clinical director who shall be a psychiatrist, clinical psychologist, licensed clinical social worker, licensed marriage, family and child counselor, or a psychiatric mental health nurse operating within his or her scope of licensure. The clinical director shall have at least three years of direct clinical experience with the severely mentally disordered (after the completion of his or her last year of graduate education).
(b) Only that portion of correctional treatment center staff or contracted employee hours spent on the care of patients in the mental health treatment program may be counted as part of the required staffing pattern.
(c) The required minimum staffing ratios shall be calculated based upon the actual census of inmate-patients receiving 24-hour mental health care.
(d) Mental health treatment program nursing services shall be provided under the direction of a registered nurse who shall meet at least the following qualifications:
(1) Master's degree in psychiatric nursing or related field with experience in administration; or
(2) Two years of experience in psychiatric nursing; or
(3) Two years of experience in nursing administration or supervision and one year of experience in psychiatric nursing.
(e) A registered nurse with experience in psychiatric nursing shall be employed forty (40) hours per week.
(f) There shall be a registered nurse, a licensed vocational nurse or a psychiatric technician in the mental health treatment area at all times.
(g) In addition to the minimum staffing required above, the mental health treatment program shall employ professional and other staff on all shifts in the number and with the qualifications to provide all necessary services for those inmate-patients admitted for care.
(h) Clinical psychologists, licensed clinical social workers, and licensed marriage, family and child counselors shall be employed pursuant to the provisions of Section 5751.2 of the Welfare and Institutions Code.
(i) Psychiatric postgraduate trainees, interns, residents, postdoctoral fellows or instructors may practice psychiatric medicine under the provisions of Section 2065 of the Business and Professions Code.
NOTE

Authority cited: Sections 1250.1(a)(12) and 1267.10(a), Health and Safety Code; and Section 5751.2, Welfare and Institutions Code. Reference: Sections 1250(j) and 1254, Health and Safety Code.
HISTORY

1. New section filed 7-14-94; operative 1-2-96 (Register 94, No. 28).
2. Change without regulatory effect renumbering former section 791 to new section 1111 filed 8-31-95 pursuant to section 100, title 1, California Code of Regulations (Register 95, No. 34).
§1112. Mental Health Treatment Program Staffing--Acute Care Requirements.
Note     •     History

Mental health treatment programs that provide acute 24-hour mental health care shall meet the following dedicated full-time equivalent staff to census ratios for only acute inmate-patients in any 24-hour period. These are minimum requirements of the total numbers of persons to staff all shifts in any 24-hour period. Staff required by earlier sections of this chapter for the disciplines listed in this section may be counted toward meeting the staffing pattern required in this section for that portion of their time that is spent in caring for acute patients. The above staffing requirements in this section for registered nurse, licensed vocational nurse, or psychiatric technician are to be followed instead of the requirement of 2.5 nursing hours per patient day required for other correctional treatment center inmate-patients. That portion of the time of a psychiatric mental health nurse that is counted toward one category of the staffing requirements shall not be counted towards another category of the staffing requirements. Unlicensed custody staff, to the degree they do work that would otherwise be done by mental health workers and who meet the qualifications of mental health workers, as defined in Title 22, Section 79547, may be counted toward the mental health worker requirement. The following chart specifies acute care staffing requirements in relation to the acute mental health care inmate-patient census.

Acute Mental Health Care Census:
	1-5	6-10	11-20	21-30	31-40	41-50	51-60	61-70	71-80	81-90	91-100
Staff:
Psychiatrist or Clinical
Psychologist or Licensed
Clinical Social Worker or
Licensed Marriage,
Family and Child
Counselor, or Psychiatric
Mental Health Nurse
	 .5	1	 2	 3	 4	 5	 6	 7	 8	 9	10   

Registered Nurse or
Licensed Vocational
Nurse or Psychiatric
Technician	 3	4	 5	 6	 8	10	12	14	16	18	20   

Mental Health
Worker	1.5	3	 5	 8	10	13	15	18	20	23	25   
TOTALS	 5	8	12	17	22	28	33	39	44	50	55

NOTE

Authority cited: Sections 1250.1(a)(12) and 1267.10(a), Health and Safety Code. Reference: Sections 1250(j) and 1254, Health and Safety Code.
HISTORY

1. New section filed 7-14-94; operative 1-2-96 (Register 94, No. 28).
2. Change without regulatory effect renumbering former section 792 to new section 1112 filed 8-31-95 pursuant to section 100, title 1, California Code of Regulations (Register 95, No. 34).
§1113. Mental Health Treatment Program Staffing--Nonacute Care Requirements.
Note     •     History

Nonacute 24-hour mental health care may be provided by any correctional treatment center meeting the basic staffing requirements specified in 22 CCR Section 79631, Nursing Service- Staff Required Services, including the requirements for 2.5 nursing hours per patient day, and by the Mental Health Treatment Program Staffing--Basic Requirements, set forth in Section 791.
NOTE

Authority cited: Sections 1250.1(a)(12) and 1267.10(a), Health and Safety Code. Reference: Sections 1250(j) and 1254, Health and Safety Code.
HISTORY

1. New section filed 7-14-94; operative 1-2-96 (Register 94, No. 28).
2. Change without regulatory effect renumbering former section 793 to new section 1113 filed 8-31-95 pursuant to section 100, title 1, California Code of Regulations (Register 95, No. 34).
§1114. Mental Health Treatment Program--Space.
Note     •     History

Space shall be provided for the conduct of the mental health treatment program and shall include:
(1) A consultation room for interviewing.
(2) An observation room for acutely disturbed inmate-patients.
(3) Indoor or outdoor facilities for therapeutic activities.
NOTE

Authority cited: Sections 1250.1(a)(12) and 1267.10(a), Health and Safety Code. Reference: Sections 1250(j) and 1254, Health and Safety Code.
HISTORY

1. New section filed 7-14-94; operative 1-2-96 (Register 94, No. 28).
2. Change without regulatory effect renumbering former section 794 to new section 1114 filed 8-31-95 pursuant to section 100, title 1, California Code of Regulations (Register 95, No. 34).
§1115. Clinical Restraint, Treatment Restraint, and Clinical Seclusion.
Note     •     History

(a) Written policies and procedures concerning the use of clinical restraint, treatment restraint, and clinical seclusion shall be developed and approved by the correctional treatment center administration.
(b) Clinical restraint and clinical seclusion shall be based on a written or verbal order of a psychiatrist or clinical psychologist. Clinical restraint shall additionally require a physician's or physician's assistant's, or nurse practitioner's written or verbal approval operating under the supervision of a physician. The order shall include the reason for restraint or seclusion and the types of restraints. Under emergency circumstances, clinical restraint or clinical seclusion may be applied and then an approval and/or an order shall be obtained as soon as possible, but at least within one hour of application. Emergency circumstances exist when there is a sudden marked change in the inmate-patient's condition so that action is immediately necessary for the preservation of life or the prevention of serious bodily harm to the inmate-patient or others, and it is impractical to first obtain an order and approval. Telephone orders and approvals for clinical restraint and clinical seclusion shall be received only by licensed medical and mental health care staff, shall be recorded immediately in the inmate-patient's health record, and shall be signed within twenty-four (24) hours.
(c) A physician shall complete a medical assessment of an inmate-patient at the earliest opportunity but not later than twenty four (24) hours after the inmate-patient has been placed in a clinical restraint or clinical seclusion.
(d) Clinical restraint, treatment restraint and clinical seclusion shall only be used as a measure to prevent injury to self or others. Clinical restraint, treatment restraint and clinical seclusion shall only be used when less restrictive alternative methods are not sufficient to protect the inmate-patient or others from injury, and shall not be used as punishment or as a substitute for more effective programming or for the convenience of the staff. Removing an inmate-patient from an activity or area to another unlocked area for a period of time as a way to use separation as a behavioral modification technique shall not be considered clinical seclusion.
(e) Each order for clinical restraint and clinical seclusion shall be in force no longer than twenty-four (24) hours.
(f) There shall be no PRN orders (as needed orders) for clinical restraint and clinical seclusion.
(g) An inmate-patient placed in a clinical restraint shall be physically checked at least every fifteen (15) minutes by nursing staff to assure that the restraints remain properly applied, that circulation is not impaired, that the inmate-patient is not in danger of harming himself or herself, and that other medical problems are not present. Fluids and nourishment shall be provided every two (2) hours, except during sleep. An opportunity to use a toilet or, when necessary, an alternative shall be provided every two hours, except during sleep. An inmate-patient placed in clinical seclusion shall be checked by nursing staff at least every fifteen (15) minutes. Routine range of motion exercises shall be done with clinically restrained inmate-patients for at least ten (10) minutes every two hours. A written record shall be kept of these checks and exercises, and maintained in the individual inmate-patient health record.
(h) The inmate-patient's health record shall include written justification for the application of clinical restraints, note the times of application and removal of clinical restraints and document the inmate-patient's status, the judgment of a physician or clinical psychologist on the necessity of continuing the order, and the approval of a physician on the medical safety of the continuation of restraints at a minimum of once every twenty-four (24) hours.
(i) Clinical and treatment restraints shall be used in such a way as to minimize the risk of physical injury to the inmate-patient and to ensure the least possible discomfort. The minimum necessary force shall be used. Belts and cuffs shall be well padded.
(j) Clinical restraints shall be placed on inmate-patients only in an area that is under direct observation of staff. Such inmate-patients shall be afforded protection from other inmate-patients who may also be in the area.
NOTE

Authority cited: Sections 1250.1(a)(12) and 1267.10(a), Health and Safety Code. Reference: Sections 1250(j) and 1254, Health and Safety Code; and  Section 5325, Welfare and Institutions Code.
HISTORY

1. New section filed 7-14-94; operative 1-2-96 (Register 94, No. 28).
2. Change without regulatory effect renumbering former section 795 to new section 1115 filed 8-31-95 pursuant to section 100, title 1, California Code of Regulations (Register 95, No. 34).
Chapter 8. Recovery Houses [Repealed]
NOTE

Authority cited: Sections 11217, Health and Safety Code and Sections 4351-4355 and 4360, Welfare and Institutions Code. Reference: Section 11217, Health and Safety Code, and Sections 4350-4370.5, Welfare and Institutions Code.
HISTORY

1. New Subchapter 8 (Sections 1500 through 1540, not consecutive) filed 3-15-73; effective thirtieth day thereafter (Register 73, No. 11).
2. Repealer of Subchapter 8 (Articles 1-5, Sections 1500-1540, not consecutive) filed 3-3-82; effective thirtieth day thereafter (Register 82, No. 10). For prior history, see Registers 78, No. 44; and 78, No. 26.
Chapter 9. Audit Appeals of Community Mental Health Services Under the Short-Doyle Act
Article 1. Definitions
§1550. Policy.
Note     •     History

Upon conclusion of any audit or examination by or on behalf of the Department of Mental Health or its predecessors, of records or reports of a Local Mental Health Service as defined in subchapter 3, efforts will be made to resolve and reconcile all differences with the Local Mental Health Service. When such differences cannot be resolved, the audit or examination findings shall not be final except as set forth in this article.
NOTE

Authority cited: Sections 5400 and 5750, Welfare and Institutions Code. Reference: Sections 5700.1 and 5712, Welfare and Institutions Code.
HISTORY

1. New subchapter 9 (Sections 1550-1590, not consecutive) filed 8-31-79, effective thirtieth day thereafter (Register 79, No. 35).
§1551. Definitions.
Note

The following definitions shall govern the construction of sections 1550 through 1590.
(a) Act. ``Act'' means part 2 of division 5 of the Welfare and Institutions Code, known as the Short-Doyle Act.
(b) Director. ``Director'' means the Director of the Department of Mental Health unless otherwise specified.
(c) Local Director. ``Local Director'' means the administrator or director of the Local Mental Health Service appointed by the governing body.
(d) Department. ``Department'' means the State Department of Mental Health.
(e) May, Shall, and Should. ``May'' is permissive. ``Shall'' is mandatory. ``Should'' means suggested or recommended.
(f) Date of Receipt. The ``Date of Receipt'' shall be the date of signed certified mail receipt. A mailing by the Department shall be properly addressed if addressed to the last address of record with the Department.
(g) Location. The ``location'' of informal conferences and hearings shall be:
The County of San Francisco for Local Mental Health Service in the 1st Appellate District which includes the following counties:

Alameda	Lake	Napa	Santa Clara
Contra Costa 	Marin	San Benito	Santa Cruz
Del Norte	Mendocino	San Francisco	Solano
Humboldt	Monterey	San Mateo	Sonoma
The County of Los Angeles for Local Mental Health Service in the 2nd or 4th Appellate District which includes the following counties:

2nd Appellate District

Los Angeles	San Luis Obispo	Santa Barbara	Ventura 

4th Appellate District

Orange	Inyo	San Bernardino	San Diego
	Riverside	Imperial
The County of Sacramento for Local Mental Health Service in the 3rd or 5th Appellate District which includes the following counties:

3rd Appellate District

Alpine	Glenn	Plumas	Sutter
Amador	Lassen	 Sacramento	Tehama
Butte	Modoc	San Joaquin	Trinity
Calaveras	Mono	Shasta	Yolo
Colusa	Nevada	Sierra	Yuba
El Dorado	Placer	Siskiyou 

5th Appellate District

Fresno	Kings	Mariposa	Stanislaus
Kern	Madera	Merced 	Tulare
			Tuolumne
Notwithstanding the above, the parties by mutual agreement may select any place within the State.
NOTE

Authority cited: Sections 5400 and 5750, Welfare and Institutions Code. Reference: Sections 5700.1 and 5712, Welfare and Institutions Code.
Article 2. Informal Conference
§1555. Time for Filing Request.
Note     •     History

If a Local Mental Health Service disputes any audit or examination findings, the Local Mental Health Service may file a request within sixty (60) days of the date of receipt of the written notice of the audit or examination findings that the Department of Mental Health conduct an informal conference. This request may be amended at any time during this sixty (60)-day period. A request shall be deemed filed on the date it is delivered or mailed to the Director. If no such request is made, the audit or examination findings shall then be final.
NOTE

Authority cited: Sections 5400 and 5750, Welfare and Institutions Code. Reference: Sections 5700.1 and 5712, Welfare and Institutions Code.
HISTORY

1. Editorial correction filed 10-26-82 (Register 82, No. 44).
§1556. Contents of Request.
Note

The request shall be in writing and shall be known as the ``Statement of Disputed Issues''. It need not be formal, but it shall be specific as to the issues which are in dispute, and it shall set forth the Local Mental Health Service's contentions as to those issues.
NOTE

Authority cited: Sections 5400 and 5750, Welfare and Institutions Code. Reference: Sections 5700.1 and 5712, Welfare and Institutions Code.
§1557. Informal Conference.
Note

The Department shall schedule an informal conference within thirty (30) calendar days and shall conduct the informal conference within two-hundred ten (210) calendar days following receipt of the request therefor. The informal conference shall be held at the locations defined in section 1551. Notice of the time and place of the informal conference shall be given in writing by the Department to the Local Mental Health Service at least fifteen (15) calendar days in advance of the conference. The results of the informal conference shall, within forty-five (45) calendar days from the close of the conference, be mailed to the Local Mental Health Service in the form of a written letter of findings. The time limits in this section may be extended by mutual agreement of the Local Mental Health Service and the Department.
NOTE

Authority cited: Sections 5400 and 5750, Welfare and Institutions Code. Reference: Sections 5700.1 and 5712, Welfare and Institutions Code.
Article 3. Filing of Appeal
§1560. Audit Appeal Hearing.
Note

If upon receipt of the written letter of findings the Local Mental Health Service continues to dispute any matter which was in issue at the informal conference, the Local Mental Health Service may appeal to the Director for a hearing conducted by a hearing officer designated by the Director.
NOTE

Authority cited: Sections 5400 and 5750, Welfare and Institutions Code. Reference: Sections 5700.1 and 5712, Welfare and Institutions Code.
§1561. Time for Filing Appeal.
Note

The Local Mental Health Service shall have thirty (30) calendar days following the date of receipt of the letter of findings within which to file an appeal with the Director. An appeal shall be deemed filed on the date it is delivered or mailed to the Director. The time limits in this section may be extended by mutual agreement of the Local Mental Health Director and the Department.
NOTE

Authority cited: Sections 5400 and 5750, Welfare and Institutions Code. Reference: Sections 5700.1 and 5712, Welfare and Institutions Code.
§1562. Denial of Late Appeal.
Note

If an appeal under section 1561 is filed after the time permitted herein, a decision shall be issued denying the appeal unless the Local Mental Health Service shows good cause for the late filing. The determination of what constitutes good cause is solely within the discretion of the Director.
NOTE

Authority cited: Sections 5400 and 5750, Welfare and Institutions Code. Reference: Section 5700.1 and 5712, Welfare and Institutions Code.
§1563. Form of Appeal.
Note

An appeal shall be in writing, signed by the Local Director or his or her authorized agent, and shall state the address of the Local Mental Health Service and of the agent, if any. An original and a copy of the appeal shall be submitted. The designation of an agent must be in writing by the Local Mental Health Director.
NOTE

Authority cited: Sections 5400 and 5750, Welfare and Institutions Code. Reference: Sections 5700.1 and 5712, Welfare and Institutions Code.
§1564. Contents of Appeal.
Note

An appeal need not be formal, but it shall be specific as to the issues which continue to be in dispute and shall set forth the Local Mental Health Service's contentions as to those issues. If an appeal fails to state the specific grounds upon which it is based, the Local Mental Health Director or authorized agent shall be notified that it does not comply with the requirement of this section. Within fifteen (15) calendar days after the date that such notice is received, an amended appeal may be filed. If, within the time permitted, the Local Mental Health Director or the authorized agent fails to amend the appeal, the appeal shall be dismissed.
NOTE

Authority cited: Sections 5400 and 5750, Welfare and Institutions Code. Reference: Sections 5700.1 and 5712, Welfare and Institutions Code.
Article 4. Formal Appeal Hearing
§1565. Disqualification of Hearing Officer.
Note

A hearing officer shall voluntarily disqualify himself or herself and withdraw from any proceedings in which he or she has an interest. A party may request the disqualification of a hearing officer by filing an affidavit stating in detail the grounds upon which it is claimed that a fair and impartial hearing cannot be given, or that the hearing officer has an interest in the proceedings. The hearing officer shall immediately present the affidavit to the Director who will initiate an investigation into the allegations and shall advise the complaining party, in writing, of his or her decision. A copy of this decision shall be mailed to the other parties.
If the Director is able to conveniently reassign the case to another hearing officer, no investigation shall be required.
NOTE

Authority cited: Sections 5400 and 5750, Welfare and Institutions Code. Reference: Sections 5700.1 and 5712, Welfare and Institutions Code.
§1566. Joinder of Successive Appeals.
Note

If, at the time any appeal is filed, one or more prior appeals by the same Local Mental Health Service involving the same or similar issues have not been heard by a hearing officer, such prior appeals may be combined with the last appeals filed and the hearing officer may issue a single decision.
If this procedure is undertaken, notice must first be given to the other party or parties involved and agreement must be mutual and in writing.
NOTE

Authority cited: Sections 5400 and 5750, Welfare and Institutions Code. Reference: Sections 5700.1 and 5712, Welfare and Institutions Code.
§1567. Scheduling of Hearings.
Note

(a) Hearings shall be scheduled within thirty (30) calendar days from receipt of the appeal request under section 1561 and shall be set for a reasonable time thereafter, at such locations defined in section 1551.
(b) Written notice of the time and place of the hearing on an appeal shall be mailed to each party by the hearing officer at least fifteen (15) calendar days before the date of the hearing. The notice period may be shortened with the consent of all parties.
NOTE

Authority cited: Sections 5400 and 5750, Welfare and Institutions Code. Reference: Sections 5700.1 and 5712, Welfare and Institutions Code.
§1568. Witnesses and Subpoenas.
Note

(a) A party shall arrange for his or her witnesses to be present at the hearing.
(b) A subpoena may be issued by a hearing officer on his or her own motion.
(c) A subpoena to compel the attendance of a witness may be issued by a hearing officer upon written request made by a party and a showing of the need therefor.
(d) An application for a subpoena duces tecum ordering a witness to produce books, papers, correspondence, memoranda, or other records shall be made by affidavit to a hearing officer. The application should contain:
(1) the name and address of the person or entity upon whom the subpoena is to be served,
(2) a description of the documents, paper, books, accounts, letters, photographs, objects, or other tangible things which are not privileged and which should be produced,
(3) a showing of the materiality of these items to the issue(s) involved in the proceedings, and
(4) a statement indicating that, to the best of applicant's knowledge, the witness has such items in his or her possession or under his or her control.
(e) Each party shall arrange for the service of all subpoenas issued to him or her. A copy of the affidavit for the subpoena duces tecum shall be served with the subpoena.
(f) With the exception of employees of the Department, witnesses who are subpoenaed for any hearing are entitled to the fees and mileage reimbursements set forth in section 68093 of the Government Code. A written request must be filed with the hearing officer not later than ten (10) calendar days after the date on which the witness appeared at the hearing. If a request is not filed within ten (10) calendar days, no fees or mileage reimbursement shall be allowed.
NOTE

Authority cited: Sections 5400 and 5750, Welfare and Institutions Code. Reference: Sections 5700.1 and 5712, Welfare and Institutions Code.
§1569. Consolidation of Proceedings.
Note

Any number of proceedings may be consolidated for hearing or decision when the facts and circumstances are similar and no substantial right of any party will be prejudiced.
NOTE

Authority cited: Sections 5400 and 5750, Welfare and Institutions Code. Reference: Sections 5700.1 and 5712, Welfare and Institutions Code.
§1570. Severance of Issues.
Note

The hearing officer may, upon the motion of any party, or upon his or her own motion, proceed to the hearing of any issue or issues where it is found that the decision of that issue or issues could abate further proceedings on the appeal.
(a) An interlocutory decision on that separately heard issue may be prepared by the hearing officer and adopted by the Director as his or her final decision on the specified issue.
(b) The hearing on any remaining issues presented by the Local Mental Health Service's appeal may be postponed until this interlocutory decision has been issued.
NOTE

Authority cited: Sections 5400 and 5750, Welfare and Institutions Code. Reference: Sections 5700.1 and 5712, Welfare and Institutions Code.
§1571. Preparation for Hearing.
Note

A party appearing at a hearing before a hearing officer shall have his or her evidence prepared and witnesses present and be ready to proceed. The hearing officer, if he or she deems it necessary for a party's preparation or hearing may, on reasonable notice, require either or both parties to submit a written statement of their contentions and the reasons therefor. A copy of such written statement shall be provided to all parties.
NOTE

Authority cited: Sections 5400 and 5750, Welfare and Institutions Code. Reference: Sections 5700.1 and 5712, Welfare and Institutions Code.
§1572. Conduct of Hearing.
Note

(a) Testimony shall be taken only by oath or affirmation and under penalty of perjury.
(b) Each party shall have the right to call and examine parties and witnesses, to introduce exhibits, to question opposing witnesses and parties on any matter relevant to the issue even though the matter was not covered in the direct examination, to impeach any witness regardless of which party first called that witness to testify, and to rebut evidence.
(c) Any relevant evidence shall be admitted if it is the type of evidence on which responsible persons are accustomed to rely in the conduct of serious affairs, regardless of the existence of any common law or statutory rule which might make the admission of such evidence improper, over objection, in civil or criminal actions.
(d) A hearing officer may order the taking of interrogatories and depositions, and assess the expense to the requesting party when the hearing officer deems it proper.
(e) A hearing officer may question any party or witness and may admit any relevant and material evidence.
(f) The hearing officer shall control the taking of evidence in a manner best suited to ascertain the facts and safeguard the rights of the parties. Prior to taking evidence, the hearing officer shall explain the issues and the order in which evidence will be received. 
(g) A party has the burden of proving whatever facts it must establish to sustain its position.
(h) The burden of producing evidence as to a particular fact is on the party against whom a finding on that fact would be required in the absence of further evidence.
NOTE

Authority cited: Sections 5400 and 5750, Welfare and Institutions Code. Reference: Sections 5700.1 and 5712, Welfare and Institutions Code.
§1573. Official and Judicial Notice.
Note

(a) The hearing officer shall take official notice of those matters which must be judicially noticed by a court under section 451 of the Evidence Code. The hearing officer may take official notice of those matters set forth in section 452 of the Evidence Code.
(b) Each party shall be given reasonable opportunity to present information relevant to the propriety of taking official notice, and the matters to be noticed.
NOTE

Authority cited: Sections 5400 and 5750, Welfare and Institutions Code. Reference: Sections 5700.1 and 5712, Welfare and Institutions Code.
§1574. Department Records.
Note

(a) A hearing officer may order the production or inspection of any records in the possession of the Department when necessary to decide the issues in any proceeding before a hearing officer or to assist a party in preparing for the proceedings.
(b) A request by a party for an order to produce or inspect Department records shall be in writing and shall state clearly the information desired, the records desired to be produced or inspected, and the reason(s) therefor.
NOTE

Authority cited: Sections 5400 and 5750, Welfare and Institutions Code. Reference: Sections 5700.1 and 5712, Welfare and Institutions Code.
§1575. Continuance of Hearings; Further Hearing.
Note

A hearing officer may continue a hearing to another time or place on his or her own motion or, upon a showing of good cause, at the request of any party. Written notice of the time and place of the continued hearing, except as provided in this section, shall be in accordance with requirements set forth in other parts of this subchapter. When a continuance is ordered during a hearing, oral notice of the time and place of the continued hearing may be given to each party present at the hearing. Notice thereof shall be given in accordance with this subchapter.
NOTE

Authority cited: Sections 5400 and 5750, Welfare and Institutions Code. Reference: Sections 5700.1 and 5712, Welfare and Institutions Code.
§1576. Continuance for Additional Evidence.
Note

If, after a hearing has begun, the hearing officer determines that additional evidence is necessary to decide the case, the hearing officer may:
(a) Continue the hearing to a later date and order either party to produce additional evidence, or
(b) Close the hearing and hold the record open in order to permit the introduction of additional documentary evidence. Any material submitted after the close of the hearing shall be made available to both parties and each party shall have the opportunity for rebuttal. The hearing officer may order a further hearing if the nature of the additional evidence or the refutation thereof makes a further hearing desirable.
NOTE

Authority cited: Sections 5400 and 5750, Welfare and Institutions Code. Reference: Sections 5700.1 and 5712, Welfare and Institutions Code.
§1577. Representation at a Hearing.
Note

A hearing officer may refuse to allow any person to represent a party in any hearing when such person engages in unethical, disruptive, or contemptuous conduct, or intentionally fails to comply with the proper instructions or orders of the hearing officer or the provisions of this subchapter.
NOTE

Authority cited: Sections 5400 and 5750, Welfare and Institutions Code. Reference: Sections 5700.1 and 5712, Welfare and Institutions Code.
§1578. Oral Argument and Briefs.
Note

At the request of any party made prior to the close of the hearings, the hearing officer may grant oral argument. If written argument is requested, it may be granted and parties shall be advised as to the time and manner within which such argument is to be filed. The hearing officer may, at his or her own discretion, require any party to submit written memoranda pertaining to any or all issues raised in the hearing.
NOTE

Authority cited: Sections 5400 and 5750, Welfare and Institutions Code. Reference: Sections 5700.1 and 5712, Welfare and Institutions Code.
§1579. Decision.
Note

(a) At the conclusion of the hearing or rehearing pursuant to this section, the hearing officer shall take the matter under submission and within forty-five (45) calendar days thereafter submit to the Director a proposed decision that may be adopted as the final decision of the Director provided, however, that the proposed decision in any dispute involving services provided under part 2 of division 5 of the Welfare and Institutions Code shall be first submitted to the Director of Health Services, who, no later than ten (10) days after receipt, shall forward the proposed decision with his or her written comments, if any, to the Director. The proposed decision shall be in writing and shall contain findings of fact, a determination of the issues presented, and an order. The Director may adopt the proposed decision without reading or hearing the record, or he or she may reject the proposed decision and have a decision prepared based upon the record, or he or she may remand the matter to the hearing officer for a rehearing to take additional evidence.
(b) The Director shall, within twenty (20) calendar days of the receipt of the proposed decision, take action as set forth in subsection (a) of this section. The decision shall be final upon adoption by the Director. Copies of the decision of the Director shall be mailed to the Local Mental Health Service and any representative thereof.
(c) A decision shall be issued dismissing the appeal if a Local Mental Health Director or the authorized agent fails to appear at a hearing. A copy of the decision shall be mailed to each party together with a statement of the Local Mental Health Service's right to reopen the appeal.
(d) Any decision dismissing an appeal may be rescinded if the Local Mental Health Director makes an application in writing within ten (10) calendar days after personal service, or the date of receipt of such decision, showing good cause for the failure to appear at the hearing. Lack of good cause will be presumed when a continuance of the hearing was not requested promptly upon discovery of the reasons for failure to appear at the hearing.
(e) The parties shall be notified in writing of an order granting or denying any application to rescind a dismissal.
NOTE

Authority cited: Sections 5400 and 5750, Welfare and Institutions Code. Reference: Sections 5700.1 and 5712, Welfare and Institutions Code.
Article 5. Recovery of Overpayments
§1585. Recovery of Overpayments to Local Mental Health Service.
Note

(a) Any overpayment to a Local Mental Health Service determined by audit or examination to be due and payable shall be liquidated by the Department by offset against current payments due to the Local Mental Health Service.
(b) Notwithstanding subsection (a) the Department and the Local Mental Health Service may execute an agreement which provides an alternate repayment schedule.
(c) This section shall not be construed to preclude the Department from utilizing any other method of recovery available by law, as deemed appropriate by the Director.
NOTE

Authority cited: Sections 5400 and 5750, Welfare and Institutions Code. Reference: Sections 5700.1 and 5712, Welfare and Institutions Code.
§1586. Time of Recovery.
Note

The Department shall begin recovery of an overpayment, as set forth in section 1585, sixty-one (61) calendar days after notice of the audit findings, unless:
(1) The Local Mental Health Service files a timely request for an informal conference, in which case recovery will take place thirty-six (36) calendar days from the date of mailing of a letter of findings, or
(2) The Local Mental Health Service files a timely appeal, in which case recovery will take place fifteen (15) calendar days from the date of mailing of the decision of the Director.
NOTE

Authority cited: Sections 5400 and 5750, Welfare and Institutions Code. Reference: Sections 5700.1 and 5712, Welfare and Institutions Code.
Article 6. Payments
§1590. Underpayments.
Note

In the event of an underpayment to a Local Mental Health Service due to a denied appeal which is subsequently overturned, the Department shall be responsible for the prompt filing of all required claims with the State Board of Control to obtain the necessary appropriation and approval to make payment.
NOTE

Authority cited: Sections 5400 and 5750, Welfare and Institutions Code. Reference: Sections 5700.1 and 5712, Welfare and Institutions Code.
Chapter 10. Medi-Cal Psychiatric Inpatient Hospital Services
Article 1. Definitions, Abbreviations and Program Terms
§1700. Acute Psychiatric Inpatient Hospital Services.
Note     •     History

“Acute Psychiatric Inpatient Hospital Services” means medically necessary services received in a psychiatric inpatient hospital by a beneficiary while not on administrative day services.
NOTE

Authority cited: Section 14680, Welfare and Institutions Code. Reference: Sections 5777 and 14684, Welfare and Institutions Code.
HISTORY

1. New Chapter 10, Article 1, (sections 1700 through 1722) and section filed 12-30-94 as an emergency; operative 1-1-95 (Register 94, No. 52). Notwithstanding Chapter 3.5 (commencing with Section 11340) of Part 1 of Division 3 of Title 2 of the Government Code, a Certificate of Compliance must be transmitted to OAL by June 30, 1995, pursuant to Section 7, Chapter 633, Statutes of 1994, or emergency language will be repealed by operation of law on the following day.
2. New chapter 10, article 1 and section refiled 6-30-95 as an emergency; operative 7-1-95 (Register 95, No. 26). A Certificate of Compliance must be transmitted to OAL by 10-28-95 or emergency language will be repealed by operation of law on the following day.
3. New Chapter 10, Article 1 (sections 1700 through 1722) and section continued 8-3-95 as an emergency pursuant to Chapter 305, Statutes of 1995, Section 24, stating that these emergency regulations remain in effect until July 1, 1996, or until the regulations are made permanent, whichever occurs first.
4. Certificate of Compliance as to 12-30-94 order transmitted to OAL 7-1-96; disapproved by OAL on 8-13-96. (Register 96, No. 33).
5. New Chapter 10, Article 1 (sections 1700 through 1722) and section continued 7-15-96 as an emergency pursuant to Chapter 162, Statutes of 1996, Section 4440-103-0001, Provision 4, stating that these emergency regulations shall remain in effective until July 1, 1997, or until the regulations are made permanent, whichever occurs first.
6. Certificate of Compliance as to 12-30-94 order, including amendment of section, transmitted to OAL 5-30-97 and filed 7-1-97 (Register 97, No. 27).
§1701. Administrative Day Service.
Note     •     History

“Administrative Day Services” means services authorized by a Mental Health Plan's Point of Authorization or a Short-Doyle/Medi-Cal provider's Utilization Review Committee that is acting as a Point of Authorization, for a beneficiary residing in a psychiatric inpatient hospital when, due to a lack of residential placement options at appropriate, non-acute treatment facilities as identified by the Mental Health Plan, the beneficiary's stay at the psychiatric inpatient hospital must be continued beyond the beneficiary's need for acute psychiatric inpatient hospital services.
NOTE

Authority cited: Section 14680, Welfare and Institutions Code. Reference: Sections 5777 and 14684, Welfare and Institutions Code.
HISTORY

1. New section filed 12-30-94 as an emergency; operative 1-1-95 (Register 94, No. 52). Notwithstanding Chapter 3.5 (commencing with Section 11340) of Part 1 of Division 3 of Title 2 of the Government Code, a Certificate of Compliance must be transmitted to OAL by June 30, 1995, pursuant to Section 7, Chapter 633, Statutes of 1994, or emergency language will be repealed by operation of law on the following day.
2. New section refiled 6-30-95 as an emergency; operative 7-1-95 (Register 95, No. 26). A Certificate of Compliance must be transmitted to OAL by 10-28-95 or emergency language will be repealed by operation of law on the following day.
3. New section continued 8-3-95 as an emergency pursuant to Chapter 305, Statutes of 1995, Section 24, stating that these emergency regulations remain in effect until July 1, 1996, or until the regulations are made permanent, whichever occurs first.
4. Certificate of Compliance as to 12-30-94 order transmitted to OAL 7-1-96; disapproved by OAL on 8-13-96. (Register 96, No. 33).
5. New section continued 7-15-96 as an emergency pursuant to Chapter 162, Statutes of 1996, Section 4440-103-0001, Provision 4, stating that these emergency regulations shall remain in effective until July 1, 1997, or until the regulations are made permanent, whichever occurs first.
6. Certificate of Compliance as to 12-30-94 order, including amendment of section, transmitted to OAL 5-30-97 and filed 7-1-97 (Register 97, No. 27).
§1702. Beneficiary.
Note     •     History

“Beneficiary” means any person certified as eligible under the Medi-Cal Program according to Section 51001, Title 22, California Code of Regulations.
NOTE

Authority cited: Section 14680, Welfare and Institutions Code. Reference: Sections 5777 and 14684, Welfare and Institutions Code.
HISTORY

1. New section filed 12-30-94 as an emergency; operative 1-1-95 (Register 94, No. 52). Notwithstanding Chapter 3.5 (commencing with Section 11340) of Part 1 of Division 3 of Title 2 of the Government Code, a Certificate of Compliance must be transmitted to OAL by June 30, 1995, pursuant to Section 7, Chapter 633, Statutes of 1994, or emergency language will be repealed by operation of law on the following day.
2. New section refiled 6-30-95 as an emergency; operative 7-1-95 (Register 95, No. 26). A Certificate of Compliance must be transmitted to OAL by 10-28-95 or emergency language will be repealed by operation of law on the following day.
3. New section continued 8-3-95 as an emergency pursuant to Chapter 305, Statutes of 1995, Section 24, stating that these emergency regulations remain in effect until July 1, 1996, or until the regulations are made permanent, whichever occurs first.
4. Certificate of Compliance as to 12-30-94 order transmitted to OAL 7-1-96; disapproved by OAL on 8-13-96. (Register 96, No. 33).
5. New section continued 7-15-96 as an emergency pursuant to Chapter 162, Statutes of 1996, Section 4440-103-0001, Provision 4, stating that these emergency regulations shall remain in effective until July 1, 1997, or until the regulations are made permanent, whichever occurs first.
6. Certificate of Compliance as to 12-30-94 order transmitted to OAL 5-30-97 and filed 7-1-97 (Register 97, No. 27).
§1703. Contract Hospital.
Note     •     History

“Contract Hospital” means a provider of psychiatric inpatient hospital services which is certified by the Department of Health Services to provide Medi-Cal services, and which has a contract with a specific Mental Health Plan to provide psychiatric inpatient hospital services to beneficiaries.
NOTE

Authority cited: Section 14680, Welfare and Institutions Code. Reference: Sections 5777, 5778 and 14684, Welfare and Institutions Code.
HISTORY

1. New section filed 12-30-94 as an emergency; operative 1-1-95 (Register 94, No. 52). Notwithstanding Chapter 3.5 (commencing with Section 11340) of Part 1 of Division 3 of Title 2 of the Government Code, a Certificate of Compliance must be transmitted to OAL by June 30, 1995, pursuant to Section 7, Chapter 633, Statutes of 1994, or emergency language will be repealed by operation of law on the following day.
2. New section refiled 6-30-95 as an emergency; operative 7-1-95 (Register 95, No. 26). A Certificate of Compliance must be transmitted to OAL by 10-28-95 or emergency language will be repealed by operation of law on the following day.
3. New section continued 8-3-95 as an emergency pursuant to Chapter 305, Statutes of 1995, Section 24, stating that these emergency regulations remain in effect until July 1, 1996, or until the regulations are made permanent, whichever occurs first.
4. Certificate of Compliance as to 12-30-94 order transmitted to OAL 7-1-96; disapproved by OAL on 8-13-96. (Register 96, No. 33).
5. New section continued 7-15-96 as an emergency pursuant to Chapter 162, Statutes of 1996, Section 4440-103-0001, Provision 4, stating that these emergency regulations shall remain in effective until July 1, 1997, or until the regulations are made permanent, whichever occurs first.
6. Certificate of Compliance as to 12-30-94 order, including amendment of section, transmitted to OAL 5-30-97 and filed 7-1-97 (Register 97, No. 27).
§1704. Culturally Competent Services.
Note     •     History

“Culturally Competent Services” means a set of congruent behaviors, attitudes and policies in a system or agency to enable effective service provision in cross-cultural settings. These behaviors, attitudes and policies shall be designed to foster a climate that will provide services which recognize and are sensitive to cultural diversity.
NOTE

Authority cited: Section 14680, Welfare and Institutions Code. Reference: Sections 5777, 5778 and 14684, Welfare and Institutions Code.
HISTORY

1. New section filed 12-30-94 as an emergency; operative 1-1-95 (Register 94, No. 52). Notwithstanding Chapter 3.5 (commencing with Section 11340) of Part 1 of Division 3 of Title 2 of the Government Code, a Certificate of Compliance must be transmitted to OAL by June 30, 1995, pursuant to Section 7, Chapter 633, Statutes of 1994, or emergency language will be repealed by operation of law on the following day.
2. New section refiled 6-30-95 as an emergency; operative 7-1-95 (Register 95, No. 26). A Certificate of Compliance must be transmitted to OAL by 10-28-95 or emergency language will be repealed by operation of law on the following day.
3. New section continued 8-3-95 as an emergency pursuant to Chapter 305, Statutes of 1995, Section 24, stating that these emergency regulations remain in effect until July 1, 1996, or until the regulations are made permanent, whichever occurs first.
4. Certificate of Compliance as to 12-30-94 order transmitted to OAL 7-1-96; disapproved by OAL on 8-13-96. (Register 96, No. 33).
5. New section continued 7-15-96 as an emergency pursuant to Chapter 162, Statutes of 1996, Section 4440-103-0001, Provision 4, stating that these emergency regulations shall remain in effective until July 1, 1997, or until the regulations are made permanent, whichever occurs first.
6. Certificate of Compliance as to 12-30-94 order, including repealer of former section 1704 and renumbering and amendment of former section 1705 to new section 1704, transmitted to OAL 5-30-97 and filed 7-1-97 (Register 97, No. 27).
§1705. Department.
Note     •     History

“Department” means the State Department of Mental Health.
NOTE

Authority cited: Section 14680, Welfare and Institutions Code. Reference: Sections 5775, 5777, 5778, 14680 and 14684, Welfare and Institutions Code.
HISTORY

1. New section filed 12-30-94 as an emergency; operative 1-1-95 (Register 94, No. 52). Notwithstanding Chapter 3.5 (commencing with Section 11340) of Part 1 of Division 3 of Title 2 of the Government Code, a Certificate of Compliance must be transmitted to OAL by June 30, 1995, pursuant to Section 7, Chapter 633, Statutes of 1994, or emergency language will be repealed by operation of law on the following day.
2. New section refiled 6-30-95 as an emergency; operative 7-1-95 (Register 95, No. 26). A Certificate of Compliance must be transmitted to OAL by 10-28-95 or emergency language will be repealed by operation of law on the following day.
3. New section continued 8-3-95 as an emergency pursuant to Chapter 305, Statutes of 1995, Section 24, stating that these emergency regulations remain in effect until July 1, 1996, or until the regulations are made permanent, whichever occurs first.
4. Certificate of Compliance as to 12-30-94 order transmitted to OAL 7-1-96; disapproved by OAL on 8-13-96. (Register 96, No. 33).
5. New section continued 7-15-96 as an emergency pursuant to Chapter 162, Statutes of 1996, Section 4440-103-0001, Provision 4, stating that these emergency regulations shall remain in effective until July 1, 1997, or until the regulations are made permanent, whichever occurs first.
6. Certificate of Compliance as to 12-30-94 order, including renumbering of former section 1705 to 1704 and renumbering of section 1706 to new section 1705, transmitted to OAL 5-30-97 and filed 7-1-97 (Register 97, No. 27).
§1706. Disproportionate Share Hospital (DSH).
Note     •     History

“Disproportionate Share Hospital (DSH)” means a provider as defined in Section 1923(b)(1) of the Social Security Act, 42 USC 1396 r-4.
NOTE

Authority cited: Section 14680, Welfare and Institutions Code. Reference: Section 14680, Welfare and Institutions Code.
HISTORY

1. New section filed 12-30-94 as an emergency; operative 1-1-95 (Register 94, No. 52). Notwithstanding Chapter 3.5 (commencing with Section 11340) of Part 1 of Division 3 of Title 2 of the Government Code, a Certificate of Compliance must be transmitted to OAL by June 30, 1995, pursuant to Section 7, Chapter 633, Statutes of 1994, or emergency language will be repealed by operation of law on the following day.
2. New section refiled 6-30-95 as an emergency; operative 7-1-95 (Register 95, No. 26). A Certificate of Compliance must be transmitted to OAL by 10-28-95 or emergency language will be repealed by operation of law on the following day.
3. New section continued 8-3-95 as an emergency pursuant to Chapter 305, Statutes of 1995, Section 24, stating that these emergency regulations remain in effect until July 1, 1996, or until the regulations are made permanent, whichever occurs first.
4. Certificate of Compliance as to 12-30-94 order transmitted to OAL 7-1-96; disapproved by OAL on 8-13-96. (Register 96, No. 33).
5. New section continued 7-15-96 as an emergency pursuant to Chapter 162, Statutes of 1996, Section 4440-103-0001, Provision 4, stating that these emergency regulations shall remain in effective until July 1, 1997, or until the regulations are made permanent, whichever occurs first.
6. Certificate of Compliance as to 12-30-94 order, including renumbering of former section 1706 to 1705 and new section 1706, transmitted to OAL 5-30-97 and filed 7-1-97 (Register 97, No. 27).
§1707. Fee-for-Service/Medi-Cal Provider.
Note     •     History

“Fee-for-Service/Medi-Cal Provider” means a provider who submits reimbursement claims for Medi-Cal psychiatric inpatient hospital services through the fiscal intermediary.
NOTE

Authority cited: Section 14680, Welfare and Institutions Code. Reference: Sections 5777, 14680 and 14684, Welfare and Institutions Code.
HISTORY

1. New section filed 12-30-94 as an emergency; operative 1-1-95 (Register 94, No. 52). Notwithstanding Chapter 3.5 (commencing with Section 11340) of Part 1 of Division 3 of Title 2 of the Government Code, a Certificate of Compliance must be transmitted to OAL by June 30, 1995, pursuant to Section 7, Chapter 633, Statutes of 1994, or emergency language will be repealed by operation of law on the following day.
2. New section refiled 6-30-95 as an emergency; operative 7-1-95 (Register 95, No. 26). A Certificate of Compliance must be transmitted to OAL by 10-28-95 or emergency language will be repealed by operation of law on the following day.
3. New section continued 8-3-95 as an emergency pursuant to Chapter 305, Statutes of 1995, Section 24, stating that these emergency regulations remain in effect until July 1, 1996, or until the regulations are made permanent, whichever occurs first.
4. Certificate of Compliance as to 12-30-94 order transmitted to OAL 7-1-96; disapproved by OAL on 8-13-96. (Register 96, No. 33).
5. New section continued 7-15-96 as an emergency pursuant to Chapter 162, Statutes of 1996, Section 4440-103-0001, Provision 4, stating that these emergency regulations shall remain in effective until July 1, 1997, or until the regulations are made permanent, whichever occurs first.
6. Certificate of Compliance as to 12-30-94 order, including amendment of section, transmitted to OAL 5-30-97 and filed 7-1-97 (Register 97, No. 27).
§1708. Fiscal Intermediary.
Note     •     History

“Fiscal Intermediary” means the entity which has contracted with the Department of Health Services to perform services for the Medi-Cal Program pursuant to Section 14104.3 of the Welfare and Institutions Code.
NOTE

Authority cited: Section 14680, Welfare and Institutions Code. Reference: Sections 5777, 5778, 14104.3 and 14684, Welfare and Institutions Code.
HISTORY

1. New section filed 12-30-94 as an emergency; operative 1-1-95 (Register 94, No. 52). Notwithstanding Chapter 3.5 (commencing with Section 11340) of Part 1 of Division 3 of Title 2 of the Government Code, a Certificate of Compliance must be transmitted to OAL by June 30, 1995, pursuant to Section 7, Chapter 633, Statutes of 1994, or emergency language will be repealed by operation of law on the following day.
2. New section refiled 6-30-95 as an emergency; operative 7-1-95 (Register 95, No. 26). A Certificate of Compliance must be transmitted to OAL by 10-28-95 or emergency language will be repealed by operation of law on the following day.
3. New section continued 8-3-95 as an emergency pursuant to Chapter 305, Statutes of 1995, Section 24, stating that these emergency regulations remain in effect until July 1, 1996, or until the regulations are made permanent, whichever occurs first.
4. Certificate of Compliance as to 12-30-94 order transmitted to OAL 7-1-96; disapproved by OAL on 8-13-96. (Register 96, No. 33).
5. New section continued 7-15-96 as an emergency pursuant to Chapter 162, Statutes of 1996, Section 4440-103-0001, Provision 4, stating that these emergency regulations shall remain in effective until July 1, 1997, or until the regulations are made permanent, whichever occurs first.
6. Certificate of Compliance as to 12-30-94 order transmitted to OAL 5-30-97 and filed 7-1-97 (Register 97, No. 27).
§1709. Hospital.
Note     •     History

“Hospital” means an institution, including a psychiatric health facility, that meets the requirements of Section 51207, Title 22, California Code of Regulations.
NOTE

Authority cited: Section 14680, Welfare and Institutions Code. Reference: Sections 5777, 5778 and 14684, Welfare and Institutions Code.
HISTORY

1. New section filed 12-30-94 as an emergency; operative 1-1-95 (Register 94, No. 52). Notwithstanding Chapter 3.5 (commencing with Section 11340) of Part 1 of Division 3 of Title 2 of the Government Code, a Certificate of Compliance must be transmitted to OAL by June 30, 1995, pursuant to Section 7, Chapter 633, Statutes of 1994, or emergency language will be repealed by operation of law on the following day.
2. New section refiled 6-30-95 as an emergency; operative 7-1-95 (Register 95, No. 26). A Certificate of Compliance must be transmitted to OAL by 10-28-95 or emergency language will be repealed by operation of law on the following day.
3. New section continued 8-3-95 as an emergency pursuant to Chapter 305, Statutes of 1995, Section 24, stating that these emergency regulations remain in effect until July 1, 1996, or until the regulations are made permanent, whichever occurs first.
4. Certificate of Compliance as to 12-30-94 order transmitted to OAL 7-1-96; disapproved by OAL on 8-13-96. (Register 96, No. 33).
5. New section continued 7-15-96 as an emergency pursuant to Chapter 162, Statutes of 1996, Section 4440-103-0001, Provision 4, stating that these emergency regulations shall remain in effective until July 1, 1997, or until the regulations are made permanent, whichever occurs first.
6. Certificate of Compliance as to 12-30-94 order transmitted to OAL 5-30-97 and filed 7-1-97 (Register 97, No. 27).
§1710. Hospital-Based Ancillary Services.
Note     •     History

“Hospital-Based Ancillary Services” means services, which include but are not limited to electroconvulsive therapy (ECT) and magnetic resonance imaging (MRI), that are received by a beneficiary admitted to a psychiatric inpatient hospital, other than routine services.
NOTE

Authority cited: Section 14680, Welfare and Institutions Code. Reference: Sections 5777 and 14684, Welfare and Institutions Code.
HISTORY

1. New section filed 12-30-94 as an emergency; operative 1-1-95 (Register 94, No. 52). Notwithstanding Chapter 3.5 (commencing with Section 11340) of Part 1 of Division 3 of Title 2 of the Government Code, a Certificate of Compliance must be transmitted to OAL by June 30, 1995, pursuant to Section 7, Chapter 633, Statutes of 1994, or emergency language will be repealed by operation of law on the following day.
2. New section refiled 6-30-95 as an emergency; operative 7-1-95 (Register 95, No. 26). A Certificate of Compliance must be transmitted to OAL by 10-28-95 or emergency language will be repealed by operation of law on the following day.
3. New section continued 8-3-95 as an emergency pursuant to Chapter 305, Statutes of 1995, Section 24, stating that these emergency regulations remain in effect until July 1, 1996, or until the regulations are made permanent, whichever occurs first.
4. Certificate of Compliance as to 12-30-94 order transmitted to OAL 7-1-96; disapproved by OAL on 8-13-96. (Register 96, No. 33).
5. New section continued 7-15-96 as an emergency pursuant to Chapter 162, Statutes of 1996, Section 4440-103-0001, Provision 4, stating that these emergency regulations shall remain in effective until July 1, 1997, or until the regulations are made permanent, whichever occurs first.
6. Certificate of Compliance as to 12-30-94 order, including amendment of section, transmitted to OAL 5-30-97 and filed 7-1-97 (Register 97, No. 27).
§1711. Implementation Plan for Psychiatric Inpatient Hospital Services.
Note     •     History

Implementation Plan for Psychiatric Inpatient Hospital Services” means a written description submitted to the Department by the Mental Health Plan and approved by the Department which specifies the procedures which will be used by a prospective Mental Health Plan to provide psychiatric hospital services as described in this chapter.
NOTE

Authority cited: Section 14680, Welfare and Institutions Code. Reference: Sections 5778, 5779 and 14684, Welfare and Institutions Code.
HISTORY

1. New section filed 12-30-94 as an emergency; operative 1-1-95 (Register 94, No. 52). Notwithstanding Chapter 3.5 (commencing with Section 11340) of Part 1 of Division 3 of Title 2 of the Government Code, a Certificate of Compliance must be transmitted to OAL by June 30, 1995, pursuant to Section 7, Chapter 633, Statutes of 1994, or emergency language will be repealed by operation of law on the following day.
2. New section refiled 6-30-95 as an emergency; operative 7-1-95 (Register 95, No. 26). A Certificate of Compliance must be transmitted to OAL by 10-28-95 or emergency language will be repealed by operation of law on the following day.
3. New section continued 8-3-95 as an emergency pursuant to Chapter 305, Statutes of 1995, Section 24, stating that these emergency regulations remain in effect until July 1, 1996, or until the regulations are made permanent, whichever occurs first.
4. Certificate of Compliance as to 12-30-94 order transmitted to OAL 7-1-96; disapproved by OAL on 8-13-96. (Register 96, No. 33).
5. New section continued 7-15-96 as an emergency pursuant to Chapter 162, Statutes of 1996, Section 4440-103-0001, Provision 4, stating that these emergency regulations shall remain in effective until July 1, 1997, or until the regulations are made permanent, whichever occurs first.
6. Certificate of Compliance as to 12-30-94 order transmitted to OAL 5-30-97 and filed 7-1-97 (Register 97, No. 27).
§1712. Medi-Cal Managed Care Plan.
Note     •     History

“Medi-Cal Managed Care Plan” means an entity contracting with the Department of Health Services to provide services to beneficiaries under Chapter 7, commencing with Section 14000 or Chapter 8, commencing with Section 14200 of Division 9, Part 3 of the Welfare and Institutions Code.
NOTE

Authority cited: Section 14680, Welfare and Institutions Code. Reference: Sections 5777, 5778 and 14684, Welfare and Institutions Code.
HISTORY

1. New section filed 12-30-94 as an emergency; operative 1-1-95 (Register 94, No. 52). Notwithstanding Chapter 3.5 (commencing with Section 11340) of Part 1 of Division 3 of Title 2 of the Government Code, a Certificate of Compliance must be transmitted to OAL by June 30, 1995, pursuant to Section 7, Chapter 633, Statutes of 1994, or emergency language will be repealed by operation of law on the following day.
2. New section refiled 6-30-95 as an emergency; operative 7-1-95 (Register 95, No. 26). A Certificate of Compliance must be transmitted to OAL by 10-28-95 or emergency language will be repealed by operation of law on the following day.
3. New section continued 8-3-95 as an emergency pursuant to Chapter 305, Statutes of 1995, Section 24, stating that these emergency regulations remain in effect until July 1, 1996, or until the regulations are made permanent, whichever occurs first.
4. Certificate of Compliance as to 12-30-94 order transmitted to OAL 7-1-96; disapproved by OAL on 8-13-96. (Register 96, No. 33).
5. New section continued 7-15-96 as an emergency pursuant to Chapter 162, Statutes of 1996, Section 4440-103-0001, Provision 4, stating that these emergency regulations shall remain in effective until July 1, 1997, or until the regulations are made permanent, whichever occurs first.
6. Certificate of Compliance as to 12-30-94 order transmitted to OAL 5-30-97 and filed 7-1-97 (Register 97, No. 27).
§1713. Mental Health Plan.
Note     •     History

“Mental Health Plan” (MHP) means an entity which enters into an agreement with the Department to contract, arrange and/or provide psychiatric inpatient hospital services for beneficiaries. An MHP may be a county, counties acting jointly or another governmental or nongovernmental entity.
NOTE

Authority cited: Section 14680, Welfare and Institutions Code. Reference: Sections 5775, 5777, 5778 and 14684, Welfare and Institutions Code.
HISTORY

1. New section filed 12-30-94 as an emergency; operative 1-1-95 (Register 94, No. 52). Notwithstanding Chapter 3.5 (commencing with Section 11340) of Part 1 of Division 3 of Title 2 of the Government Code, a Certificate of Compliance must be transmitted to OAL by June 30, 1995, pursuant to Section 7, Chapter 633, Statutes of 1994, or emergency language will be repealed by operation of law on the following day.
2. New section refiled 6-30-95 as an emergency; operative 7-1-95 (Register 95, No. 26). A Certificate of Compliance must be transmitted to OAL by 10-28-95 or emergency language will be repealed by operation of law on the following day.
3. New section continued 8-3-95 as an emergency pursuant to Chapter 305, Statutes of 1995, Section 24, stating that these emergency regulations remain in effect until July 1, 1996, or until the regulations are made permanent, whichever occurs first.
4. Certificate of Compliance as to 12-30-94 order transmitted to OAL 7-1-96; disapproved by OAL on 8-13-96. (Register 96, No. 33).
5. New section continued 7-15-96 as an emergency pursuant to Chapter 162, Statutes of 1996, Section 4440-103-0001, Provision 4, stating that these emergency regulations shall remain in effective until July 1, 1997, or until the regulations are made permanent, whichever occurs first.
6. Certificate of Compliance as to 12-30-94 order, including amendment of section, transmitted to OAL 5-30-97 and filed 7-1-97 (Register 97, No. 27).
§1714. Mental Health Plan (MHP) of Beneficiary.
Note     •     History

“MHP of beneficiary” means the MHP responsible for authorizing and paying the required matching funds for psychiatric inpatient hospital services for beneficiaries. The responsible MHP shall be determined by the beneficiary's county of residence code as listed in the Medi-Cal Eligibility Data System (MEDS) file.
NOTE

Authority cited: Section 14680, Welfare and Institutions Code. Reference: Sections 5777, 5778 and 14684, Welfare and Institutions Code.
HISTORY

1. New section filed 12-30-94 as an emergency; operative 1-1-95 (Register 94, No. 52). Notwithstanding Chapter 3.5 (commencing with Section 11340) of Part 1 of Division 3 of Title 2 of the Government Code, a Certificate of Compliance must be transmitted to OAL by June 30, 1995, pursuant to Section 7, Chapter 633, Statutes of 1994, or emergency language will be repealed by operation of law on the following day.
2. New section refiled 6-30-95 as an emergency; operative 7-1-95 (Register 95, No. 26). A Certificate of Compliance must be transmitted to OAL by 10-28-95 or emergency language will be repealed by operation of law on the following day.
3. New section continued 8-3-95 as an emergency pursuant to Chapter 305, Statutes of 1995, Section 24, stating that these emergency regulations remain in effect until July 1, 1996, or until the regulations are made permanent, whichever occurs first.
4. Certificate of Compliance as to 12-30-94 order transmitted to OAL 7-1-96; disapproved by OAL on 8-13-96. (Register 96, No. 33).
5. New section continued 7-15-96 as an emergency pursuant to Chapter 162, Statutes of 1996, Section 4440-103-0001, Provision 4, stating that these emergency regulations shall remain in effective until July 1, 1997, or until the regulations are made permanent, whichever occurs first.
6. Certificate of Compliance as to 12-30-94 order, including repealer and new section, transmitted to OAL 5-30-97 and filed 7-1-97 (Register 97, No. 27).
§1715. MHP Payment Authorization.
Note     •     History

“MHP Payment Authorization” means the initial process in which reimbursement for services provided by a psychiatric inpatient hospital to a beneficiary is authorized in writing by the MHP. In addition to the MHP payment authorization, the claim must meet all other Medi-Cal requirements prior to payment.
NOTE

Authority cited: Section 14680, Welfare and Institutions Code. Reference: Sections 5777, 5778 and 14684, Welfare and Institutions Code.
HISTORY

1. New section filed 12-30-94 as an emergency; operative 1-1-95 (Register 94, No. 52). Notwithstanding Chapter 3.5 (commencing with Section 11340) of Part 1 of Division 3 of Title 2 of the Government Code, a Certificate of Compliance must be transmitted to OAL by June 30, 1995, pursuant to Section 7, Chapter 633, Statutes of 1994, or emergency language will be repealed by operation of law on the following day.
2. New section refiled 6-30-95 as an emergency; operative 7-1-95 (Register 95, No. 26). A Certificate of Compliance must be transmitted to OAL by 10-28-95 or emergency language will be repealed by operation of law on the following day.
3. New section continued 8-3-95 as an emergency pursuant to Chapter 305, Statutes of 1995, Section 24, stating that these emergency regulations remain in effect until July 1, 1996, or until the regulations are made permanent, whichever occurs first.
4. Certificate of Compliance as to 12-30-94 order transmitted to OAL 7-1-96; disapproved by OAL on 8-13-96. (Register 96, No. 33).
5. New section continued 7-15-96 as an emergency pursuant to Chapter 162, Statutes of 1996, Section 4440-103-0001, Provision 4, stating that these emergency regulations shall remain in effective until July 1, 1997, or until the regulations are made permanent, whichever occurs first.
6. Certificate of Compliance as to 12-30-94 order, including renumbering of former section 1715 to section 1716 and new section 1715, transmitted to OAL 5-30-97 and filed 7-1-97 (Register 97, No. 27).
§1716. Non-contract Hospital.
Note     •     History

“Non-contract Hospital” means a provider of psychiatric inpatient hospital services which is certified by the Department of Health Services to provide Medi-Cal services but which does not have a contract with a specific MHP to provide psychiatric inpatient hospital services to beneficiaries.
NOTE

Authority cited: Section 14680, Welfare and Institutions Code. Reference: Sections 5775, 5777 and 14684, Welfare and Institutions Code.
HISTORY

1. New section filed 12-30-94 as an emergency; operative 1-1-95 (Register 94, No. 52). Notwithstanding Chapter 3.5 (commencing with Section 11340) of Part 1 of Division 3 of Title 2 of the Government Code, a Certificate of Compliance must be transmitted to OAL by June 30, 1995, pursuant to Section 7, Chapter 633, Statutes of 1994, or emergency language will be repealed by operation of law on the following day.
2. New section refiled 6-30-95 as an emergency; operative 7-1-95 (Register 95, No. 26). A Certificate of Compliance must be transmitted to OAL by 10-28-95 or emergency language will be repealed by operation of law on the following day.
3. New section continued 8-3-95 as an emergency pursuant to Chapter 305, Statutes of 1995, Section 24, stating that these emergency regulations remain in effect until July 1, 1996, or until the regulations are made permanent, whichever occurs first.
4. Certificate of Compliance as to 12-30-94 order transmitted to OAL 7-1-96; disapproved by OAL on 8-13-96. (Register 96, No. 33).
5. New section continued 7-15-96 as an emergency pursuant to Chapter 162, Statutes of 1996, Section 4440-103-0001, Provision 4, stating that these emergency regulations shall remain in effective until July 1, 1997, or until the regulations are made permanent, whichever occurs first.
6. Certificate of Compliance as to 12-30-94 order, including renumbering of former section 1716 to section 1717 and renumbering and amendment of former section 1715 to new section 1716, transmitted to OAL 5-30-97 and filed 7-1-97 (Register 97, No. 27).
§1717. Point of Authorization.
Note     •     History

“Point of Authorization” means the function within the MHP that is required to receive provider communications twenty-four hours a day, seven days a week regarding requests for MHP payment authorization of psychiatric inpatient hospital services for beneficiaries and authorizes payment for those services. This function may be assigned to a person, an identified staffing unit, a committee, or an organizational executive who may delegate the authorization functions.
NOTE

Authority cited: Section 14680, Welfare and Institutions Code. Reference: Sections 5777, 5778 and 14684, Welfare and Institutions Code.
HISTORY

1. New section filed 12-30-94 as an emergency; operative 1-1-95 (Register 94, No. 52). Notwithstanding Chapter 3.5 (commencing with Section 11340) of Part 1 of Division 3 of Title 2 of the Government Code, a Certificate of Compliance must be transmitted to OAL by June 30, 1995, pursuant to Section 7, Chapter 633, Statutes of 1994, or emergency language will be repealed by operation of law on the following day.
2. New section refiled 6-30-95 as an emergency; operative 7-1-95 (Register 95, No. 26). A Certificate of Compliance must be transmitted to OAL by 10-28-95 or emergency language will be repealed by operation of law on the following day.
3. New section continued 8-3-95 as an emergency pursuant to Chapter 305, Statutes of 1995, Section 24, stating that these emergency regulations remain in effect until July 1, 1996, or until the regulations are made permanent, whichever occurs first.
4. Certificate of Compliance as to 12-30-94 order transmitted to OAL 7-1-96; disapproved by OAL on 8-13-96. (Register 96, No. 33).
5. New section continued 7-15-96 as an emergency pursuant to Chapter 162, Statutes of 1996, Section 4440-103-0001, Provision 4, stating that these emergency regulations shall remain in effective until July 1, 1997, or until the regulations are made permanent, whichever occurs first.
6. Certificate of Compliance as to 12-30-94 order, including renumbering of former section 1717 to section 1718 and renumbering and amendment of former section 1716 to new section 1717, transmitted to OAL 5-30-97 and filed 7-1-97 (Register 97, No. 27).
§1718. Provider.
Note     •     History

“Provider” means a hospital, certified by the Department of Health Services to be a Medi-Cal provider, whether a Fee-for-Service/Medi-Cal or a Short-Doyle/Medi-Cal provider, which provides psychiatric inpatient hospital services to beneficiaries.
NOTE

Authority cited: Section 14680, Welfare and Institutions Code. Reference: Sections 5775, 5777, 5778 and 14684, Welfare and Institutions Code.
HISTORY

1. New section filed 12-30-94 as an emergency; operative 1-1-95 (Register 94, No. 52). Notwithstanding Chapter 3.5 (commencing with Section 11340) of Part 1 of Division 3 of Title 2 of the Government Code, a Certificate of Compliance must be transmitted to OAL by June 30, 1995, pursuant to Section 7, Chapter 633, Statutes of 1994, or emergency language will be repealed by operation of law on the following day.
2. New section refiled 6-30-95 as an emergency; operative 7-1-95 (Register 95, No. 26). A Certificate of Compliance must be transmitted to OAL by 10-28-95 or emergency language will be repealed by operation of law on the following day.
3. New section continued 8-3-95 as an emergency pursuant to Chapter 305, Statutes of 1995, Section 24, stating that these emergency regulations remain in effect until July 1, 1996, or until the regulations are made permanent, whichever occurs first.
4. Certificate of Compliance as to 12-30-94 order transmitted to OAL 7-1-96; disapproved by OAL on 8-13-96. (Register 96, No. 33).
5. New section continued 7-15-96 as an emergency pursuant to Chapter 162, Statutes of 1996, Section 4440-103-0001, Provision 4, stating that these emergency regulations shall remain in effective until July 1, 1997, or until the regulations are made permanent, whichever occurs first.
6. Certificate of Compliance as to 12-30-94 order, including renumbering of former section 1718 to section 1719 and renumbering and amendment of former section 1717 to new section 1718, transmitted to OAL 5-30-97 and filed 7-1-97 (Register 97, No. 27).
§1719. Psychiatric Inpatient Hospital Services.
Note     •     History

“Psychiatric Inpatient Hospital Services” means both acute psychiatric inpatient hospital services and administrative day services provided in a general acute psychiatric inpatient hospital, or a free-standing psychiatric hospital which are certified by Department of Health Services to be Medi-Cal providers or a psychiatric health facility that is licensed by the Department and certified by the Department of Health Services as a Medi-Cal provider of hospital services. A free-standing psychiatric hospital or psychiatric health facility that is larger than sixteen (16) beds may only be reimbursed for beneficiaries 65 years of age and over and for persons under 21 years of age, except if the patient was receiving such services prior to his/her twenty-first birthday. If he/she continues without interruption to require and receive such services, the eligibility for services continues to the date he/she no longer requires such services, or if earlier, his/her twenty-second birthday. These restrictions regarding services in free standing psychiatric hospitals and psychiatric health facilities shall cease to have effect if federal law changes and reimbursement are subsequently approved.
NOTE

Authority cited: Section 14680, Welfare and Institutions Code. Reference: Sections 5778, 14680 and 14684, Welfare and Institutions Code.
HISTORY

1. New section filed 12-30-94 as an emergency; operative 1-1-95 (Register 94, No. 52). Notwithstanding Chapter 3.5 (commencing with Section 11340) of Part 1 of Division 3 of Title 2 of the Government Code, a Certificate of Compliance must be transmitted to OAL by June 30, 1995, pursuant to Section 7, Chapter 633, Statutes of 1994, or emergency language will be repealed by operation of law on the following day.
2. New section refiled 6-30-95 as an emergency; operative 7-1-95 (Register 95, No. 26). A Certificate of Compliance must be transmitted to OAL by 10-28-95 or emergency language will be repealed by operation of law on the following day.
3. New section continued 8-3-95 as an emergency pursuant to Chapter 305, Statutes of 1995, Section 24, stating that these emergency regulations remain in effect until July 1, 1996, or until the regulations are made permanent, whichever occurs first.
4. Certificate of Compliance as to 12-30-94 order transmitted to OAL 7-1-96; disapproved by OAL on 8-13-96. (Register 96, No. 33).
5. New section continued 7-15-96 as an emergency pursuant to Chapter 162, Statutes of 1996, Section 4440-103-0001, Provision 4, stating that these emergency regulations shall remain in effective until July 1, 1997, or until the regulations are made permanent, whichever occurs first.
6. Certificate of Compliance as to 12-30-94 order, including repealer of former section 1719 and renumbering and amendment of former section 1718 to new section 1719, transmitted to OAL 5-30-97 and filed 7-1-97 (Register 97, No. 27).
§1720. Receipt or Date of Receipt.
Note     •     History

“Receipt” means the receipt or date of receipt of a Treatment Authorization Request or other document. The date of receipt shall be as indicated by a time stamp or fax time and date recorded on that document. In the absence of a date/time stamp made by the receiver, the postmark date shall be used as the date of receipt.
NOTE

Authority cited: Section 14680, Welfare and Institutions Code. Reference: Sections 5777, 5778 and 14684, Welfare and Institutions Code.
HISTORY

1. New section filed 12-30-94 as an emergency; operative 1-1-95 (Register 94, No. 52). Notwithstanding Chapter 3.5 (commencing with Section 11340) of Part 1 of Division 3 of Title 2 of the Government Code, a Certificate of Compliance must be transmitted to OAL by June 30, 1995, pursuant to Section 7, Chapter 633, Statutes of 1994, or emergency language will be repealed by operation of law on the following day.
2. New section refiled 6-30-95 as an emergency; operative 7-1-95 (Register 95, No. 26). A Certificate of Compliance must be transmitted to OAL by 10-28-95 or emergency language will be repealed by operation of law on the following day.
3. New section continued 8-3-95 as an emergency pursuant to Chapter 305, Statutes of 1995, Section 24, stating that these emergency regulations remain in effect until July 1, 1996, or until the regulations are made permanent, whichever occurs first.
4. Certificate of Compliance as to 12-30-94 order transmitted to OAL 7-1-96; disapproved by OAL on 8-13-96. (Register 96, No. 33).
5. New section continued 7-15-96 as an emergency pursuant to Chapter 162, Statutes of 1996, Section 4440-103-0001, Provision 4, stating that these emergency regulations shall remain in effective until July 1, 1997, or until the regulations are made permanent, whichever occurs first.
6. Certificate of Compliance as to 12-30-94 order, including repealer and new section, transmitted to OAL 5-30-97 and filed 7-1-97 (Register 97, No. 27).
§1721. Routine Services.
Note     •     History

“Routine Services” means bed, board and all medical, nursing and other support services usually provided to an inpatient by a psychiatric inpatient hospital. Routine services do not include hospital-based ancillary services or physician or psychologist services.
NOTE

Authority cited: Section 14680, Welfare and Institutions Code. Reference: Sections 5777, 5778 and 14684, Welfare and Institutions Code.
HISTORY

1. New section filed 12-30-94 as an emergency; operative 1-1-95 (Register 94, No. 52). Notwithstanding Chapter 3.5 (commencing with Section 11340) of Part 1 of Division 3 of Title 2 of the Government Code, a Certificate of Compliance must be transmitted to OAL by June 30, 1995, pursuant to Section 7, Chapter 633, Statutes of 1994, or emergency language will be repealed by operation of law on the following day.
2. New section refiled 6-30-95 as an emergency; operative 7-1-95 (Register 95, No. 26). A Certificate of Compliance must be transmitted to OAL by 10-28-95 or emergency language will be repealed by operation of law on the following day.
3. New section continued 8-3-95 as an emergency pursuant to Chapter 305, Statutes of 1995, Section 24, stating that these emergency regulations remain in effect until July 1, 1996, or until the regulations are made permanent, whichever occurs first.
4. Certificate of Compliance as to 12-30-94 order transmitted to OAL 7-1-96; disapproved by OAL on 8-13-96. (Register 96, No. 33).
5. New section continued 7-15-96 as an emergency pursuant to Chapter 162, Statutes of 1996, Section 4440-103-0001, Provision 4, stating that these emergency regulations shall remain in effective until July 1, 1997, or until the regulations are made permanent, whichever occurs first.
6. Certificate of Compliance as to 12-30-94 order, including renumbering of former section 1721 to section 1722 and new section 1721, transmitted to OAL 5-30-97 and filed 7-1-97 (Register 97, No. 27).
§1722. Short-Doyle/Medi-Cal Provider.
Note     •     History

“Short-Doyle/Medi-Cal Provider” means a provider that submits claims for Medi-Cal psychiatric inpatient hospital services through the Department to the Department of Health Services and not to the fiscal intermediary.
NOTE

Authority cited: Section 14680, Welfare and Institutions Code. Reference: Sections 5777, 5778 and 14684, Welfare and Institutions Code.
HISTORY

1. New section filed 12-30-94 as an emergency; operative 1-1-95 (Register 94, No. 52). Notwithstanding Chapter 3.5 (commencing with Section 11340) of Part 1 of Division 3 of Title 2 of the Government Code, a Certificate of Compliance must be transmitted to OAL by June 30, 1995, pursuant to Section 7, Chapter 633, Statutes of 1994, or emergency language will be repealed by operation of law on the following day.
2. New section refiled 6-30-95 as an emergency; operative 7-1-95 (Register 95, No. 26). A Certificate of Compliance must be transmitted to OAL by 10-28-95 or emergency language will be repealed by operation of law on the following day.
3. New section continued 8-3-95 as an emergency pursuant to Chapter 305, Statutes of 1995, Section 24, stating that these emergency regulations remain in effect until July 1, 1996, or until the regulations are made permanent, whichever occurs first.
4. Certificate of Compliance as to 12-30-94 order transmitted to OAL 7-1-96; disapproved by OAL on 8-13-96. (Register 96, No. 33).
5. New section continued 7-15-96 as an emergency pursuant to Chapter 162, Statutes of 1996, Section 4440-103-0001, Provision 4, stating that these emergency regulations shall remain in effective until July 1, 1997, or until the regulations are made permanent, whichever occurs first.
6. Certificate of Compliance as to 12-30-94 order, including repealer of former section 1722 and renumbering and amendment of former section 1721 to new section 1722, transmitted to OAL 5-30-97 and filed 7-1-97 (Register 97, No. 27).
§1723. Submit or Date of Submission.
History

“Submit” or “date of submission” means to transmit a document by mail, fax, or hand delivery. The date of submission shall be as indicated by the postmark date, fax date, or the date of hand delivery as shown by a time stamp on the document. In the absence of a date/time stamp by the receiver, the postmark date shall be used as the date of submission.
HISTORY

1. New section filed 7-1-97; operative 7-1-97 (Register 97, No. 27).
§1724. Traditional Hospital Provider.
Note     •     History

“Traditional Hospital Provider” means a provider that, according to the latest historical Medi-Cal payment data collected by the Department of Health Services, provides services to beneficiaries of an MHP that account for five (5) percent or twenty thousand dollars ($20,000), whichever is more, of the total fiscal year Medi-Cal psychiatric inpatient hospital service payments made for beneficiaries of an MHP.
NOTE

Authority cited: Section 14680, Welfare and Institutions Code. Reference: Sections 5777, 5778, 14680 and 14684, Welfare and Institutions Code.
HISTORY

1. New section filed 12-30-94 as an emergency; operative 1-1-95 (Register 94, No. 52). Notwithstanding Chapter 3.5 (commencing with Section 11340) of Part 1 of Division 3 of Title 2 of the Government Code, a Certificate of Compliance must be transmitted to OAL by June 30, 1995, pursuant to Section 7, Chapter 633, Statutes of 1994, or emergency language will be repealed by operation of law on the following day.
2. New section refiled 6-30-95 as an emergency; operative 7-1-95 (Register 95, No. 26). A Certificate of Compliance must be transmitted to OAL by 10-28-95 or emergency language will be repealed by operation of law on the following day.
3. New section continued 8-3-95 as an emergency pursuant to Chapter 305, Statutes of 1995, Section 24, stating that these emergency regulations remain in effect until July 1, 1996, or until the regulations are made permanent, whichever occurs first.
4. Certificate of Compliance as to 12-30-94 order transmitted to OAL 7-1-96; disapproved by OAL on 8-13-96. (Register 96, No. 33).
5. New section continued 7-15-96 as an emergency pursuant to Chapter 162, Statutes of 1996, Section 4440-103-0001, Provision 4, stating that these emergency regulations shall remain in effective until July 1, 1997, or until the regulations are made permanent, whichever occurs first.
6. Certificate of Compliance as to 12-30-94 order, including renumbering of former section 1724 to section 1725 and new section 1724, transmitted to OAL 5-30-97 and filed 7-1-97 (Register 97, No. 27).
Article 2. Administration
§1725. Applicability of Laws and Regulations.
Note     •     History

(a) Each MHP shall comply with all applicable Federal regulations and guidelines and all applicable State Medi-Cal regulations in Title 22 of the California Code of Regulations, except as provided in Section 5776 of the Welfare and Institutions Code, for MHP payment authorization and funding of psychiatric inpatient hospital services.
(b) Except for Short-Doyle/Medi-Cal hospital services, this chapter shall not apply to a beneficiary enrolled in a Medi-Cal Managed Care Plan which includes the provision of Fee-for-Service/Medi-Cal (FFS/MC) psychiatric inpatient hospital services to beneficiaries.
(c) Unless specifically allowed by this chapter, provisions of the contract between the MHP and the Provider shall not be in conflict with this chapter.
NOTE

Authority cited: Section 14680, Welfare and Institutions Code. Reference: Sections 5775, 5776, 5777, 5778 and 14684, Welfare and Institutions Code.
HISTORY

1. New Article 2 (sections 1724-1730) and section filed 12-30-94 as an emergency; operative 1-1-95 (Register 94, No. 52). Notwithstanding Chapter 3.5 (commencing with Section 11340) of Part 1 of Division 3 of Title 2 of the Government Code, a Certificate of Compliance must be transmitted to OAL by June 30, 1995, pursuant to Section 7, Chapter 633, Statutes of 1994, or emergency language will be repealed by operation of law on the following day.
2. New article 2 and section refiled 6-30-95 as an emergency; operative 7-1-95 (Register 95, No. 26). A Certificate of Compliance must be transmitted to OAL by 10-28-95 or emergency language will be repealed by operation of law on the following day.
3. New Article  (sections 1724  through 1730) and section continued 8-3-95 as an emergency pursuant to Chapter 305, Statutes of 1995, Section 24, stating that these emergency regulations remain in effect until July 1, 1996, or until the regulations are made permanent, whichever occurs first.
4. Certificate of Compliance as to 12-30-94 order transmitted to OAL 7-1-96; disapproved by OAL on 8-13-96. (Register 96, No. 33).
5. New Article 2  (sections  1724 through 1730) and section continued 7-15-96 as an emergency pursuant to Chapter 162, Statutes of 1996, Section 4440-103-0001, Provision 4, stating that these emergency regulations shall remain in effective until July 1, 1997, or until the regulations are made permanent, whichever occurs first.
6. Certificate of Compliance as to 12-30-94 order, including renumbering of former section 1725 to section 1726 and renumbering and amendment of former section 1724 to new section 1725, transmitted to OAL 5-30-97 and filed 7-1-97 (Register 97, No. 27).
§1726. Designation of MHPs.
Note     •     History

(a) A county that wishes to be designated as the MHP for the beneficiaries of that county shall communicate its intent in a resolution from the county board of supervisors which shall be transmitted to the Department. The resolution shall state:
(1) The county assumes responsibility for Medi-Cal authorization and payment for all psychiatric inpatient hospital services for beneficiaries of that MHP.
(2) The county recognizes and agrees that the allocation of State funds pursuant to Section 5778 Welfare and Institutions Code is payment in full from the State for the services specified in (a)(1) except as described in Section 1750 of this chapter.
(3) The county shall utilize a public planning process that involves various constituency groups to assist in formulating policies and procedures for the operation of the MHP insofar as these policies and procedures are not specifically prescribed in law and regulation.
(4) The county shall submit to the Department an Implementation Plan for Psychiatric Inpatient Hospital Services pursuant to Section 1727 of this chapter.
(b) If a county declines to be the MHP for the beneficiaries of that county, other qualifying entities including other counties acting jointly, or governmental, and non-governmental entities, may be selected as the MHP by the Department pursuant to Section 5775 Welfare and Institutions Code. The entity selected shall meet the same duties and obligations required of a county in (a)(1)-(4).
NOTE

Authority cited: Section 14680, Welfare and Institutions Code. Reference: Sections 5775, 5777, 5778 and 14684, Welfare and Institutions Code.
HISTORY

1. New section filed 12-30-94 as an emergency; operative 1-1-95 (Register 94, No. 52). Notwithstanding Chapter 3.5 (commencing with Section 11340) of Part 1 of Division 3 of Title 2 of the Government Code, a Certificate of Compliance must be transmitted to OAL by June 30, 1995, pursuant to Section 7, Chapter 633, Statutes of 1994, or emergency language will be repealed by operation of law on the following day.
2. New section refiled 6-30-95 as an emergency; operative 7-1-95 (Register 95, No. 26). A Certificate of Compliance must be transmitted to OAL by 10-28-95 or emergency language will be repealed by operation of law on the following day.
3. New section continued 8-3-95 as an emergency pursuant to Chapter 305, Statutes of 1995, Section 24, stating that these emergency regulations remain in effect until July 1, 1996, or until the regulations are made permanent, whichever occurs first.
4. Certificate of Compliance as to 12-30-94 order transmitted to OAL 7-1-96; disapproved by OAL on 8-13-96. (Register 96, No. 33).
5. New section continued 7-15-96 as an emergency pursuant to Chapter 162, Statutes of 1996, Section 4440-103-0001, Provision 4, stating that these emergency regulations shall remain in effective until July 1, 1997, or until the regulations are made permanent, whichever occurs first.
6. Certificate of Compliance as to 12-30-94 order, including renumbering of former section 1726 to section 1727 and renumbering and amendment of former section 1725 to new section 1726, transmitted to OAL 5-30-97 and filed 7-1-97 (Register 97, No. 27).
§1727. Implementation Plan for Psychiatric Inpatient Hospital Services.
Note     •     History

(a) An entity applying to become the MHP for beneficiaries who are residents of a specific county, including counties which have submitted a resolution, shall submit within sixty (60) calendar days prior to implementation an Implementation Plan for Psychiatric Inpatient Hospital Services to the Department that includes:
(1) Procedures for MHP payment authorization of psychiatric inpatient hospital services by the MHP including the point of authorization.
(2) A process for:
(A) Screening, referral and coordination with other necessary services, including, but not limited to, educational, health, housing and vocational rehabilitation services.
(B) Outreach efforts for the purpose of providing information regarding access under the MHP to beneficiaries and providers.
(3) The processes for problem resolution as required in Article 5 of this chapter.
(4) A description of the provider selection process, including provider selection criteria consistent with Section 1729. The MHP shall include a Request for Exemption from Contracting in accordance with Section 1730(c) of this chapter if the MHP decides not to contract with a Traditional Hospital Provider or DSH.
(5) A description of the provision, to the extent feasible, of culturally competent and age-appropriate services to beneficiaries.
(6) A description of a process for planned admissions in non-contract hospitals if such an admission is determined to be necessary by the MHP.
(b) The Department shall review and either approve, disapprove, or request additional information for each Implementation Plan for Psychiatric Inpatient Hospital Services. Notices of approval, disapproval and requests for additional information shall be forwarded to applicant MHP entities within sixty (60) calendar days of the receipt of the Implementation Plan. Upon approval by the Department, the Implementation Plan becomes a binding contract between the Department and the MHP. The contract term shall be one year with automatic renewal for an additional one year period, provided the MHP continues to meet its obligations under this chapter.
(c) An MHP shall notify the Department in writing prior to implementing changes in the policies, processes or procedures that modify its current Implementation Plan. If the changes meet the minimum standards in this chapter, the changes shall be approved by the Department. The Department shall provide a Notice of Approval or a Notice of Disapproval, including the reasons for disapproval, to the MHP within thirty (30) days after the receipt of the notice from the MHP. The MHP may implement the proposed changes thirty (30) calendar days from submission to the Department if the Department fails to provide a Notice of Approval or Disapproval.
NOTE

Authority cited: Section 14680, Welfare and Institutions Code. Reference: Sections 5775, 5777, 5778, 14683 and 14684, Welfare and Institutions Code.
HISTORY

1. New section filed 12-30-94 as an emergency; operative 1-1-95 (Register 94, No. 52). Notwithstanding Chapter 3.5 (commencing with Section 11340) of Part 1 of Division 3 of Title 2 of the Government Code, a Certificate of Compliance must be transmitted to OAL by June 30, 1995, pursuant to Section 7, Chapter 633, Statutes of 1994, or emergency language will be repealed by operation of law on the following day.
2. New section refiled 6-30-95 as an emergency; operative 7-1-95 (Register 95, No. 26). A Certificate of Compliance must be transmitted to OAL by 10-28-95 or emergency language will be repealed by operation of law on the following day.
3. New section continued 8-3-95 as an emergency pursuant to Chapter 305, Statutes of 1995, Section 24, stating that these emergency regulations remain in effect until July 1, 1996, or until the regulations are made permanent, whichever occurs first.
4. Certificate of Compliance as to 12-30-94 order transmitted to OAL 7-1-96; disapproved by OAL on 8-13-96. (Register 96, No. 33).
5. New section continued 7-15-96 as an emergency pursuant to Chapter 162, Statutes of 1996, Section 4440-103-0001, Provision 4, stating that these emergency regulations shall remain in effective until July 1, 1997, or until the regulations are made permanent, whichever occurs first.
6. Certificate of Compliance as to 12-30-94 order, including renumbering of former section 1727 to section 1728 and renumbering and amendment of former section 1726 to new section 1727, transmitted to OAL 5-30-97 and filed 7-1-97 (Register 97, No. 27).
§1728. Scope of Reimbursable Services.
Note     •     History

(a) An MHP shall be responsible for the MHP payment authorization for psychiatric inpatient hospital services as described in (b) and (c).
(b) Psychiatric Inpatient Hospital Services for a Fee-for-Service/Medi-Cal provider shall include:
(1) Routine services, and
(2) All hospital-based ancillary services.
(c) Psychiatric Inpatient Hospital Services for a Short-Doyle/Medi-Cal provider shall include:
(1) Routine services,
(2) All hospital-based ancillary services, and
(3) Services of a physician or a psychologist provided in the hospital to inpatients.
(d) An MHP shall not be responsible for the payment authorization for the following services:
(1) Out-of-state psychiatric inpatient hospital services except when it is customary practice for a California beneficiary to receive medical services in a border community outside the State.
(2) Psychiatric inpatient hospital services provided by a hospital operated by the Department or the State Department of Developmental Services.
(3) Psychiatric inpatient hospital services, except administrative day services which follow any approved acute inpatient psychiatric hospital service day, provided to a beneficiary eligible for Medicare (Part A) except as specified in (4) below, prior to the exhaustion of the beneficiary's Medicare (Part A) benefits.
(4) Psychiatric inpatient hospital services, including administrative day services, provided to beneficiaries who are also eligible for Medi-Care (Part A), in hospitals reimbursed through Medicare (Part A) based on Diagnostic Related Groups (DRGs), prior to the exhaustion of the beneficiary's Medicare (Part A) benefits when the DRG reimbursement covers administrative day services according to Medicare (Part A).
(5) Psychiatric inpatient hospital services provided to persons enrolled in a Medi-Cal Managed Care Plan that includes the provision of Fee-for-Service/Medi-Cal psychiatric inpatient hospital services.
(6) Acute psychiatric inpatient hospital services received by a beneficiary when services are not billed to an allowable psychiatric accommodation code.
(e) An MHP shall authorize payment for psychiatric inpatient hospital services provided to a beneficiary eligible for Medicare (Part A) if the payment being authorized is for administrative day services following any approved acute psychiatric inpatient hospital services day, and there is compliance with Section 1777(j)(5).
NOTE

Authority cited: Section 14680, Welfare and Institutions Code. Reference: Sections 5777, 5778 and 14684, Welfare and Institutions Code.
HISTORY

1. New section filed 12-30-94 as an emergency; operative 1-1-95 (Register 94, No. 52). Notwithstanding Chapter 3.5 (commencing with Section 11340) of Part 1 of Division 3 of Title 2 of the Government Code, a Certificate of Compliance must be transmitted to OAL by June 30, 1995, pursuant to Section 7, Chapter 633, Statutes of 1994, or emergency language will be repealed by operation of law on the following day.
2. New section refiled 6-30-95 as an emergency; operative 7-1-95 (Register 95, No. 26). A Certificate of Compliance must be transmitted to OAL by 10-28-95 or emergency language will be repealed by operation of law on the following day.
3. New section continued 8-3-95 as an emergency pursuant to Chapter 305, Statutes of 1995, Section 24, stating that these emergency regulations remain in effect until July 1, 1996, or until the regulations are made permanent, whichever occurs first.
4. Certificate of Compliance as to 12-30-94 order transmitted to OAL 7-1-96; disapproved by OAL on 8-13-96. (Register 96, No. 33).
5. New section continued 7-15-96 as an emergency pursuant to Chapter 162, Statutes of 1996, Section 4440-103-0001, Provision 4, stating that these emergency regulations shall remain in effective until July 1, 1997, or until the regulations are made permanent, whichever occurs first.
6. Certificate of Compliance as to 12-30-94 order, including renumbering of former section 1728 to section 1729 and renumbering and amendment of former section 1727 to new section 1728, transmitted to OAL 5-30-97 and filed 7-1-97 (Register 97, No. 27).
§1729. Provider Selection Criteria.
Note     •     History

An MHP shall establish a provider selection process which meets the following criteria:
(a) The MHP shall require that each provider:
(1) Comply with all applicable Federal Medicaid laws, regulations and guidelines and all applicable State statutes and regulations.
(2) Sign a provider agreement with the Department of Health Services.
(3) Provide psychiatric inpatient hospital services, within its scope of licensure, to all beneficiaries who are referred by the MHP, unless compelling clinical circumstances exist that contraindicate admission, or the MHP negotiates a different arrangement with the provider.
(4) Refer beneficiaries for other services when necessary.
(5) Not refuse an admission solely on the basis of age, sex, race, religion, physical or mental disability, or national origin.
(b) In addition to the specified conditions in (a), an MHP may consider but is not limited to any or all of the following in selecting providers:
(1) History of Medi-Cal certification, licensure and accreditation.
(2) Circumstances and outcomes of any current or previous litigation against the provider.
(3) The geographical location(s) that would maximize beneficiary participation.
(4) Ability of the provider to:
(A) Offer services at competitive rates.
(B) Demonstrate positive outcomes and cost effectiveness.
(C) Address the needs of beneficiaries based on factors including age, language, culture, physical disability, and specified clinical interventions.
(D) Serve beneficiaries with severe mental illness and serious emotional disturbances.
(E) Meet the quality improvement, authorization, clinical and administrative requirements of the MHP.
(F) Work with beneficiaries, their families and other providers in a collaborative and supportive manner.
NOTE

Authority cited: Section 14680, Welfare and Institutions Code. Reference: Sections 5777, 5778 and 14684, Welfare and Institutions Code.
HISTORY

1. New section filed 12-30-94 as an emergency; operative 1-1-95 (Register 94, No. 52). Notwithstanding Chapter 3.5 (commencing with Section 11340) of Part 1 of Division 3 of Title 2 of the Government Code, a Certificate of Compliance must be transmitted to OAL by June 30, 1995, pursuant to Section 7, Chapter 633, Statutes of 1994, or emergency language will be repealed by operation of law on the following day.
2. New section refiled 6-30-95 as an emergency; operative 7-1-95 (Register 95, No. 26). A Certificate of Compliance must be transmitted to OAL by 10-28-95 or emergency language will be repealed by operation of law on the following day.
3. New section continued 8-3-95 as an emergency pursuant to Chapter 305, Statutes of 1995, Section 24, stating that these emergency regulations remain in effect until July 1, 1996, or until the regulations are made permanent, whichever occurs first.
4. Certificate of Compliance as to 12-30-94 order transmitted to OAL 7-1-96; disapproved by OAL on 8-13-96. (Register 96, No. 33).
5. New section continued 7-15-96 as an emergency pursuant to Chapter 162, Statutes of 1996, Section 4440-103-0001, Provision 4, stating that these emergency regulations shall remain in effective until July 1, 1997, or until the regulations are made permanent, whichever occurs first.
6. Certificate of Compliance as to 12-30-94 order, including renumbering of former section 1729 to section 1730 and renumbering and amendment of  former section 1728 to new section 1729, transmitted to OAL 5-30-97 and filed 7-1-97 (Register 97, No. 27).
§1730. Contracting for Service Availability.
Note     •     History

(a) An MHP shall contract with DSH and Traditional Hospital Providers when:
(1) The DSH or Traditional Provider meets the provider selection criteria described in the MHP's Implementation Plan as required by Section 1727(a)(4).
(2) The DSH is located:
(A) In the same county as the MHP, or
(B) In a different county than the MHP and according to the latest historical Medi-Cal paid claims data, the DSH provides services to beneficiaries of the MHP that account for five (5) percent or twenty thousand dollars ($20,000), whichever is more, of the total fiscal year Fee-For-Service/Medi-Cal psychiatric inpatient hospital service payments for beneficiaries of the MHP.
(b) Prior to the beginning of each state fiscal year, the Department shall notify all MHPs of the DSH and Traditional Hospital Providers for that fiscal year.
(c) If an MHP determines not to contract with a DSH or Traditional Hospital Provider, it shall submit a Request for Exemption from Contracting to the Department with its Implementation Plan for Psychiatric Inpatient Hospital Services. The MHP shall submit Requests for Exemption initiated after the submission of the Implementation Plan to the Department as a separate submission. The Request for Exemption from Contracting shall address the projected effect on beneficiaries. At a minimum, the Request for Exemption from Contracting shall include:
(1) The name of the hospital for which the Request for Exemption from Contracting is requested.
(2) An analysis of the most recently available data from the Office of Statewide Health Planning and Development (OSHPD) on the availability, within an accessible geographic area, of hospital beds for psychiatric inpatient hospital services with and without a contract. Other data may be substituted if OSHPD data is not available or if equally reliable data is more comprehensive.
(3) The estimated impact on maximum and average travel time and distances for beneficiaries to obtain psychiatric inpatient hospital services, from providers either with or without a contract.
(4) An MHP shall notify the DSH or Traditional Hospital Provider of the Request for Exemption from Contracting at the same time that the Request for Exemption is sent to the Department.
(5) The Department shall approve or deny in writing the MHP's Request for Exemption from Contracting within thirty (30) calendar days of its receipt and shall notify both the MHP and the DSH or Traditional Hospital Provider of its decision. The Department shall deny any Request for Exemption from Contracting when failure to contract is likely to result in hardship to beneficiaries as measured by local community standards.
(d) At a minimum, a contract between an MHP and a provider of psychiatric inpatient hospital services shall meet federal contracting requirements as provided in 42 CFR, Section 434.6 and shall include the following provisions:
(1) Treatment requirements as a condition for reimbursement for psychiatric inpatient hospital services assure which ensure beneficiaries will receive the same level of services as provided to all other patients served.
(2) Assurances that beneficiaries will not be discriminated against in any manner, including admission practices, placement in special wings or rooms, or provisions of special or separate meals.
(3) Specifics of how the provider shall make records available for authorized review for fiscal audits, program compliance and beneficiary complaints.
(4) Language specifying that the per diem rate included in the contract is considered to be payment in full, subject to third party liability and patient share of costs, for psychiatric inpatient hospital services to a beneficiary.
(5) Language specifying that the rate structure in the contract includes all services defined as psychiatric inpatient hospital services in this chapter and that the rate structure does not include non-hospital based physician or psychologist services rendered to a beneficiary covered under the contract unless the provider is a Short-Doyle/Medi-Cal Provider.
(6) Requirements that a provider adhere to Title XIX of the Social Security Act, 42 USC and conform to all applicable Federal and State statutes and regulations.
(e) No provision of a contract shall be construed to replace or conflict with the duties of county patients' rights advocates as described in Welfare and Institutions Code Section 5520.
(f) A formal contract between an MHP and a psychiatric inpatient hospital is not required when the MHP owns or operates the hospital.
(g) By October 1 of each year, an MHP shall submit to the Department a list of all hospitals with which an MHP has current contracts.
NOTE

Authority cited: Section 14680, Welfare and Institutions Code. Reference: Sections 5777, 5778 and 14684, Welfare and Institutions Code.
HISTORY

1. New section filed 12-30-94 as an emergency; operative 1-1-95 (Register 94, No. 52). Notwithstanding Chapter 3.5 (commencing with Section 11340) of Part 1 of Division 3 of Title 2 of the Government Code, a Certificate of Compliance must be transmitted to OAL by June 30, 1995, pursuant to Section 7, Chapter 633, Statutes of 1994, or emergency language will be repealed by operation of law on the following day.
2. New section refiled 6-30-95 as an emergency; operative 7-1-95 (Register 95, No. 26). A Certificate of Compliance must be transmitted to OAL by 10-28-95 or emergency language will be repealed by operation of law on the following day.
3. New section continued 8-3-95 as an emergency pursuant to Chapter 305, Statutes of 1995, Section 24, stating that these emergency regulations remain in effect until July 1, 1996, or until the regulations are made permanent, whichever occurs first.
4. Certificate of Compliance as to 12-30-94 order transmitted to OAL 7-1-96; disapproved by OAL on 8-13-96. (Register 96, No. 33).
5. New section continued 7-15-96 as an emergency pursuant to Chapter 162, Statutes of 1996, Section 4440-103-0001, Provision 4, stating that these emergency regulations shall remain in effective until July 1, 1997, or until the regulations are made permanent, whichever occurs first.
6. Certificate of Compliance as to 12-30-94 order, including renumbering of former section 1730 to section 1731 and renumbering and amendment of former section 1729 to new section 1730, transmitted to OAL 5-30-97 and filed 7-1-97 (Register 97, No. 27).
§1731. State Oversight.
Note     •     History

(a) The Department shall provide ongoing oversight to an MHP through site visits and monitoring of data reports from MHPs and claims processing. In addition, the Department shall:
(1) Perform reviews of program and fiscal operations of each MHP to verify that medically necessary services are provided in compliance with this chapter and the provisions of the Department's Federal Waiver Request for Medi-Cal Psychiatric Inpatient Hospital Services.
(2) Perform immediate on-site reviews of MHP program operations whenever there is a threat to the health or safety of beneficiaries.
(3) Monitor compliance with problem resolution process requirements contained in Article 5 of this chapter and the MHP's Implementation Plan for Psychiatric Inpatient Hospital Services.
(4) Monitor provider contracts to ensure that the MHP enters into necessary contracts with DSH and Traditional Hospital Providers.
(5) Monitor denials of MHP authorizations for payment.
(b) If the Department activities in (a) result in a determination that an MHP is out of compliance with State or Federal laws and regulations, the Department shall provide the MHP with a written Notice of Noncompliance. The Notice of Noncompliance shall include:
(1) A description of the violation.
(2) A description of any corrective action required by the Department and time limits for compliance.
(c) In the event that the agreement with an MHP is terminated for any cause, the remaining balance of State funds which were transferred to the MHP for psychiatric inpatient hospital services shall be returned to the Department. The State has a right to examine all records of an MHP to determine the balance of funds to be returned to the Department.
NOTE

Authority cited: Section 14680, Welfare and Institutions Code. Reference: Sections 5777, 5778 and 14684, Welfare and Institutions Code.
HISTORY

1. New section filed 12-30-94 as an emergency; operative 1-1-95 (Register 94, No. 52). Notwithstanding Chapter 3.5 (commencing with Section 11340) of Part 1 of Division 3 of Title 2 of the Government Code, a Certificate of Compliance must be transmitted to OAL by June 30, 1995, pursuant to Section 7, Chapter 633, Statutes of 1994, or emergency language will be repealed by operation of law on the following day.
2. New section refiled 6-30-95 as an emergency; operative 7-1-95 (Register 95, No. 26). A Certificate of Compliance must be transmitted to OAL by 10-28-95 or emergency language will be repealed by operation of law on the following day.
3. New section continued 8-3-95 as an emergency pursuant to Chapter 305, Statutes of 1995, Section 24, stating that these emergency regulations remain in effect until July 1, 1996, or until the regulations are made permanent, whichever occurs first.
4. Certificate of Compliance as to 12-30-94 order transmitted to OAL 7-1-96; disapproved by OAL on 8-13-96. (Register 96, No. 33).
5. New section continued 7-15-96 as an emergency pursuant to Chapter 162, Statutes of 1996, Section 4440-103-0001, Provision 4, stating that these emergency regulations shall remain in effective until July 1, 1997, or until the regulations are made permanent, whichever occurs first.
6. Certificate of Compliance as to 12-30-94 order, including renumbering and amendment of former section 1730 to new section 1731, transmitted to OAL 5-30-97 and filed 7-1-97 (Register 97, No. 27).
Article 3. Fiscal Provisions
§1739. Allowable Psychiatric Accommodation Code.
Note     •     History

“Allowable Psychiatric Accommodation Code” means a reimbursable hospital billing code that may be used by Fee-For-Service/Medi-Cal providers to claim payment for psychiatric inpatient hospital services provided to beneficiaries. The allowable codes are:
097 Psychiatric Acute (Adolescent and Child)
098 Administrative Days
114 Room and Board, Private, Psychiatric
124 Room and Board, Semi-Private 2 Bed, Psychiatric
134 Room and Board, Semi-Private 3 or 4 Bed, Psychiatric
154 Room and Board - Ward (Medical or General), Psychiatric
204 Intensive Care, Psychiatric
NOTE

Authority cited: Section 14680, Welfare and Institutions Code. Reference: Sections 5777, 5778 and 14684, Welfare and Institutions Code.
HISTORY

1. Certificate of Compliance as to 12-30-94 order, including renumbering of former section 1740 to new section 1739, transmitted to OAL 5-30-97 and filed 7-1-97 (Register 97, No. 27).
§1740. Border Communities.
Note     •     History

“Border Communities” mean those communities located outside the State of California which are included in California's rate regions because of their proximity and utilization by Medi-Cal beneficiaries. Specific border communities are set forth in Section 1752(i).
NOTE

Authority cited: Section 14680, Welfare and Institutions Code. Reference: Sections 5777, 5778 and 14684, Welfare and Institutions Code.
HISTORY

1. New Article 3 (sections 1740-1755) and section filed 12-30-94 as an emergency; operative 1-1-95 (Register 94, No. 52). Notwithstanding Chapter 3.5 (commencing with Section 11340) of Part 1 of Division 3 of Title 2 of the Government Code, a Certificate of Compliance must be transmitted to OAL by June 30, 1995, pursuant to Section 7, Chapter 633, Statutes of 1994, or emergency language will be repealed by operation of law on the following day.
2. New article 3 and section refiled 6-30-95 as an emergency; operative 7-1-95 (Register 95, No. 26). A Certificate of Compliance must be transmitted to OAL by 10-28-95 or emergency language will be repealed by operation of law on the following day.
3. New Article 3  (sections 1740 through 1755) and section continued 8-3-95 as an emergency pursuant to Chapter 305, Statutes of 1995, Section 24, stating that these emergency regulations remain in effect until July 1, 1996, or until the regulations are made permanent, whichever occurs first.
4. Certificate of Compliance as to 12-30-94 order transmitted to OAL 7-1-96; disapproved by OAL on 8-13-96. (Register 96, No. 33).
5. New Article  (sections 1740 through 1755) and section continued 7-15-96 as an emergency pursuant to Chapter 162, Statutes of 1996, Section 4440-103-0001, Provision 4, stating that these emergency regulations shall remain in effective until July 1, 1997, or until the regulations are made permanent, whichever occurs first.
6. Certificate of Compliance as to 12-30-94 order, including renumbering of former section 1740 to new section 1739 and new section 1740, transmitted to OAL 5-30-97 and filed 7-1-97 (Register 97, No. 27).
§1741. Located.
Note     •     History

“Located” means the actual physical location of a psychiatric inpatient hospital, and unless otherwise specified, refers to the specific county within the geographical boundaries of which the hospital exists.
NOTE

Authority cited: Section 14680, Welfare and Institutions Code. Reference: Sections 5777, 5778 and 14684, Welfare and Institutions Code.
HISTORY

1. New section filed 12-30-94 as an emergency; operative 1-1-95 (Register 94, No. 52). Notwithstanding Chapter 3.5 (commencing with Section 11340) of Part 1 of Division 3 of Title 2 of the Government Code, a Certificate of Compliance must be transmitted to OAL by June 30, 1995, pursuant to Section 7, Chapter 633, Statutes of 1994, or emergency language will be repealed by operation of law on the following day.
2. New section refiled 6-30-95 as an emergency; operative 7-1-95 (Register 95, No. 26). A Certificate of Compliance must be transmitted to OAL by 10-28-95 or emergency language will be repealed by operation of law on the following day.
3. New section continued 8-3-95 as an emergency pursuant to Chapter 305, Statutes of 1995, Section 24, stating that these emergency regulations remain in effect until July 1, 1996, or until the regulations are made permanent, whichever occurs first.
4. Certificate of Compliance as to 12-30-94 order transmitted to OAL 7-1-96; disapproved by OAL on 8-13-96. (Register 96, No. 33).
5. New section continued 7-15-96 as an emergency pursuant to Chapter 162, Statutes of 1996, Section 4440-103-0001, Provision 4, stating that these emergency regulations shall remain in effective until July 1, 1997, or until the regulations are made permanent, whichever occurs first.
6. Certificate of Compliance as to 12-30-94 order, including repealer of former section 1741 and renumbering and amendment of former section 1743 to new section 1741, transmitted to OAL 5-30-97 and filed 7-1-97 (Register 97, No. 27).
§1742. Per Diem Rate.
Note     •     History

“Per Diem Rate” means a daily rate paid for reimbursable psychiatric inpatient hospital services for a beneficiary for the day of admission and each day that services are provided excluding the day of discharge.
NOTE

Authority cited: Section 14680, Welfare and Institutions Code. Reference: Sections 5777, 5778 and 14684, Welfare and Institutions Code.
HISTORY

1. New section filed 12-30-94 as an emergency; operative 1-1-95 (Register 94, No. 52). Notwithstanding Chapter 3.5 (commencing with Section 11340) of Part 1 of Division 3 of Title 2 of the Government Code, a Certificate of Compliance must be transmitted to OAL by June 30, 1995, pursuant to Section 7, Chapter 633, Statutes of 1994, or emergency language will be repealed by operation of law on the following day.
2. New section refiled 6-30-95 as an emergency; operative 7-1-95 (Register 95, No. 26). A Certificate of Compliance must be transmitted to OAL by 10-28-95 or emergency language will be repealed by operation of law on the following day.
3. New section continued 8-3-95 as an emergency pursuant to Chapter 305, Statutes of 1995, Section 24, stating that these emergency regulations remain in effect until July 1, 1996, or until the regulations are made permanent, whichever occurs first.
4. Certificate of Compliance as to 12-30-94 order transmitted to OAL 7-1-96; disapproved by OAL on 8-13-96. (Register 96, No. 33).
5. New section continued 7-15-96 as an emergency pursuant to Chapter 162, Statutes of 1996, Section 4440-103-0001, Provision 4, stating that these emergency regulations shall remain in effective until July 1, 1997, or until the regulations are made permanent, whichever occurs first.
6. Certificate of Compliance as to 12-30-94 order, including repealer of former section 1742 and renumbering of former section 1744 to new section 1742, transmitted to OAL 5-30-97 and filed 7-1-97 (Register 97, No. 27).
§1743. Rate Region.
Note     •     History

“Rate Region” means regions, by county in California and border communities outside California, as specified in this chapter, for the purpose of establishing and determining reimbursement rates for non-contract Fee-For-Service/Medi-Cal providers.
NOTE

Authority cited: Section 14680, Welfare and Institutions Code. Reference: Sections 5777, 5778 and 14684, Welfare and Institutions Code.
HISTORY

1. New section filed 12-30-94 as an emergency; operative 1-1-95 (Register 94, No. 52). Notwithstanding Chapter 3.5 (commencing with Section 11340) of Part 1 of Division 3 of Title 2 of the Government Code, a Certificate of Compliance must be transmitted to OAL by June 30, 1995, pursuant to Section 7, Chapter 633, Statutes of 1994, or emergency language will be repealed by operation of law on the following day.
2. New section refiled 6-30-95 as an emergency; operative 7-1-95 (Register 95, No. 26). A Certificate of Compliance must be transmitted to OAL by 10-28-95 or emergency language will be repealed by operation of law on the following day.
3. New section continued 8-3-95 as an emergency pursuant to Chapter 305, Statutes of 1995, Section 24, stating that these emergency regulations remain in effect until July 1, 1996, or until the regulations are made permanent, whichever occurs first.
4. Certificate of Compliance as to 12-30-94 order transmitted to OAL 7-1-96; disapproved by OAL on 8-13-96. (Register 96, No. 33).
5. New section continued 7-15-96 as an emergency pursuant to Chapter 162, Statutes of 1996, Section 4440-103-0001, Provision 4, stating that these emergency regulations shall remain in effective until July 1, 1997, or until the regulations are made permanent, whichever occurs first.
6. Certificate of Compliance as to 12-30-94 order, including renumbering of former section 1743 to section 1741 and renumbering and amendment of former section 1745 to new section 1743, transmitted to OAL 5-30-97 and filed 7-1-97 (Register 97, No. 27).
§1744. Risk Reinsurance.
Note     •     History

“Risk Reinsurance” means an insurance policy purchased for an MHP that provides coverage for costs of providing services exceeding specified limits.
NOTE

Authority cited: Section 14680, Welfare and Institutions Code. Reference: Sections 5777, 5778 and 14684, Welfare and Institutions Code.
HISTORY

1. New section filed 12-30-94 as an emergency; operative 1-1-95 (Register 94, No. 52). Notwithstanding Chapter 3.5 (commencing with Section 11340) of Part 1 of Division 3 of Title 2 of the Government Code, a Certificate of Compliance must be transmitted to OAL by June 30, 1995, pursuant to Section 7, Chapter 633, Statutes of 1994, or emergency language will be repealed by operation of law on the following day.
2. New section refiled 6-30-95 as an emergency; operative 7-1-95 (Register 95, No. 26). A Certificate of Compliance must be transmitted to OAL by 10-28-95 or emergency language will be repealed by operation of law on the following day.
3. New section continued 8-3-95 as an emergency pursuant to Chapter 305, Statutes of 1995, Section 24, stating that these emergency regulations remain in effect until July 1, 1996, or until the regulations are made permanent, whichever occurs first.
4. Certificate of Compliance as to 12-30-94 order transmitted to OAL 7-1-96; disapproved by OAL on 8-13-96. (Register 96, No. 33).
5. New section continued 7-15-96 as an emergency pursuant to Chapter 162, Statutes of 1996, Section 4440-103-0001, Provision 4, stating that these emergency regulations shall remain in effective until July 1, 1997, or until the regulations are made permanent, whichever occurs first.
6. Certificate of Compliance as to 12-30-94 order, including renumbering of former section 1744 to section 1742 and renumbering and amendment of former section 1746 to new section 1744, transmitted to OAL 5-30-97 and filed 7-1-97 (Register 97, No. 27).
§1745. Small County.
Note     •     History

“Small County” means a county in California with a population of less than 200,000 by 1990 census data.
NOTE

Authority cited: Section 14680, Welfare and Institutions Code. Reference: Section 5778, Welfare and Institutions Code.
HISTORY

1. New section filed 12-30-94 as an emergency; operative 1-1-95 (Register 94, No. 52). Notwithstanding Chapter 3.5 (commencing with Section 11340) of Part 1 of Division 3 of Title 2 of the Government Code, a Certificate of Compliance must be transmitted to OAL by June 30, 1995, pursuant to Section 7, Chapter 633, Statutes of 1994, or emergency language will be repealed by operation of law on the following day.
2. New section refiled 6-30-95 as an emergency; operative 7-1-95 (Register 95, No. 26). A Certificate of Compliance must be transmitted to OAL by 10-28-95 or emergency language will be repealed by operation of law on the following day.
3. New section continued 8-3-95 as an emergency pursuant to Chapter 305, Statutes of 1995, Section 24, stating that these emergency regulations remain in effect until July 1, 1996, or until the regulations are made permanent, whichever occurs first.
4. Certificate of Compliance as to 12-30-94 order transmitted to OAL 7-1-96; disapproved by OAL on 8-13-96. (Register 96, No. 33).
5. New section continued 7-15-96 as an emergency pursuant to Chapter 162, Statutes of 1996, Section 4440-103-0001, Provision 4, stating that these emergency regulations shall remain in effective until July 1, 1997, or until the regulations are made permanent, whichever occurs first.
6. Certificate of Compliance as to 12-30-94 order, including renumbering of former section 1745 to section 1743 and renumbering of former section 1747 to new section 1745, transmitted to OAL 5-30-97 and filed 7-1-97 (Register 97, No. 27).
§1746. Small County Reserve.
Note     •     History

“Small County Reserve” means that portion of the State General Fund appropriation for consolidation of psychiatric inpatient hospital services that is allocated for use by MHPs in small counties as self-insurance to provide a mechanism to reduce financial risk.
NOTE

Authority cited: Section 14680, Welfare and Institutions Code. Reference: Section 5778, Welfare and Institutions Code.
HISTORY

1. New section filed 12-30-94 as an emergency; operative 1-1-95 (Register 94, No. 52). Notwithstanding Chapter 3.5 (commencing with Section 11340) of Part 1 of Division 3 of Title 2 of the Government Code, a Certificate of Compliance must be transmitted to OAL by June 30, 1995, pursuant to Section 7, Chapter 633, Statutes of 1994, or emergency language will be repealed by operation of law on the following day.
2. New section refiled 6-30-95 as an emergency; operative 7-1-95 (Register 95, No. 26). A Certificate of Compliance must be transmitted to OAL by 10-28-95 or emergency language will be repealed by operation of law on the following day.
3. New section continued 8-3-95 as an emergency pursuant to Chapter 305, Statutes of 1995, Section 24, stating that these emergency regulations remain in effect until July 1, 1996, or until the regulations are made permanent, whichever occurs first.
4. Certificate of Compliance as to 12-30-94 order transmitted to OAL 7-1-96; disapproved by OAL on 8-13-96. (Register 96, No. 33).
5. New section continued 7-15-96 as an emergency pursuant to Chapter 162, Statutes of 1996, Section 4440-103-0001, Provision 4, stating that these emergency regulations shall remain in effective until July 1, 1997, or until the regulations are made permanent, whichever occurs first.
6. Certificate of Compliance as to 12-30-94 order, including renumbering of former section 1746 to section 1744 and new section 1746, transmitted to OAL 5-30-97 and filed 7-1-97 (Register 97, No. 27).
§1747. Third Party Liability.
Note     •     History

“Third Party Liability” means an amount owed for psychiatric inpatient hospital services on behalf of a beneficiary by any payor other than Medi-Cal or the beneficiary.
NOTE

Authority cited: Section 14680, Welfare and Institutions Code. Reference: Sections 5777, 5778 and 14684, Welfare and Institutions Code.
HISTORY

1. New section filed 12-30-94 as an emergency; operative 1-1-95 (Register 94, No. 52). Notwithstanding Chapter 3.5 (commencing with Section 11340) of Part 1 of Division 3 of Title 2 of the Government Code, a Certificate of Compliance must be transmitted to OAL by June 30, 1995, pursuant to Section 7, Chapter 633, Statutes of 1994, or emergency language will be repealed by operation of law on the following day.
2. New section refiled 6-30-95 as an emergency; operative 7-1-95 (Register 95, No. 26). A Certificate of Compliance must be transmitted to OAL by 10-28-95 or emergency language will be repealed by operation of law on the following day.
3. New section continued 8-3-95 as an emergency pursuant to Chapter 305, Statutes of 1995, Section 24, stating that these emergency regulations remain in effect until July 1, 1996, or until the regulations are made permanent, whichever occurs first.
4. Certificate of Compliance as to 12-30-94 order transmitted to OAL 7-1-96; disapproved by OAL on 8-13-96. (Register 96, No. 33).
5. New section continued 7-15-96 as an emergency pursuant to Chapter 162, Statutes of 1996, Section 4440-103-0001, Provision 4, stating that these emergency regulations shall remain in effective until July 1, 1997, or until the regulations are made permanent, whichever occurs first.
6. Certificate of Compliance as to 12-30-94 order, including renumbering of former section 1747 to section 1745 and renumbering of former section 1748 to new section 1747, transmitted to OAL 5-30-97 and filed 7-1-97 (Register 97, No. 27).
§1748. Usual and Customary Charges.
Note     •     History

“Usual and Customary Charges” means those uniform charges which are listed in a provider's established charge schedule which are in effect and applied consistently to most patients.
NOTE

Authority cited: Section 14680, Welfare and Institutions Code. Reference: Sections 5777, 5778 and 14684, Welfare and Institutions Code.
HISTORY

1. New section filed 12-30-94 as an emergency; operative 1-1-95 (Register 94, No. 52). Notwithstanding Chapter 3.5 (commencing with Section 11340) of Part 1 of Division 3 of Title 2 of the Government Code, a Certificate of Compliance must be transmitted to OAL by June 30, 1995, pursuant to Section 7, Chapter 633, Statutes of 1994, or emergency language will be repealed by operation of law on the following day.
2. New section refiled 6-30-95 as an emergency; operative 7-1-95 (Register 95, No. 26). A Certificate of Compliance must be transmitted to OAL by 10-28-95 or emergency language will be repealed by operation of law on the following day.
3. New section continued 8-3-95 as an emergency pursuant to Chapter 305, Statutes of 1995, Section 24, stating that these emergency regulations remain in effect until July 1, 1996, or until the regulations are made permanent, whichever occurs first.
4. Certificate of Compliance as to 12-30-94 order transmitted to OAL 7-1-96; disapproved by OAL on 8-13-96. (Register 96, No. 33).
5. New section continued 7-15-96 as an emergency pursuant to Chapter 162, Statutes of 1996, Section 4440-103-0001, Provision 4, stating that these emergency regulations shall remain in effective until July 1, 1997, or until the regulations are made permanent, whichever occurs first.
6. Certificate of Compliance as to 12-30-94 order, including renumbering of former section 1748 to section 1747 and new section 1748, transmitted to OAL 5-30-97 and filed 7-1-97 (Register 97, No. 27).
§1749. Utilization Control and Operations Committee.
Note     •     History

“Utilization Control and Operations Committee” means a group of individuals designated by the MHPs in the small counties to provide oversight for the Small County Reserve.
NOTE

Authority cited: Section 14680, Welfare and Institutions Code. Reference: Sections 5777, 5778 and 14684, Welfare and Institutions Code.
HISTORY

1. New section filed 12-30-94 as an emergency; operative 1-1-95 (Register 94, No. 52). Notwithstanding Chapter 3.5 (commencing with Section 11340) of Part 1 of Division 3 of Title 2 of the Government Code, a Certificate of Compliance must be transmitted to OAL by June 30, 1995, pursuant to Section 7, Chapter 633, Statutes of 1994, or emergency language will be repealed by operation of law on the following day.
2. New section refiled 6-30-95 as an emergency; operative 7-1-95 (Register 95, No. 26). A Certificate of Compliance must be transmitted to OAL by 10-28-95 or emergency language will be repealed by operation of law on the following day.
3. New section continued 8-3-95 as an emergency pursuant to Chapter 305, Statutes of 1995, Section 24, stating that these emergency regulations remain in effect until July 1, 1996, or until the regulations are made permanent, whichever occurs first.
4. Certificate of Compliance as to 12-30-94 order transmitted to OAL 7-1-96; disapproved by OAL on 8-13-96. (Register 96, No. 33).
5. New section continued 7-15-96 as an emergency pursuant to Chapter 162, Statutes of 1996, Section 4440-103-0001, Provision 4, stating that these emergency regulations shall remain in effective until July 1, 1997, or until the regulations are made permanent, whichever occurs first.
6. Certificate of Compliance as to 12-30-94 order transmitted to OAL 5-30-97 and filed 7-1-97 (Register 97, No. 27).
§1750. Small County Reserve.
Note     •     History

(a) Small counties shall establish the Small County Reserve with funds allocated by the Department for that purpose.
(b) The Small County Reserve shall be used for:
(1) Reimbursement of MHPs in small counties for the cost of psychiatric inpatient hospital services in excess of their allocation.
(2) Purchase of risk reinsurance for MHPs in small counties.
(3) Costs associated with the administration of the Reserve.
(c) Any interest earned from funds held in the Small County Reserve shall accrue to the Small County Reserve.
(d) The Department shall not be liable for payments that exceed the balance in the Small County Reserve. When costs do not exceed the balance in the Small County Reserve during any given State fiscal year, the amount of unexpended funds shall be reported to the Department by November 30 of the following State fiscal year. The unexpended funds may be retained in the Small County Reserve and used as specified in (b).
(e) The administrative procedures for, and the process of, appointing members to the Utilization Control and Operations Committee of the Small County Reserve shall be determined by the small counties, through an organization representing the counties, in consultation with the Department.
(f) The Utilization Control and Operations Committee shall:
(1) Develop procedures and provide policy direction for the operation of the Small County Reserve.
(2) Determine circumstances under which a small county MHP shall be eligible to receive Small County Reserve funds.
(3) Provide guidance for the day-to-day operation of the Small County Reserve.
(4) Monitor utilization of psychiatric inpatient hospital services by member MHPs.
(5) Recommend corrective actions and arrange for technical assistance to MHPs that have been denied access to the Small County Reserve funds.
NOTE

Authority cited: Section 14680, Welfare and Institutions Code. Reference: Section 5778, Welfare and Institutions Code.
HISTORY

1. New section filed 12-30-94 as an emergency; operative 1-1-95 (Register 94, No. 52). Notwithstanding Chapter 3.5 (commencing with Section 11340) of Part 1 of Division 3 of Title 2 of the Government Code, a Certificate of Compliance must be transmitted to OAL by June 30, 1995, pursuant to Section 7, Chapter 633, Statutes of 1994, or emergency language will be repealed by operation of law on the following day.
2. New section refiled 6-30-95 as an emergency; operative 7-1-95 (Register 95, No. 26). A Certificate of Compliance must be transmitted to OAL by 10-28-95 or emergency language will be repealed by operation of law on the following day.
3. New section continued 8-3-95 as an emergency pursuant to Chapter 305, Statutes of 1995, Section 24, stating that these emergency regulations remain in effect until July 1, 1996, or until the regulations are made permanent, whichever occurs first.
4. Certificate of Compliance as to 12-30-94 order transmitted to OAL 7-1-96; disapproved by OAL on 8-13-96. (Register 96, No. 33).
5. New section continued 7-15-96 as an emergency pursuant to Chapter 162, Statutes of 1996, Section 4440-103-0001, Provision 4, stating that these emergency regulations shall remain in effective until July 1, 1997, or until the regulations are made permanent, whichever occurs first.
6. Certificate of Compliance as to 12-30-94 order, including amendment of section, transmitted to OAL 5-30-97 and filed 7-1-97 (Register 97, No. 27).
§1751. Rate Setting for Psychiatric Inpatient  Hospital Services for Negotiated Rate, Fee-for-Service/Medi-Cal Providers.
Note     •     History

(a) Reimbursement for acute psychiatric inpatient hospital services for each Fee-for-Service/Medi-Cal provider with a contract with any MHP,  shall be based on a per diem rate established through negotiations between the provider and the MHP in the county in which the provider is located except when:
(1) The MHP from the county in which the provider is located delegates the rate negotiation responsibilities to an MHP in another county with the agreement of that MHP.
(2) The provider is located in a border community and an MHP wants to negotiate rates. The MHP shall request approval from the Department to be designated as the negotiator.
(3) For a provider owned or operated by the same organizational entity as the MHP, the per diem rate must be approved by the Department. The Department shall approve a per diem rate submitted by the MHP, if the rate is not greater than the highest per diem rate within the State negotiated by a different MHP for a different hospital.
(b) The per diem rate shall include routine services and all hospital-based ancillary services.
(c) Only one rate for each allowable psychiatric accommodation code for each negotiated rate Fee-for-Service/Medi-Cal provider may be established and shall be used by all MHPs with that provider. The negotiated rate shall not be subject to retrospective adjustment to cost.
(d) Reimbursement for administrative day services shall be the rate established in accordance with Section 51542, Title 22, California Code of Regulations except for facility-specific reimbursements determined by the Department of Health Services in accordance with Section 51511(a)(2)(B), Title 22, California Code of Regulations plus an allowance for hospital-based ancillary services equal to twenty-five (25) percent of the maximum rate established under Section 51542.
(e) For both acute psychiatric inpatient hospital services and administrative day services, reimbursement to the provider shall be based on the per diem rate, less third party liability and patient share of cost.
(f) The provider shall bill its usual and customary charges.
(g) At the end of each fiscal year, the Department shall compare, in aggregate, usual and customary charges to per diem rate for each provider. Future claims shall be offset by the amount that the per diem rate exceeds the usual and customary charges for that fiscal year.
(h) The per diem rate included in the contract shall be considered to be payment in full, less third party liability and patient share of costs, for psychiatric inpatient hospital services to a beneficiary.
NOTE

Authority cited: Section 14680, Welfare and Institutions Code. Reference: Sections 5777, 5778 and 14684, Welfare and Institutions Code.
HISTORY

1. New section filed 12-30-94 as an emergency; operative 1-1-95 (Register 94, No. 52). Notwithstanding Chapter 3.5 (commencing with Section 11340) of Part 1 of Division 3 of Title 2 of the Government Code, a Certificate of Compliance must be transmitted to OAL by June 30, 1995, pursuant to Section 7, Chapter 633, Statutes of 1994, or emergency language will be repealed by operation of law on the following day.
2. New section refiled 6-30-95 as an emergency; operative 7-1-95 (Register 95, No. 26). A Certificate of Compliance must be transmitted to OAL by 10-28-95 or emergency language will be repealed by operation of law on the following day.
3. New section continued 8-3-95 as an emergency pursuant to Chapter 305, Statutes of 1995, Section 24, stating that these emergency regulations remain in effect until July 1, 1996, or until the regulations are made permanent, whichever occurs first.
4. Certificate of Compliance as to 12-30-94 order transmitted to OAL 7-1-96; disapproved by OAL on 8-13-96. (Register 96, No. 33).
5. New section continued 7-15-96 as an emergency pursuant to Chapter 162, Statutes of 1996, Section 4440-103-0001, Provision 4, stating that these emergency regulations shall remain in effective until July 1, 1997, or until the regulations are made permanent, whichever occurs first.
6. Certificate of Compliance as to 12-30-94 order, including amendment of section heading and section, transmitted to OAL 5-30-97 and filed 7-1-97 (Register 97, No. 27).
§1752. Rate Setting for Psychiatric Inpatient  Hospital Services for Non-negotiated Rate, Fee-for-Service/Medi-Cal Providers.
Note     •     History

(a) Reimbursement rates for acute psychiatric inpatient hospital services for each Fee-for-Service/Medi-Cal provider with no contract with any MHP, shall be determined by the Department.
(1) The reimbursement rates in (a) shall be calculated by the Department prior to the beginning of each fiscal year and shall not be modified for subsequent rate changes among contract providers or the addition of new contract providers.
(2) One rate per allowable psychiatric accommodation code per non-negotiated rate, Fee-for-Service/Medi-Cal provider per Rate Region listed in (i) shall be established and shall be used by all MHPs.
(3) The rates shall not be subject to retrospective adjustment to cost.
(b) The per diem rate includes routine services and all hospital-based ancillary services.
(c) The per diem rate shall equal the weighted average diem rates negotiated for all Fee-for-Service/Medi-Cal providers within the Rate Region where the non-negotiated rate provider is located and shall be based on the following information from each Fee-for-Service/Medi-Cal hospital with a contract in the Rate Region where the non-negotiated rate  provider is located:
(1) The latest available fiscal year Medi-Cal paid claims data for Fee-for-Service/Medi-Cal acute psychiatric inpatient hospital services patient days.
(2) The negotiated per diem rates for the subsequent fiscal year.
(d) Reimbursement for administrative day services shall be based on a rate established in accordance with Section 51542, Title 22, California Code of Regulations, except for facility-specific reimbursements determined by the Department of Health Services in accordance with Section 51511(a)(2)(B), Title 22, California Code of Regulations, plus an allowance for hospital-based ancillary services equal to twenty-five (25) percent of the maximum rate established under Section 51542.
(e) For both acute psychiatric inpatient services and administrative day services, interim reimbursement to the non-negotiated rate, Fee-for-Service/Medi-Cal provider shall be based on the calculated per diem rate less third party liability and patient share of cost.
(f) The provider shall bill its usual and customary charges.
(g) At the end of each fiscal year, the Department shall compare, in aggregate, the usual and customary charges to the per diem rate for each provider. Future claims shall be offset by the amount that the per diem rate exceeds the usual and customary charges for that fiscal year.
(h) The Medi-Cal payment constitutes payment in full for acute psychiatric inpatient hospital services less third party liability and patient share of costs, for psychiatric inpatient hospital services to a beneficiary.
(i) The Rate Regions are:
(1) Superior - Butte, Colusa, Del Norte, Glenn, Humboldt, Lake, Lassen, Mendocino, Modoc, Nevada, Plumas, Shasta, Sierra, Siskiyou, Tehama, Trinity, and Grants Pass, Klamath Falls, Lakeview, and Medford, Oregon.
(2) Central Valley - Alpine, Amador, Calaveras, El Dorado, Fresno, Kings, Madera, Mariposa, Merced, Mono, Placer, Sacramento, San Joaquin, Stanislaus, Sutter, Tulare, Tuolumne, Yolo, Yuba, and Carson City, Incline Village, Reno, and Sparks, Nevada.
(3) Bay Area - Alameda, Contra Costa, Marin, Monterey, Napa, San Benito, San Francisco, San Mateo, Santa Clara, Santa Cruz, Solano, Sonoma.
(4) Southern California - Imperial, Inyo, Kern, Orange, Riverside, San Bernardino, San Diego, San Luis Obispo, Santa Barbara, Ventura, Las Vegas, and Yerington, Nevada and Kingman and Yuma, Arizona.
(5) Los Angeles
NOTE

Authority cited: Section 14680, Welfare and Institutions Code. Reference: Sections 5777, 5778 and 14684, Welfare and Institutions Code.
HISTORY

1. New section filed 12-30-94 as an emergency; operative 1-1-95 (Register 94, No. 52). Notwithstanding Chapter 3.5 (commencing with Section 11340) of Part 1 of Division 3 of Title 2 of the Government Code, a Certificate of Compliance must be transmitted to OAL by June 30, 1995, pursuant to Section 7, Chapter 633, Statutes of 1994, or emergency language will be repealed by operation of law on the following day.
2. New section refiled 6-30-95 as an emergency; operative 7-1-95 (Register 95, No. 26). A Certificate of Compliance must be transmitted to OAL by 10-28-95 or emergency language will be repealed by operation of law on the following day.
3. New section continued 8-3-95 as an emergency pursuant to Chapter 305, Statutes of 1995, Section 24, stating that these emergency regulations remain in effect until July 1, 1996, or until the regulations are made permanent, whichever occurs first.
4. Certificate of Compliance as to 12-30-94 order transmitted to OAL 7-1-96; disapproved by OAL on 8-13-96. (Register 96, No. 33).
5. New section continued 7-15-96 as an emergency pursuant to Chapter 162, Statutes of 1996, Section 4440-103-0001, Provision 4, stating that these emergency regulations shall remain in effective until July 1, 1997, or until the regulations are made permanent, whichever occurs first.
6. Certificate of Compliance as to 12-30-94 order, including amendment of section heading and section, transmitted to OAL 5-30-97 and filed 7-1-97 (Register 97, No. 27).
§1753. Rate Setting for Psychiatric Inpatient Hospital Services for Short-Doyle/Medi-Cal Providers.
Note     •     History

(a) Reimbursement for acute psychiatric inpatient hospital services for Short-Doyle/Medi-Cal providers shall be established in accordance with Section 51516, Title 22, California Code of Regulations.
(b) Reimbursement for administrative day services for Short-Doyle/Medi-Cal providers shall be established in accordance with Section 51542, Title 22, California Code of Regulations.
NOTE

Authority cited: Section 14680, Welfare and Institutions Code. Reference: Sections 5720 and 5724, Welfare and Institutions Code.
HISTORY

1. New section filed 12-30-94 as an emergency; operative 1-1-95 (Register 94, No. 52). Notwithstanding Chapter 3.5 (commencing with Section 11340) of Part 1 of Division 3 of Title 2 of the Government Code, a Certificate of Compliance must be transmitted to OAL by June 30, 1995, pursuant to Section 7, Chapter 633, Statutes of 1994, or emergency language will be repealed by operation of law on the following day.
2. New section refiled 6-30-95 as an emergency; operative 7-1-95 (Register 95, No. 26). A Certificate of Compliance must be transmitted to OAL by 10-28-95 or emergency language will be repealed by operation of law on the following day.
3. New section continued 8-3-95 as an emergency pursuant to Chapter 305, Statutes of 1995, Section 24, stating that these emergency regulations remain in effect until July 1, 1996, or until the regulations are made permanent, whichever occurs first.
4. Certificate of Compliance as to 12-30-94 order transmitted to OAL 7-1-96; disapproved by OAL on 8-13-96. (Register 96, No. 33).
5. New section continued 7-15-96 as an emergency pursuant to Chapter 162, Statutes of 1996, Section 4440-103-0001, Provision 4, stating that these emergency regulations shall remain in effective until July 1, 1997, or until the regulations are made permanent, whichever occurs first.
6. Certificate of Compliance as to 12-30-94 order transmitted to OAL 5-30-97 and filed 7-1-97 (Register 97, No. 27).
§1754. Rate Reporting.
Note     •     History

An MHP shall provide to the Department, within thirty (30) calendar days prior to the beginning of each State fiscal year, a listing of rates negotiated with negotiated rate, Fee-For-Service/Medi-Cal providers of psychiatric inpatient hospital services.
NOTE

Authority cited: Section 14680, Welfare and Institutions Code. Reference: Sections 5777, 5778 and 14684, Welfare and Institutions Code.
HISTORY

1. New section filed 12-30-94 as an emergency; operative 1-1-95 (Register 94, No. 52). Notwithstanding Chapter 3.5 (commencing with Section 11340) of Part 1 of Division 3 of Title 2 of the Government Code, a Certificate of Compliance must be transmitted to OAL by June 30, 1995, pursuant to Section 7, Chapter 633, Statutes of 1994, or emergency language will be repealed by operation of law on the following day.
2. New section refiled 6-30-95 as an emergency; operative 7-1-95 (Register 95, No. 26). A Certificate of Compliance must be transmitted to OAL by 10-28-95 or emergency language will be repealed by operation of law on the following day.
3. New section continued 8-3-95 as an emergency pursuant to Chapter 305, Statutes of 1995, Section 24, stating that these emergency regulations remain in effect until July 1, 1996, or until the regulations are made permanent, whichever occurs first.
4. Certificate of Compliance as to 12-30-94 order transmitted to OAL 7-1-96; disapproved by OAL on 8-13-96. (Register 96, No. 33).
5. New section continued 7-15-96 as an emergency pursuant to Chapter 162, Statutes of 1996, Section 4440-103-0001, Provision 4, stating that these emergency regulations shall remain in effective until July 1, 1997, or until the regulations are made permanent, whichever occurs first.
6. Certificate of Compliance as to 12-30-94 order, including amendment of section, transmitted to OAL 5-30-97 and filed 7-1-97 (Register 97, No. 27).
§1755. Reporting Unexpended Balances.
Note     •     History

An MHP shall report to the Department by November 30 of the year following the close of the State fiscal year, the amount of any unexpended balance still remaining from the allocation made pursuant to Section 5778 Welfare and Institutions Code. This reporting requirement shall also apply to the organizational entity administering the small county reserve defined in Section 1746.
NOTE

Authority cited: Section 14680, Welfare and Institutions Code. Reference: Section 5777, Welfare and Institutions Code.
HISTORY

1. New section filed 12-30-94 as an emergency; operative 1-1-95 (Register 94, No. 52). Notwithstanding Chapter 3.5 (commencing with Section 11340) of Part 1 of Division 3 of Title 2 of the Government Code, a Certificate of Compliance must be transmitted to OAL by June 30, 1995, pursuant to Section 7, Chapter 633, Statutes of 1994, or emergency language will be repealed by operation of law on the following day.
2. New section refiled 6-30-95 as an emergency; operative 7-1-95 (Register 95, No. 26). A Certificate of Compliance must be transmitted to OAL by 10-28-95 or emergency language will be repealed by operation of law on the following day.
3. New section continued 8-3-95 as an emergency pursuant to Chapter 305, Statutes of 1995, Section 24, stating that these emergency regulations remain in effect until July 1, 1996, or until the regulations are made permanent, whichever occurs first.
4. Certificate of Compliance as to 12-30-94 order transmitted to OAL 7-1-96; disapproved by OAL on 8-13-96. (Register 96, No. 33).
5. New section continued 7-15-96 as an emergency pursuant to Chapter 162, Statutes of 1996, Section 4440-103-0001, Provision 4, stating that these emergency regulations shall remain in effective until July 1, 1997, or until the regulations are made permanent, whichever occurs first.
6. Certificate of Compliance as to 12-30-94 order, including amendment of section, transmitted to OAL 5-30-97 and filed 7-1-97 (Register 97, No. 27).
Article 4. Provision of Services
§1765. Adverse Decision.
Note     •     History

“Adverse Decision” means denial or termination of an MHP payment authorization y the MHP's Point of Authorization or by a Short-Doyle/Medi-Cal provider's Utilization Review Committee which determines the MHP's authorization for payment.
NOTE

Authority cited: Section 14680, Welfare and Institutions Code. Reference: Sections 5777, 5778 and 14684, Welfare and Institutions Code.
HISTORY

1. New Article 4 (sections 1765-1779) and section filed 12-30-94 as an emergency; operative 1-1-95 (Register 94, No. 52). Notwithstanding Chapter 3.5 (commencing with Section 11340) of Part 1 of Division 3 of Title 2 of the Government Code, a Certificate of Compliance must be transmitted to OAL by June 30, 1995, pursuant to Section 7, Chapter 633, Statutes of 1994, or emergency language will be repealed by operation of law on the following day.
2. New article 4 and section refiled 6-30-95 as an emergency; operative 7-1-95 (Register 95, No. 26). A Certificate of Compliance must be transmitted to OAL by 10-28-95 or emergency language will be repealed by operation of law on the following day.
3. New Article 4  (sections 1765 through 1779) and section continued 8-3-95 as an emergency pursuant to Chapter 305, Statutes of 1995, Section 24, stating that these emergency regulations remain in effect until July 1, 1996, or until the regulations are made permanent, whichever occurs first.
4. Certificate of Compliance as to 12-30-94 order transmitted to OAL 7-1-96; disapproved by OAL on 8-13-96. (Register 96, No. 33).
5. New Article  (sections 1765 through 1779) and section continued 7-15-96 as an emergency pursuant to Chapter 162, Statutes of 1996, Section 4440-103-0001, Provision 4, stating that these emergency regulations shall remain in effective until July 1, 1997, or until the regulations are made permanent, whichever occurs first.
6. Certificate of Compliance as to 12-30-94 order, including amendment of section, transmitted to OAL 5-30-97 and filed 7-1-97 (Register 97, No. 27).
§1766. Continued Stay Services.
Note     •     History

“Continued Stay Services” means psychiatric inpatient hospital services for beneficiaries which occur after admission.
NOTE

Authority cited: Section 14680, Welfare and Institutions Code. Reference: Sections 5777, 5778 and 14684, Welfare and Institutions Code.
HISTORY

1. New section filed 12-30-94 as an emergency; operative 1-1-95 (Register 94, No. 52). Notwithstanding Chapter 3.5 (commencing with Section 11340) of Part 1 of Division 3 of Title 2 of the Government Code, a Certificate of Compliance must be transmitted to OAL by June 30, 1995, pursuant to Section 7, Chapter 633, Statutes of 1994, or emergency language will be repealed by operation of law on the following day.
2. New section refiled 6-30-95 as an emergency; operative 7-1-95 (Register 95, No. 26). A Certificate of Compliance must be transmitted to OAL by 10-28-95 or emergency language will be repealed by operation of law on the following day.
3. New section continued 8-3-95 as an emergency pursuant to Chapter 305, Statutes of 1995, Section 24, stating that these emergency regulations remain in effect until July 1, 1996, or until the regulations are made permanent, whichever occurs first.
4. Certificate of Compliance as to 12-30-94 order transmitted to OAL 7-1-96; disapproved by OAL on 8-13-96. (Register 96, No. 33).
5. New section continued 7-15-96 as an emergency pursuant to Chapter 162, Statutes of 1996, Section 4440-103-0001, Provision 4, stating that these emergency regulations shall remain in effective until July 1, 1997, or until the regulations are made permanent, whichever occurs first.
6. Certificate of Compliance as to 12-30-94 order, including amendment of section, transmitted to OAL 5-30-97 and filed 7-1-97 (Register 97, No. 27).
§1767. County Medical Services Program.
Note     •     History

“County Medical Services Program” means the service delivery and payment system for health care for low income persons who are not eligible for Medi-Cal and which is administered by the Department of Health Services for counties.
NOTE

Authority cited: Section 14680, Welfare and Institutions Code. Reference: Sections 5777, 5778 and 14684, Welfare and Institutions Code.
HISTORY

1. New section filed 12-30-94 as an emergency; operative 1-1-95 (Register 94, No. 52). Notwithstanding Chapter 3.5 (commencing with Section 11340) of Part 1 of Division 3 of Title 2 of the Government Code, a Certificate of Compliance must be transmitted to OAL by June 30, 1995, pursuant to Section 7, Chapter 633, Statutes of 1994, or emergency language will be repealed by operation of law on the following day.
2. New section refiled 6-30-95 as an emergency; operative 7-1-95 (Register 95, No. 26). A Certificate of Compliance must be transmitted to OAL by 10-28-95 or emergency language will be repealed by operation of law on the following day.
3. New section continued 8-3-95 as an emergency pursuant to Chapter 305, Statutes of 1995, Section 24, stating that these emergency regulations remain in effect until July 1, 1996, or until the regulations are made permanent, whichever occurs first.
4. Certificate of Compliance as to 12-30-94 order transmitted to OAL 7-1-96; disapproved by OAL on 8-13-96. (Register 96, No. 33).
5. New section continued 7-15-96 as an emergency pursuant to Chapter 162, Statutes of 1996, Section 4440-103-0001, Provision 4, stating that these emergency regulations shall remain in effective until July 1, 1997, or until the regulations are made permanent, whichever occurs first.
6. Certificate of Compliance as to 12-30-94 order transmitted to OAL 5-30-97 and filed 7-1-97 (Register 97, No. 27).
§1768. Emergency Admission.
Note     •     History

“Emergency Admission” means an admission to a psychiatric inpatient hospital of a beneficiary due to an emergency psychiatric condition.
NOTE

Authority cited: Section 14680, Welfare and Institutions Code. Reference: Sections 5777, 5778 and 14684, Welfare and Institutions Code.
HISTORY

1. New section filed 12-30-94 as an emergency; operative 1-1-95 (Register 94, No. 52). Notwithstanding Chapter 3.5 (commencing with Section 11340) of Part 1 of Division 3 of Title 2 of the Government Code, a Certificate of Compliance must be transmitted to OAL by June 30, 1995, pursuant to Section 7, Chapter 633, Statutes of 1994, or emergency language will be repealed by operation of law on the following day.
2. New section refiled 6-30-95 as an emergency; operative 7-1-95 (Register 95, No. 26). A Certificate of Compliance must be transmitted to OAL by 10-28-95 or emergency language will be repealed by operation of law on the following day.
3. New section continued 8-3-95 as an emergency pursuant to Chapter 305, Statutes of 1995, Section 24, stating that these emergency regulations remain in effect until July 1, 1996, or until the regulations are made permanent, whichever occurs first.
4. Certificate of Compliance as to 12-30-94 order transmitted to OAL 7-1-96; disapproved by OAL on 8-13-96. (Register 96, No. 33).
5. New section continued 7-15-96 as an emergency pursuant to Chapter 162, Statutes of 1996, Section 4440-103-0001, Provision 4, stating that these emergency regulations shall remain in effective until July 1, 1997, or until the regulations are made permanent, whichever occurs first.
6. Certificate of Compliance as to 12-30-94 order, including amendment of section, transmitted to OAL 5-30-97 and filed 7-1-97 (Register 97, No. 27).
§1769. Emergency Psychiatric Condition.
Note     •     History

“Emergency Psychiatric Condition” means that a beneficiary has a condition that meets admission reimbursement criteria for medical necessity in Section 1774 of this chapter and, due to a mental disorder, is:
(a) A danger to self or others, or
(b) Immediately unable to provide for, or utilize, food, shelter or clothing.
NOTE

Authority cited: Section 14680, Welfare and Institutions Code. Reference: Section 5777, Welfare and Institutions Code.
HISTORY

1. New section filed 12-30-94 as an emergency; operative 1-1-95 (Register 94, No. 52). Notwithstanding Chapter 3.5 (commencing with Section 11340) of Part 1 of Division 3 of Title 2 of the Government Code, a Certificate of Compliance must be transmitted to OAL by June 30, 1995, pursuant to Section 7, Chapter 633, Statutes of 1994, or emergency language will be repealed by operation of law on the following day.
2. New section refiled 6-30-95 as an emergency; operative 7-1-95 (Register 95, No. 26). A Certificate of Compliance must be transmitted to OAL by 10-28-95 or emergency language will be repealed by operation of law on the following day.
3. New section continued 8-3-95 as an emergency pursuant to Chapter 305, Statutes of 1995, Section 24, stating that these emergency regulations remain in effect until July 1, 1996, or until the regulations are made permanent, whichever occurs first.
4. Certificate of Compliance as to 12-30-94 order transmitted to OAL 7-1-96; disapproved by OAL on 8-13-96. (Register 96, No. 33).
5. New section continued 7-15-96 as an emergency pursuant to Chapter 162, Statutes of 1996, Section 4440-103-0001, Provision 4, stating that these emergency regulations shall remain in effective until July 1, 1997, or until the regulations are made permanent, whichever occurs first.
6. Certificate of Compliance as to 12-30-94 order, including amendment of section, transmitted to OAL 5-30-97 and filed 7-1-97 (Register 97, No. 27).
§1770. Licensed Mental Health Professional.
Note     •     History

“Licensed mental health professional” means, for the purposes of this chapter, a licensed physician, a licensed clinical psychologist, a licensed clinical social worker, a licensed marriage, family and child counselor, a registered nurse, a licensed vocational nurse, and a licensed psychiatric technician. Individuals who have a waiver of licensure to obtain supervised clinical hours for one of the above categories may perform the functions of a licensed mental health professional specified in this chapter.
NOTE

Authority cited: Section 14680, Welfare and Institutions Code. Reference: Sections 5777, 5778 and 14684, Welfare and Institutions Code.
HISTORY

1. New section filed 12-30-94 as an emergency; operative 1-1-95 (Register 94, No. 52). Notwithstanding Chapter 3.5 (commencing with Section 11340) of Part 1 of Division 3 of Title 2 of the Government Code, a Certificate of Compliance must be transmitted to OAL by June 30, 1995, pursuant to Section 7, Chapter 633, Statutes of 1994, or emergency language will be repealed by operation of law on the following day.
2. New section refiled 6-30-95 as an emergency; operative 7-1-95 (Register 95, No. 26). A Certificate of Compliance must be transmitted to OAL by 10-28-95 or emergency language will be repealed by operation of law on the following day.
3. New section continued 8-3-95 as an emergency pursuant to Chapter 305, Statutes of 1995, Section 24, stating that these emergency regulations remain in effect until July 1, 1996, or until the regulations are made permanent, whichever occurs first.
4. Certificate of Compliance as to 12-30-94 order transmitted to OAL 7-1-96; disapproved by OAL on 8-13-96. (Register 96, No. 33).
5. New section continued 7-15-96 as an emergency pursuant to Chapter 162, Statutes of 1996, Section 4440-103-0001, Provision 4, stating that these emergency regulations shall remain in effective until July 1, 1997, or until the regulations are made permanent, whichever occurs first.
6. Certificate of Compliance as to 12-30-94 order transmitted to OAL 5-30-97 and filed 7-1-97 (Register 97, No. 27).
§1771. Planned Admission.
Note     •     History

“Planned Admission” means an admission of a beneficiary to a psychiatric inpatient hospital with a contract with an MHP for the purpose of providing medically necessary treatment that cannot be provided in another setting or a lower level of care and is not an emergency admission. Planned admissions may occur in a non-contract psychiatric inpatient hospital pursuant to Section 1727(a)(6) of this chapter.
NOTE

Authority cited: Section 14680, Welfare and Institutions Code. Reference: Sections 5777, 5778 and 14684, Welfare and Institutions Code.
HISTORY

1. New section filed 12-30-94 as an emergency; operative 1-1-95 (Register 94, No. 52). Notwithstanding Chapter 3.5 (commencing with Section 11340) of Part 1 of Division 3 of Title 2 of the Government Code, a Certificate of Compliance must be transmitted to OAL by June 30, 1995, pursuant to Section 7, Chapter 633, Statutes of 1994, or emergency language will be repealed by operation of law on the following day.
2. New section refiled 6-30-95 as an emergency; operative 7-1-95 (Register 95, No. 26). A Certificate of Compliance must be transmitted to OAL by 10-28-95 or emergency language will be repealed by operation of law on the following day.
3. New section continued 8-3-95 as an emergency pursuant to Chapter 305, Statutes of 1995, Section 24, stating that these emergency regulations remain in effect until July 1, 1996, or until the regulations are made permanent, whichever occurs first.
4. Certificate of Compliance as to 12-30-94 order transmitted to OAL 7-1-96; disapproved by OAL on 8-13-96. (Register 96, No. 33).
5. New section continued 7-15-96 as an emergency pursuant to Chapter 162, Statutes of 1996, Section 4440-103-0001, Provision 4, stating that these emergency regulations shall remain in effective until July 1, 1997, or until the regulations are made permanent, whichever occurs first.
6. Certificate of Compliance as to 12-30-94 order, including amendment of section, transmitted to OAL 5-30-97 and filed 7-1-97 (Register 97, No. 27).
§1772. Prior Authorization.
Note     •     History

“Prior authorization” means that a provider obtains the written MHP payment authorization by the MHP's Point of Authorization or the Short-Doyle/Medi-Cal provider's Utilization Review Committee, if acting as a Point of Authorization, prior to the admission of a beneficiary or the provision of continued stay services to a beneficiary in a psychiatric inpatient hospital.
NOTE

Authority cited: Section 14680, Welfare and Institutions Code. Reference: Sections 5777, 5778 and 14684, Welfare and Institutions Code.
HISTORY

1. New section filed 12-30-94 as an emergency; operative 1-1-95 (Register 94, No. 52). Notwithstanding Chapter 3.5 (commencing with Section 11340) of Part 1 of Division 3 of Title 2 of the Government Code, a Certificate of Compliance must be transmitted to OAL by June 30, 1995, pursuant to Section 7, Chapter 633, Statutes of 1994, or emergency language will be repealed by operation of law on the following day.
2. New section refiled 6-30-95 as an emergency; operative 7-1-95 (Register 95, No. 26). A Certificate of Compliance must be transmitted to OAL by 10-28-95 or emergency language will be repealed by operation of law on the following day.
3. New section continued 8-3-95 as an emergency pursuant to Chapter 305, Statutes of 1995, Section 24, stating that these emergency regulations remain in effect until July 1, 1996, or until the regulations are made permanent, whichever occurs first.
4. Certificate of Compliance as to 12-30-94 order transmitted to OAL 7-1-96; disapproved by OAL on 8-13-96. (Register 96, No. 33).
5. New section continued 7-15-96 as an emergency pursuant to Chapter 162, Statutes of 1996, Section 4440-103-0001, Provision 4, stating that these emergency regulations shall remain in effective until July 1, 1997, or until the regulations are made permanent, whichever occurs first.
6. Certificate of Compliance as to 12-30-94 order, including amendment of section, transmitted to OAL 5-30-97 and filed 7-1-97 (Register 97, No. 27).
§1773. Utilization Review Committee.
Note     •     History

“Utilization Review Committee” means a committee that reviews services provided to determine appropriateness for psychiatric inpatient hospital services, identifies problems with quality of care, and meets the requirements of Title 42, CFR, Chapter IV, Subchapter C, Part 456, Subpart D.
NOTE

Authority cited: Section 14680, Welfare and Institutions Code. Reference: Section 5777, Welfare and Institutions Code.
HISTORY

1. New section filed 12-30-94 as an emergency; operative 1-1-95 (Register 94, No. 52). Notwithstanding Chapter 3.5 (commencing with Section 11340) of Part 1 of Division 3 of Title 2 of the Government Code, a Certificate of Compliance must be transmitted to OAL by June 30, 1995, pursuant to Section 7, Chapter 633, Statutes of 1994, or emergency language will be repealed by operation of law on the following day.
2. New section refiled 6-30-95 as an emergency; operative 7-1-95 (Register 95, No. 26). A Certificate of Compliance must be transmitted to OAL by 10-28-95 or emergency language will be repealed by operation of law on the following day.
3. New section continued 8-3-95 as an emergency pursuant to Chapter 305, Statutes of 1995, Section 24, stating that these emergency regulations remain in effect until July 1, 1996, or until the regulations are made permanent, whichever occurs first.
4. Certificate of Compliance as to 12-30-94 order transmitted to OAL 7-1-96; disapproved by OAL on 8-13-96. (Register 96, No. 33).
5. New section continued 7-15-96 as an emergency pursuant to Chapter 162, Statutes of 1996, Section 4440-103-0001, Provision 4, stating that these emergency regulations shall remain in effective until July 1, 1997, or until the regulations are made permanent, whichever occurs first.
6. Certificate of Compliance as to 12-30-94 order transmitted to OAL 5-30-97 and filed 7-1-97 (Register 97, No. 27).
§1774. Medical Necessity Criteria for Reimbursement of Psychiatric Inpatient Hospital Services.
Note     •     History

(a) For Medi-Cal reimbursement for an admission to a acute psychiatric inpatient hospital, the beneficiary shall meet medical necessity criteria set forth in (1) and (2) below:
(1) One of the following diagnoses in the Diagnostic and Statistical Manual, Fourth Edition, published by the American Psychiatric Association:
(A) Pervasive Developmental Disorders
(B) Disruptive Behavior and Attention Deficit Disorders
(C) Feeding and Eating Disorders of Infancy or Early Childhood
(D) Tic Disorders
(E) Elimination Disorders
(F) Other Disorders of Infancy, Childhood, or Adolescence
(G) Cognitive Disorders (only Dementias with Delusions, or Depressed Mood)
(H) Substance Induced Disorders, only with Psychotic, Mood, or Anxiety Disorder
(I) Schizophrenia and Other Psychotic Disorders
(J) Mood Disorders
(K) Anxiety Disorders
(L) Somatoform Disorders
(M) Dissociative Disorders
(N) Eating Disorders
(O) Intermittent Explosive Disorder
(P) Pyromania
(Q) Adjustment Disorders
(R) Personality Disorders
(2) A beneficiary must have both (A) and (B):
(A) Cannot be safely treated at another level of care; and
(B) Requires psychiatric inpatient hospital services, as the result of a mental disorder, due to the indications in either 1 or 2 below: 
1. Has symptoms or behaviors due to a mental disorder that (one of the following):
a. Represents a current danger to self or others, or significant property destruction.
b. Prevents the beneficiary from providing for, or utilizing, food, clothing or shelter.
c. Presents a severe risk to the beneficiary's physical health.
d. Represents a recent, significant deterioration in ability to function.
2. Requires admission for one of the following:
a. Further psychiatric evaluation.
b. Medication treatment.
c. Other treatment that can reasonably be provided only if the patient is hospitalized.
(b) Continued stay services in a psychiatric inpatient hospital shall only be reimbursed when a beneficiary experiences one of the following:
(1) Continued presence of indications which meet the medical necessity criteria as specified in (a).
(2) Serious adverse reaction to medications, procedures or therapies requiring continued hospitalization.
(3) Presence of new indications which meet medical necessity criteria specified in (a).
(4) Need for continued medical evaluation or treatment that can only be provided if the beneficiary remains in a psychiatric inpatient hospital.
NOTE

Authority cited: Section 14680, Welfare and Institutions Code. Reference: Sections 5777, 5778 and 14684, Welfare and Institutions Code.
HISTORY

1. New section filed 12-30-94 as an emergency; operative 1-1-95 (Register 94, No. 52). Notwithstanding Chapter 3.5 (commencing with Section 11340) of Part 1 of Division 3 of Title 2 of the Government Code, a Certificate of Compliance must be transmitted to OAL by June 30, 1995, pursuant to Section 7, Chapter 633, Statutes of 1994, or emergency language will be repealed by operation of law on the following day.
2. New section refiled 6-30-95 as an emergency; operative 7-1-95 (Register 95, No. 26). A Certificate of Compliance must be transmitted to OAL by 10-28-95 or emergency language will be repealed by operation of law on the following day.
3. New section continued 8-3-95 as an emergency pursuant to Chapter 305, Statutes of 1995, Section 24, stating that these emergency regulations remain in effect until July 1, 1996, or until the regulations are made permanent, whichever occurs first.
4. Certificate of Compliance as to 12-30-94 order transmitted to OAL 7-1-96; disapproved by OAL on 8-13-96. (Register 96, No. 33).
5. New section continued 7-15-96 as an emergency pursuant to Chapter 162, Statutes of 1996, Section 4440-103-0001, Provision 4, stating that these emergency regulations shall remain in effective until July 1, 1997, or until the regulations are made permanent, whichever occurs first.
6. Certificate of Compliance as to 12-30-94 order, including amendment of section heading and section, transmitted to OAL 5-30-97 and filed 7-1-97 (Register 97, No. 27).
§1775. Provider Utilization Control.
Note     •     History

All providers shall comply with Federal requirements for utilization control pursuant to Title 42, CFR, Chapter IV, Subchapter C, Part 456, Subpart D. These requirements include certification of need for care, evaluation and medical review, plans of care and utilization review plan. Each provider shall establish a Utilization Review Committee to determine whether admission and length of stay are appropriate to level of care and to identify problems with quality of care. Composition of the committee shall meet the requirements of Title 42, CFR, Chapter IV, Subchapter C, Part 456, Subpart D.
NOTE

Authority cited: Section 14680, Welfare and Institutions Code. Reference: Sections 5777 and 5778, Welfare and Institutions Code.
HISTORY

1. New section filed 12-30-94 as an emergency; operative 1-1-95 (Register 94, No. 52). Notwithstanding Chapter 3.5 (commencing with Section 11340) of Part 1 of Division 3 of Title 2 of the Government Code, a Certificate of Compliance must be transmitted to OAL by June 30, 1995, pursuant to Section 7, Chapter 633, Statutes of 1994, or emergency language will be repealed by operation of law on the following day.
2. New section refiled 6-30-95 as an emergency; operative 7-1-95 (Register 95, No. 26). A Certificate of Compliance must be transmitted to OAL by 10-28-95 or emergency language will be repealed by operation of law on the following day.
3. New section continued 8-3-95 as an emergency pursuant to Chapter 305, Statutes of 1995, Section 24, stating that these emergency regulations remain in effect until July 1, 1996, or until the regulations are made permanent, whichever occurs first.
4. Certificate of Compliance as to 12-30-94 order transmitted to OAL 7-1-96; disapproved by OAL on 8-13-96. (Register 96, No. 33).
5. New section continued 7-15-96 as an emergency pursuant to Chapter 162, Statutes of 1996, Section 4440-103-0001, Provision 4, stating that these emergency regulations shall remain in effective until July 1, 1997, or until the regulations are made permanent, whichever occurs first.
6. Certificate of Compliance as to 12-30-94 order, including amendment of section, transmitted to OAL 5-30-97 and filed 7-1-97 (Register 97, No. 27).
§1776. MHP Payment Authorization - General Provisions.
Note     •     History

(a) The MHP payment authorization shall be determined for:
(1) Fee-for-Service/Medi-Cal providers by an MHP's Point of Authorization.
(2) For Short-Doyle/Medi-Cal providers by either:
(A) An MHP's Point of Authorization, or
(B) The provider's Utilization Review Committee.
(b) An MHP that authorizes payment to a provider of psychiatric inpatient hospital services, shall be responsible for payment of the Medi-Cal matching funds, with the following exceptions:
(1) Psychiatric inpatient hospital services for individuals eligible for the County Medical Services Program. These services shall be authorized by the MHP for that county, but the MHP will not be responsible for payment of those services.
(2) Psychiatric inpatient hospital services for a beneficiary from San Mateo, Santa Barbara or Solano County who is not a member of the County Organized Health System in those counties. These services shall be authorized by the MHP for the beneficiary's county but the MHP shall not be responsible for payment of those services.
(c) An MHP shall authorize payment for psychiatric inpatient hospital services that meet the requirements of this chapter and any additional contract requirements. When all other authorization criteria are met, MHP payment authorization requests presented for authorization beyond the timelines specified in this chapter shall be granted when an MHP determines that the provider was prevented from submitting a timely request because of circumstances beyond the provider's control.
(1) The provider shall submit any additional and relevant documentation, if required by the MHP, within sixty (60) calendar days of submission of the late request. The documentation shall verify that the lateness was due to:
(A) A natural disaster which has:
1. Destroyed or damaged the provider's business office or records, or
2. Substantially interfered with the processing of provider's request for MHP payment authorization; or
(B) Delays caused by other circumstances beyond the provider's control which have been reported to an appropriate law enforcement or fire agency when applicable.
(2) Circumstances which shall not be considered beyond the control of the provider include but are not limited to:
(A) Negligence by employees.
(B) Misunderstanding of program requirements.
(C) Illness or absence of any employee trained to prepare MHP payment authorizations.
(D) Delays caused by the United States Postal Service or any private delivery service.
(d) The MHP authorizing payment for services shall be the MHP for the county of residence as specified on the Medi-Cal Eligibility Data System (MEDS) file.
NOTE

Authority cited: Section 14680, Welfare and Institutions Code. Reference: Sections 5777, 5778 and 14684, Welfare and Institutions Code.
HISTORY

1. New section filed 12-30-94 as an emergency; operative 1-1-95 (Register 94, No. 52). Notwithstanding Chapter 3.5 (commencing with Section 11340) of Part 1 of Division 3 of Title 2 of the Government Code, a Certificate of Compliance must be transmitted to OAL by June 30, 1995, pursuant to Section 7, Chapter 633, Statutes of 1994, or emergency language will be repealed by operation of law on the following day.
2. New section refiled 6-30-95 as an emergency; operative 7-1-95 (Register 95, No. 26). A Certificate of Compliance must be transmitted to OAL by 10-28-95 or emergency language will be repealed by operation of law on the following day.
3. New section continued 8-3-95 as an emergency pursuant to Chapter 305, Statutes of 1995, Section 24, stating that these emergency regulations remain in effect until July 1, 1996, or until the regulations are made permanent, whichever occurs first.
4. Certificate of Compliance as to 12-30-94 order transmitted to OAL 7-1-96; disapproved by OAL on 8-13-96. (Register 96, No. 33).
5. New section continued 7-15-96 as an emergency pursuant to Chapter 162, Statutes of 1996, Section 4440-103-0001, Provision 4, stating that these emergency regulations shall remain in effective until July 1, 1997, or until the regulations are made permanent, whichever occurs first.
6. Certificate of Compliance as to 12-30-94 order, including amendment of section heading and section, transmitted to OAL 5-30-97 and filed 7-1-97 (Register 97, No. 27).
§1777. MHP Payment Authorization by a Point of Authorization.
Note     •     History

(a) A provider shall submit a separate written request for MHP payment authorization of psychiatric inpatient hospital services to the Point of Authorization of the beneficiary's MHP for each of the following:
(1) The planned admission of a beneficiary.
(2) Ninety-nine (99) calendar days of continuous service to a beneficiary, if the hospital stay exceeds that period of time.
(3) Discharge.
(4) Services that qualify for Medical Assistance Pending Fair Hearing (Aid Paid Pending).
(5) Administrative day services that are requested for a beneficiary.
(b) A provider shall submit the request for MHP payment authorization for psychiatric inpatient hospital services to the Point of Authorization of the beneficiary's MHP not later than:
(1) Prior to a planned admission.
(2) Within fourteen (14) calendar days after:
(A) Ninety-nine (99) calendar days of continuous service to a beneficiary if the hospital stay exceeds that period of time.
(B) Discharge.
(C) The date that a beneficiary qualifies for Medical Assistance Pending Fair Hearing (Aid Paid Pending).
(c) A written request for MHP payment authorization to the Point of Authorization shall be in the form of:
(1) A Treatment Authorization Request (TAR) for Fee-for-Service/Medi-Cal providers or;
(2) As specified by the MHP Short-Doyle/Medi-Cal providers.
(d) The Point of Authorization staff that approve or deny payment shall be licensed mental health professionals of the beneficiary's MHP.
(e) Approval or disapproval for each MHP payment authorization shall be documented by the Point of Authorization in writing:
(1) On the same TAR on which the Fee-for-Service/Medi-Cal provider requested MHP payment authorization or,
(2) In an MHP payment authorization log maintained by the MHP for Short-Doyle/Medi-Cal providers.
(f) The MHP shall document that all adverse decisions regarding provider requests for MHP payment authorization based on medical necessity criteria or emergency medical condition were reviewed and approved:
(1) by a physician, or
(2) at the discretion of the MHP, by a psychologist for patients admitted by a psychologist and who received services under his/her scope of practice.
(g) A request for an MHP payment authorization may be denied by a Point of Authorization if the request is not submitted in accordance with timelines in this chapter [except as specified in Section 1776(c)], the notification requirements, the medical necessity reimbursement criteria, emergency psychiatric condition criteria on an emergency admission or if the provider has failed to meet any other mandatory requirements of the contract negotiated between the provider and the MHP.
(h) A Point of Authorization shall approve or deny the request for MHP payment authorization within 14 days of the receipt of the request.
(i) Point of Authorization staff may authorize payments for up to seven (7) calendar days in advance of service provision.
(j) Approval of the MHP payment authorization by a Point of Authorization requires that:
(1) Planned admission requests for an MHP's payment authorization shall be approved when written documentation provided indicates that the beneficiary meets medical necessity criteria for reimbursement of psychiatric inpatient hospital services, as specified in Section 1774. The request shall be submitted and approved prior to admission.
(2) Emergency admissions shall not be subject to prior MHP payment authorization.
(3) A request for MHP payment authorization for continued stay services shall be submitted to the Point of Authorization as follows:
(A) A contract provider's request shall be submitted within the timelines specified in the contract. If the contract does not specify timelines, the contract provider shall be subject to the same timeline requirements as the non-contract providers.
(B) A non-contract provider's request shall be submitted to the Point of Authorization not later than:
1. Within fourteen (14) calendar days after the beneficiary is discharged from the hospital, or
2. Within fourteen (14) calendar days after a beneficiary has received ninety-nine (99) continuous calendar days of psychiatric inpatient hospital services.
(4) Requests for MHP payment authorization for continued stay services shall be approved if written documentation has been provided to the MHP indicating that the beneficiary met the medical necessity reimbursement criteria for acute psychiatric inpatient hospital services for each day of service as well as the other requirements for timeliness of notification and any other contractual requirements except as specified in Section 1776.
(5) Requests for MHP payment authorization for administrative day services shall be approved by an MHP when both of the following conditions are met:
(A) During the hospital stay, a beneficiary previously has met medical necessity criteria for reimbursement of acute psychiatric inpatient hospital services.
(B) There is no appropriate, non-acute treatment facility in a reasonable geographic area and a provider documents contacts with a minimum of five (5) appropriate, non-acute treatment facilities per week subject to the following requirements:
1. Point of Authorization staff may waive the requirements of five (5) contacts per week if there are less than five (5) appropriate, non-acute treatment facilities available as placement options for the beneficiary. In no case shall there be less than one (1) contact per week.
2. The lack of appropriate, non-acute treatment facilities and the contacts made at appropriate facilities shall be documented to include but not be limited to:
a. The status of the placement option.
b. Date of the contact.
c. Signature of the person making the contact.
(C) For beneficiaries also eligible under Medicare (Part A) who have received acute psychiatric inpatient hospital services which are not covered by Medi-Cal, providers shall notify the Point of Authorization within twenty-four (24) hours or as specified in the contract, prior to beginning administrative day services meeting the requirements in Section 1728.
(6) Medical Assistance Pending Fair Hearing Decision requests for MHP payment authorization by a provider shall be approved by an MHP when necessary documentation, as specified in Title 22, California Code of Regulations, is submitted.
NOTE

Authority cited: Section 14680, Welfare and Institutions Code. Reference: Sections 5777, 5778 and 14684, Welfare and Institutions Code.
HISTORY

1. New section filed 12-30-94 as an emergency; operative 1-1-95 (Register 94, No. 52). Notwithstanding Chapter 3.5 (commencing with Section 11340) of Part 1 of Division 3 of Title 2 of the Government Code, a Certificate of Compliance must be transmitted to OAL by June 30, 1995, pursuant to Section 7, Chapter 633, Statutes of 1994, or emergency language will be repealed by operation of law on the following day.
2. New section refiled 6-30-95 as an emergency; operative 7-1-95 (Register 95, No. 26). A Certificate of Compliance must be transmitted to OAL by 10-28-95 or emergency language will be repealed by operation of law on the following day.
3. New section continued 8-3-95 as an emergency pursuant to Chapter 305, Statutes of 1995, Section 24, stating that these emergency regulations remain in effect until July 1, 1996, or until the regulations are made permanent, whichever occurs first.
4. Certificate of Compliance as to 12-30-94 order transmitted to OAL 7-1-96; disapproved by OAL on 8-13-96. (Register 96, No. 33).
5. New section continued 7-15-96 as an emergency pursuant to Chapter 162, Statutes of 1996, Section 4440-103-0001, Provision 4, stating that these emergency regulations shall remain in effective until July 1, 1997, or until the regulations are made permanent, whichever occurs first.
6. Certificate of Compliance as to 12-30-94 order, including amendment of section heading and section, transmitted to OAL 5-30-97 and filed 7-1-97 (Register 97, No. 27).
§1778. MHP Payment Authorization for Emergency Admissions by a Point of Authorization.
Note     •     History

(a) A provider shall not be required to obtain prior authorization for payment for an emergency admission, whether voluntary or involuntary.
(b) The provider of emergency psychiatric inpatient hospital services shall assure that the beneficiary meets the criteria for medical necessity in Section 1774 of this chapter, and due to a mental disorder, is:
(1) A danger to self or others, or
(2) Immediately unable to provide for, or utilize, food, shelter or clothing.
(c) The provider of emergency psychiatric inpatient hospital services shall notify the MHP of the county of the beneficiary within twenty-four (24) hours of the time of the admission of the beneficiary to the hospital, or within the timelines specified in the contract, if applicable.
(1) If the provider cannot determine the MHP of the beneficiary, the provider shall notify the MHP of the county where the provider is located, within twenty-four (24) hours of admission.
(2) The MHP for the county where the provider is located shall assist the provider to determine the MHP of the beneficiary. The provider shall notify the MHP of the beneficiary within twenty-four (24) hours of determination of the appropriate MHP.
(d) Requests for MHP payment authorization for an emergency admission shall be approved by an MHP when:
(1) A provider notified the Point of Authorization within twenty-four (24) hours of admission of a beneficiary to the hospital or within the time required by contract, if applicable.
(2) Written documentation has been provided to the MHP that certifies that a beneficiary met the criteria in (b) at the time of admission.
(3) Written documentation has been provided to the MHP that certifies a beneficiary met the criteria in (b) for the day of admission.
(4) A non-contract provider includes documentation that the beneficiary could not be safely transferred to a contract hospital of the MHP of the beneficiary if the transfer was requested by an MHP.
(e) After an emergency admission, a beneficiary's MHP may:
(1) Transfer the beneficiary from a non-contract to a contract provider as soon as it is safe to do so, based on reasonable clinical judgement.
(2) Choose to authorize continued stay with a non-contract provider.
NOTE

Authority cited: Section 14680, Welfare and Institutions Code. Reference: Sections 5777, 5778 and 14684, Welfare and Institutions Code.
HISTORY

1. New section filed 12-30-94 as an emergency; operative 1-1-95 (Register 94, No. 52). Notwithstanding Chapter 3.5 (commencing with Section 11340) of Part 1 of Division 3 of Title 2 of the Government Code, a Certificate of Compliance must be transmitted to OAL by June 30, 1995, pursuant to Section 7, Chapter 633, Statutes of 1994, or emergency language will be repealed by operation of law on the following day.
2. New section refiled 6-30-95 as an emergency; operative 7-1-95 (Register 95, No. 26). A Certificate of Compliance must be transmitted to OAL by 10-28-95 or emergency language will be repealed by operation of law on the following day.
3. New section continued 8-3-95 as an emergency pursuant to Chapter 305, Statutes of 1995, Section 24, stating that these emergency regulations remain in effect until July 1, 1996, or until the regulations are made permanent, whichever occurs first.
4. Certificate of Compliance as to 12-30-94 order transmitted to OAL 7-1-96; disapproved by OAL on 8-13-96. (Register 96, No. 33).
5. New section continued 7-15-96 as an emergency pursuant to Chapter 162, Statutes of 1996, Section 4440-103-0001, Provision 4, stating that these emergency regulations shall remain in effective until July 1, 1997, or until the regulations are made permanent, whichever occurs first.
6. Certificate of Compliance as to 12-30-94 order, including amendment of section heading and section, transmitted to OAL 5-30-97 and filed 7-1-97 (Register 97, No. 27).
§1779. MHP Payment Authorization by a Utilization Review Committee.
Note     •     History

(a) MHP payment authorization for psychiatric inpatient hospital services provided by a Short-Doyle/Medi-Cal provider, if not made by an MHP's Point of Authorization pursuant to Section 1777 of this chapter, shall be made by the provider's Utilization Review Committee.
(1) The Utilization Review Committee shall meet the Federal requirements for participants pursuant to Title 42, CFR, Chapter IV, Subchapter C, Part 456, Subpart D.
(2) The decision regarding MHP payment authorization shall be documented in writing by the Utilization Review Committee.
(b) The Utilization Review Committee or its designee shall approve or deny the initial MHP payment authorization no later than the third working day from the day of admission.
(c) At the time of the initial MHP payment authorization, the Utilization Review Committee or its designee shall specify the date for the subsequent MHP payment authorization determination.
(d) Approval of MHP payment authorization by a Utilization Review Committee requires that:
(1) When provider documentation in the clinical record substantiates that the beneficiary met the medical necessity criteria, the Utilization Review Committee shall authorize payment for each day that services are provided.
(2) Requests for MHP payment authorization for administrative day services shall be approved by the Utilization Review Committee when both of the following conditions are met:
(A) During the hospital stay, a beneficiary previously had met medical necessity criteria for acute psychiatric inpatient hospital services.
(B) There is no appropriate, non-acute treatment facility within a reasonable geographic area and the provider documents contacts with a minimum of five (5) appropriate, non-acute treatment facilities per week for placement of the beneficiary subject to the following requirements.
1. The MHP or its designee can waive the requirements of five (5) contacts per week if there are fewer than five (5) appropriate, non-acute residential treatment facilities available as placement options for the beneficiary. In no case shall there be less than one (1) contact per week.
2. The lack of placement options at appropriate, residential treatment facilities and the contacts made at appropriate treatment facilities shall be documented to include but not be limited to:
a. The status of the placement option.
b. Date of the contact.
c. Signature of the person making the contact.
NOTE

Authority cited: Section 14680, Welfare and Institutions Code. Reference: Sections 5777, 5778 and 14684, Welfare and Institutions Code.
HISTORY

1. New section filed 12-30-94 as an emergency; operative 1-1-95 (Register 94, No. 52). Notwithstanding Chapter 3.5 (commencing with Section 11340) of Part 1 of Division 3 of Title 2 of the Government Code, a Certificate of Compliance must be transmitted to OAL by June 30, 1995, pursuant to Section 7, Chapter 633, Statutes of 1994, or emergency language will be repealed by operation of law on the following day.
2. New section refiled 6-30-95 as an emergency; operative 7-1-95 (Register 95, No. 26). A Certificate of Compliance must be transmitted to OAL by 10-28-95 or emergency language will be repealed by operation of law on the following day.
3. New section continued 8-3-95 as an emergency pursuant to Chapter 305, Statutes of 1995, Section 24, stating that these emergency regulations remain in effect until July 1, 1996, or until the regulations are made permanent, whichever occurs first.
4. Certificate of Compliance as to 12-30-94 order transmitted to OAL 7-1-96; disapproved by OAL on 8-13-96. (Register 96, No. 33).
5. New section continued 7-15-96 as an emergency pursuant to Chapter 162, Statutes of 1996, Section 4440-103-0001, Provision 4, stating that these emergency regulations shall remain in effective until July 1, 1997, or until the regulations are made permanent, whichever occurs first.
6. Certificate of Compliance as to 12-30-94 order, including amendment of section heading and section, transmitted to OAL 5-30-97 and filed 7-1-97 (Register 97, No. 27).
Article 5. Problem Resolution Processes
§1790. Complaint Resolution Process.
Note     •     History

“Complaint Resolution Process” means an informal process for the resolution of beneficiary concerns or complaints regarding psychiatric inpatient hospital services.
NOTE

Authority cited: Section 14680, Welfare and Institutions Code. Reference: Sections 5777 and 14684, Welfare and Institutions Code.
HISTORY

1. New Article 5 (sections 1790-1799) and section filed 12-30-94 as an emergency; operative 1-1-95 (Register 94, No. 52). Notwithstanding Chapter 3.5 (commencing with Section 11340) of Part 1 of Division 3 of Title 2 of the Government Code, a Certificate of Compliance must be transmitted to OAL by June 30, 1995, pursuant to Section 7, Chapter 633, Statutes of 1994, or emergency language will be repealed by operation of law on the following day.
2. New article 5 and section refiled 6-30-95 as an emergency; operative 7-1-95 (Register 95, No. 26). A Certificate of Compliance must be transmitted to OAL by 10-28-95 or emergency language will be repealed by operation of law on the following day.
3. New Article 3  (sections 1790 through 1799) and section continued 8-3-95 as an emergency pursuant to Chapter 305, Statutes of 1995, Section 24, stating that these emergency regulations remain in effect until July 1, 1996, or until the regulations are made permanent, whichever occurs first.
4. Certificate of Compliance as to 12-30-94 order transmitted to OAL 7-1-96; disapproved by OAL on 8-13-96. (Register 96, No. 33).
5. New Article  (sections 1790 through 1799) and section continued 7-15-96 as an emergency pursuant to Chapter 162, Statutes of 1996, Section 4440-103-0001, Provision 4, stating that these emergency regulations shall remain in effective until July 1, 1997, or until the regulations are made permanent, whichever occurs first.
6. Certificate of Compliance as to 12-30-94 order, including amendment of section, transmitted to OAL 5-30-97 and filed 7-1-97 (Register 97, No. 27).
§1791. Denial.
Note     •     History

“Denial” means that the MHP does not approve a request for MHP payment authorization of an admission for psychiatric inpatient hospital services.
NOTE

Authority cited: Section 14680, Welfare and Institutions Code. Reference: Section 14684, Welfare and Institutions Code.
HISTORY

1. New section filed 12-30-94 as an emergency; operative 1-1-95 (Register 94, No. 52). Notwithstanding Chapter 3.5 (commencing with Section 11340) of Part 1 of Division 3 of Title 2 of the Government Code, a Certificate of Compliance must be transmitted to OAL by June 30, 1995, pursuant to Section 7, Chapter 633, Statutes of 1994, or emergency language will be repealed by operation of law on the following day.
2. New section refiled 6-30-95 as an emergency; operative 7-1-95 (Register 95, No. 26). A Certificate of Compliance must be transmitted to OAL by 10-28-95 or emergency language will be repealed by operation of law on the following day.
3. New section continued 8-3-95 as an emergency pursuant to Chapter 305, Statutes of 1995, Section 24, stating that these emergency regulations remain in effect until July 1, 1996, or until the regulations are made permanent, whichever occurs first.
4. Certificate of Compliance as to 12-30-94 order transmitted to OAL 7-1-96; disapproved by OAL on 8-13-96. (Register 96, No. 33).
5. New section continued 7-15-96 as an emergency pursuant to Chapter 162, Statutes of 1996, Section 4440-103-0001, Provision 4, stating that these emergency regulations shall remain in effective until July 1, 1997, or until the regulations are made permanent, whichever occurs first.
6. Certificate of Compliance as to 12-30-94 order, including amendment of section, transmitted to OAL 5-30-97 and filed 7-1-97 (Register 97, No. 27).
§1792. Fair Hearing.
Note     •     History

“Fair Hearing” means a formal hearing, as required by Federal regulations and State statutes and regulations, which is conducted when requested by a beneficiary within specified timelines, because his/her services or extension of services  are denied or terminated.
NOTE

Authority cited: Section 14680, Welfare and Institutions Code. Reference: Sections 5777, 5778 and 14684, Welfare and Institutions Code.
HISTORY

1. New section filed 12-30-94 as an emergency; operative 1-1-95 (Register 94, No. 52). Notwithstanding Chapter 3.5 (commencing with Section 11340) of Part 1 of Division 3 of Title 2 of the Government Code, a Certificate of Compliance must be transmitted to OAL by June 30, 1995, pursuant to Section 7, Chapter 633, Statutes of 1994, or emergency language will be repealed by operation of law on the following day.
2. New section refiled 6-30-95 as an emergency; operative 7-1-95 (Register 95, No. 26). A Certificate of Compliance must be transmitted to OAL by 10-28-95 or emergency language will be repealed by operation of law on the following day.
3. New section continued 8-3-95 as an emergency pursuant to Chapter 305, Statutes of 1995, Section 24, stating that these emergency regulations remain in effect until July 1, 1996, or until the regulations are made permanent, whichever occurs first.
4. Certificate of Compliance as to 12-30-94 order transmitted to OAL 7-1-96; disapproved by OAL on 8-13-96. (Register 96, No. 33).
5. New section continued 7-15-96 as an emergency pursuant to Chapter 162, Statutes of 1996, Section 4440-103-0001, Provision 4, stating that these emergency regulations shall remain in effective until July 1, 1997, or until the regulations are made permanent, whichever occurs first.
6. Certificate of Compliance as to 12-30-94 order transmitted to OAL 5-30-97 and filed 7-1-97 (Register 97, No. 27).
§1793. Grievance Process.
Note     •     History

“Grievance Process” means the MHP's formal process for the purpose of hearing and attempting to resolve beneficiary concerns or complaints regarding psychiatric inpatient hospital services.
NOTE

Authority cited: Section 14680, Welfare and Institutions Code. Reference: Section 14684, Welfare and Institutions Code.
HISTORY

1. New section filed 12-30-94 as an emergency; operative 1-1-95 (Register 94, No. 52). Notwithstanding Chapter 3.5 (commencing with Section 11340) of Part 1 of Division 3 of Title 2 of the Government Code, a Certificate of Compliance must be transmitted to OAL by June 30, 1995, pursuant to Section 7, Chapter 633, Statutes of 1994, or emergency language will be repealed by operation of law on the following day.
2. New section refiled 6-30-95 as an emergency; operative 7-1-95 (Register 95, No. 26). A Certificate of Compliance must be transmitted to OAL by 10-28-95 or emergency language will be repealed by operation of law on the following day.
3. New section continued 8-3-95 as an emergency pursuant to Chapter 305, Statutes of 1995, Section 24, stating that these emergency regulations remain in effect until July 1, 1996, or until the regulations are made permanent, whichever occurs first.
4. Certificate of Compliance as to 12-30-94 order transmitted to OAL 7-1-96; disapproved by OAL on 8-13-96. (Register 96, No. 33).
5. New section continued 7-15-96 as an emergency pursuant to Chapter 162, Statutes of 1996, Section 4440-103-0001, Provision 4, stating that these emergency regulations shall remain in effective until July 1, 1997, or until the regulations are made permanent, whichever occurs first.
6. Certificate of Compliance as to 12-30-94 order, including amendment of section, transmitted to OAL 5-30-97 and filed 7-1-97 (Register 97, No. 27).
§1794. Terminated.
Note     •     History

“Terminated” means that the MHP does not approve a request for continued stay services after an MHP payment authorization for an admission.
NOTE

Authority cited: Section 14680, Welfare and Institutions Code. Reference: Section 14684, Welfare and Institutions Code.
HISTORY

1. New section filed 12-30-94 as an emergency; operative 1-1-95 (Register 94, No. 52). Notwithstanding Chapter 3.5 (commencing with Section 11340) of Part 1 of Division 3 of Title 2 of the Government Code, a Certificate of Compliance must be transmitted to OAL by June 30, 1995, pursuant to Section 7, Chapter 633, Statutes of 1994, or emergency language will be repealed by operation of law on the following day.
2. New section refiled 6-30-95 as an emergency; operative 7-1-95 (Register 95, No. 26). A Certificate of Compliance must be transmitted to OAL by 10-28-95 or emergency language will be repealed by operation of law on the following day.
3. New section continued 8-3-95 as an emergency pursuant to Chapter 305, Statutes of 1995, Section 24, stating that these emergency regulations remain in effect until July 1, 1996, or until the regulations are made permanent, whichever occurs first.
4. Certificate of Compliance as to 12-30-94 order transmitted to OAL 7-1-96; disapproved by OAL on 8-13-96. (Register 96, No. 33).
5. New section continued 7-15-96 as an emergency pursuant to Chapter 162, Statutes of 1996, Section 4440-103-0001, Provision 4, stating that these emergency regulations shall remain in effective until July 1, 1997, or until the regulations are made permanent, whichever occurs first.
6. Certificate of Compliance as to 12-30-94 order, including amendment of section, transmitted to OAL 5-30-97 and filed 7-1-97 (Register 97, No. 27).
§1795. Beneficiary Problem Resolution Processes.
Note     •     History

(a) An MHP shall develop problem resolution processes that enable a beneficiary to resolve a complaint or grievance about any psychiatric inpatient hospital service-related issue.
(b) The MHP's beneficiary problem resolution processes shall include both:
(1) A Complaint Resolution Proces; and,
(2) A Grievance Process (Two Levels)
(c) An MHP shall ensure that each beneficiary has adequate information about and access to the resolution processes in (b).
(d) The Complaint Resolution Process shall, at a minimum:
(1) Focus upon resolution of a beneficiary's concerns as quickly and simply as possible.
(2) Emphasize simple, informal and easily understood procedures.
(3) Inform a beneficiary of his or her right to use the Grievance Process at any time before, during or after the Complaint Resolution Process has begun.
(4) Identify a procedure by which issues identified as a result of the Complaint Resolution Process are transmitted to the MHP's Quality Improvement Committee, to the MHP's administration or to another appropriate body within the MHP to implement needed action.
(5) Identify the roles and responsibilities of the MHP, the provider and the beneficiary.
(e) The Grievance Process shall, at a minimum:
(1) Be a formal written procedure that provides for two levels of review within the MHP.
(2) Allow for the resolution of each level of a grievance within thirty (30) calendar days of receipt of the grievance by that level of the MHP.
(3) Identify a procedure by which issues identified as a result of the Grievance Process are transmitted to the MHP's Quality Improvement Committee, to the MHP's administration or to another appropriate body within the MHP to implement needed action.
(4) Identify the roles and responsibilities of the MHP, the provider and the beneficiary.
(5) Provide for:
(A) Recording the grievance in a Grievance Log(s) within one (1) working day of the date of receipt of the grievance.
(B) The Log entry shall include but not be limited to:
1. The name of the beneficiary.
2. The date of receipt of the grievance.
3. The nature of the problem.
4. The time period allowed for resolution.
5. The party responsible for addressing the grievance.
(C) Recording the resolution of a grievance within the required time period or document the reason(s) the problem has not been resolved.
(D) Documenting the notification of a beneficiary of the resolution of the grievance or documenting efforts to notify the beneficiary if he or she could not be contacted.
(E) If a provider was included in the grievance, notifying any provider involved with the resolution of the beneficiary grievance.
(F) Notifying the beneficiary of his or her right to appeal the grievance decision to a second level of review within the MHP.
(f) The MHP shall ensure that for the Complaint Resolution Process or the Grievance Process:
(1) A beneficiary may authorize another person to act on his or her behalf.
(2) Specific MHP staff are identified as having responsibility for assisting a beneficiary with these processes at the beneficiary's request.
(3) A beneficiary shall not be subject to discrimination or any other penalty for filing a complaint or grievance.
(4) Procedures used shall maintain the confidentiality of a beneficiary.
(g) An MHP's Grievance Log(s) shall be open to review by the Department, the Department of Health Services and the Federal oversight agency.
(h) A provider may have its own complaint resolution and grievance processes. A beneficiary shall have access to the provider's processes as well as those provided by the MHP.
(i) No provision of an MHP Beneficiary Problem Resolution Process shall be construed to replace or conflict with the duties of county patients' rights advocates designated in Welfare and Institutions Code Section 5500.
(j) Each MHP shall report to the Department by October 1 of each year, a summary of beneficiary grievances, as well as their status and resolution.
NOTE

Authority cited: Section 14680, Welfare and Institutions Code. Reference: Section 14684, Welfare and Institutions Code.
HISTORY

1. New section filed 12-30-94 as an emergency; operative 1-1-95 (Register 94, No. 52). Notwithstanding Chapter 3.5 (commencing with Section 11340) of Part 1 of Division 3 of Title 2 of the Government Code, a Certificate of Compliance must be transmitted to OAL by June 30, 1995, pursuant to Section 7, Chapter 633, Statutes of 1994, or emergency language will be repealed by operation of law on the following day.
2. New section refiled 6-30-95 as an emergency; operative 7-1-95 (Register 95, No. 26). A Certificate of Compliance must be transmitted to OAL by 10-28-95 or emergency language will be repealed by operation of law on the following day.
3. New section continued 8-3-95 as an emergency pursuant to Chapter 305, Statutes of 1995, Section 24, stating that these emergency regulations remain in effect until July 1, 1996, or until the regulations are made permanent, whichever occurs first.
4. Certificate of Compliance as to 12-30-94 order transmitted to OAL 7-1-96; disapproved by OAL on 8-13-96. (Register 96, No. 33).
5. New section continued 7-15-96 as an emergency pursuant to Chapter 162, Statutes of 1996, Section 4440-103-0001, Provision 4, stating that these emergency regulations shall remain in effective until July 1, 1997, or until the regulations are made permanent, whichever occurs first.
6. Certificate of Compliance as to 12-30-94 order, including amendment of section, transmitted to OAL 5-30-97 and filed 7-1-97 (Register 97, No. 27).
§1796. Fair Hearing and Notice of Action.
Note     •     History

(a) An MHP shall provide a written Notice of Action to the beneficiary that informs him or her of the right to a fair hearing when:
(1) An MHP payment authorization for a planned admission is denied.
(2) An MHP payment authorization for continued stay services is terminated for a beneficiary by the MHP while the beneficiary remains in the hospital.
(b) Fair hearing shall be administered by the Department of Health Services.
(c) An MHP shall be governed by the conditions set forth in Section 51014.1, Title 22, California Code of Regulations, and court rulings that have interpreted or modified existing regulations.
(d) For the purpose of this chapter, each reference to Department in Section 51014.1, Title 22, California Code of Regulations, shall mean the  MHP.
(e) For the purpose of this section, “medical service” as cited in Section 51014.1, Title 22, California Code of Regulations shall mean those psychiatric inpatient hospital services that are subject to prior authorization by an MHP pursuant to Article 4 of this chapter.
(f) An MHP shall submit to the Department within ten (10) working days, copies of all Notices of Action delivered to beneficiaries.
NOTE

Authority cited: Section 14684, Welfare and Institutions Code. Reference: Section 14684, Welfare and Institutions Code.
HISTORY

1. New section filed 12-30-94 as an emergency; operative 1-1-95 (Register 94, No. 52). Notwithstanding Chapter 3.5 (commencing with Section 11340) of Part 1 of Division 3 of Title 2 of the Government Code, a Certificate of Compliance must be transmitted to OAL by June 30, 1995, pursuant to Section 7, Chapter 633, Statutes of 1994, or emergency language will be repealed by operation of law on the following day.
2. New section refiled 6-30-95 as an emergency; operative 7-1-95 (Register 95, No. 26). A Certificate of Compliance must be transmitted to OAL by 10-28-95 or emergency language will be repealed by operation of law on the following day.
3. New section continued 8-3-95 as an emergency pursuant to Chapter 305, Statutes of 1995, Section 24, stating that these emergency regulations remain in effect until July 1, 1996, or until the regulations are made permanent, whichever occurs first.
4. Certificate of Compliance as to 12-30-94 order transmitted to OAL 7-1-96; disapproved by OAL on 8-13-96. (Register 96, No. 33).
5. New section continued 7-15-96 as an emergency pursuant to Chapter 162, Statutes of 1996, Section 4440-103-0001, Provision 4, stating that these emergency regulations shall remain in effective until July 1, 1997, or until the regulations are made permanent, whichever occurs first.
6. Certificate of Compliance as to 12-30-94 order, including amendment of section, transmitted to OAL 5-30-97 and filed 7-1-97 (Register 97, No. 27).
§1797. Medical Assistance for Beneficiary Pending Fair Hearing Decision.
Note     •     History

A beneficiary receiving psychiatric inpatient hospital services pursuant to this chapter shall have the same rights to file for medical assistance pending fair hearing as prescribed in Section 51014.2, Title 22, California Code of Regulations, or required by court decisions.
NOTE

Authority cited: Section 14680, Welfare and Institutions Code. Reference: Section 14684, Welfare and Institutions Code.
HISTORY

1. New section filed 12-30-94 as an emergency; operative 1-1-95 (Register 94, No. 52). Notwithstanding Chapter 3.5 (commencing with Section 11340) of Part 1 of Division 3 of Title 2 of the Government Code, a Certificate of Compliance must be transmitted to OAL by June 30, 1995, pursuant to Section 7, Chapter 633, Statutes of 1994, or emergency language will be repealed by operation of law on the following day.
2. New section refiled 6-30-95 as an emergency; operative 7-1-95 (Register 95, No. 26). A Certificate of Compliance must be transmitted to OAL by 10-28-95 or emergency language will be repealed by operation of law on the following day.
3. New section continued 8-3-95 as an emergency pursuant to Chapter 305, Statutes of 1995, Section 24, stating that these emergency regulations remain in effect until July 1, 1996, or until the regulations are made permanent, whichever occurs first.
4. Certificate of Compliance as to 12-30-94 order transmitted to OAL 7-1-96; disapproved by OAL on 8-13-96. (Register 96, No. 33).
5. New section continued 7-15-96 as an emergency pursuant to Chapter 162, Statutes of 1996, Section 4440-103-0001, Provision 4, stating that these emergency regulations shall remain in effective until July 1, 1997, or until the regulations are made permanent, whichever occurs first.
6. Certificate of Compliance as to 12-30-94 order, including amendment of section, transmitted to OAL 5-30-97 and filed 7-1-97 (Register 97, No. 27).
§1798. Provider Appeal Process - Services.
Note     •     History

(a) A provider may appeal a denied, terminated or reduced request for MHP payment authorization of psychiatric inpatient hospital services which is based on this chapter to the beneficiary's MHP. Any additional MHP contractual requirements which are beyond the requirements of this chapter cannot be appealed to the Department. The written appeal shall be submitted to the MHP within ninety (90) calendar days of the date of receipt date of notification of the non-approval of payment.
(b) The MHP shall have sixty (60) calendar days from its receipt of the appeal to inform the provider in writing of the decision and its basis.
(1) If no basis is found for altering the decision the provider shall be notified of its right to submit an appeal to the Department when applicable.
(2) If the MHP grants the request, the MHP shall have fourteen (14) calendar days from the date of receipt of the provider's revised request for MHP payment authorization to approve the document.
(3) If an MHP does not respond within sixty (60) calendar days, the appeal is denied and the provider retains the right to appeal directly to the Department.
(c) If a provider chooses to appeal to the Department an MHP's denial of MHP payment authorization, the appeal shall be submitted in writing, along with supporting documentation, within thirty (30) calendar days from the date of the MHP's written decision of denial. The provider may appeal to the Department within thirty (30) calendar days after sixty (60) calendar days from submission to the MHP, if the MHP fails to respond. Supporting documentation shall include, but not be limited to:
(1) Any documentation supporting allegations of timeliness, if at issue, including fax records, phone records or memos.
(2) Clinical records supporting the existence of medical necessity if at issue.
(3) A summary of reasons why the MHP should have approved the MHP payment authorization.
(4) A contact person(s) name, address and phone number.
(d) The Department shall notify the MHP and the provider of its receipt of a request for appeal within seven (7) calendar days, along with a request for specific documentation supporting the denial of the MHP payment authorization.
(e) The MHP shall submit the required documentation within twenty-one (21) calendar days or the Department shall find in favor of the provider.
(f) The Department shall have sixty (60) calendar days from the receipt of the MHP's documentation to notify, in writing, the provider and the MHP of its decision and its basis.
(1) The Department may allow both a provider representative(s) and the MHP representative(s) an opportunity to present oral argument to the department.
(2) If the Department upholds a provider's appeal, the MHP has fourteen (14) calendar days from the receipt of the provider's revised request for payment to approve the MHP payment authorization document or submit documentation to the Medi-Cal fiscal intermediary required to process the MHP payment authorization.
NOTE

Authority cited: Section 14680, Welfare and Institutions Code. Reference: Section 14684, Welfare and Institutions Code.
HISTORY

1. New section filed 12-30-94 as an emergency; operative 1-1-95 (Register 94, No. 52). Notwithstanding Chapter 3.5 (commencing with Section 11340) of Part 1 of Division 3 of Title 2 of the Government Code, a Certificate of Compliance must be transmitted to OAL by June 30, 1995, pursuant to Section 7, Chapter 633, Statutes of 1994, or emergency language will be repealed by operation of law on the following day.
2. New section refiled 6-30-95 as an emergency; operative 7-1-95 (Register 95, No. 26). A Certificate of Compliance must be transmitted to OAL by 10-28-95 or emergency language will be repealed by operation of law on the following day.
3. New section continued 8-3-95 as an emergency pursuant to Chapter 305, Statutes of 1995, Section 24, stating that these emergency regulations remain in effect until July 1, 1996, or until the regulations are made permanent, whichever occurs first.
4. Certificate of Compliance as to 12-30-94 order transmitted to OAL 7-1-96; disapproved by OAL on 8-13-96. (Register 96, No. 33).
5. New section continued 7-15-96 as an emergency pursuant to Chapter 162, Statutes of 1996, Section 4440-103-0001, Provision 4, stating that these emergency regulations shall remain in effective until July 1, 1997, or until the regulations are made permanent, whichever occurs first.
6. Certificate of Compliance as to 12-30-94 order, including amendment of section, transmitted to OAL 5-30-97 and filed 7-1-97 (Register 97, No. 27).
§1799. Provider Appeal Process - Claims Processing.
Note     •     History

(a)  A Fee-for-Service/Medi-Cal provider may file an appeal concerning the processing or payment of its claims for psychiatric inpatient hospital services directly to the fiscal intermediary. The fiscal intermediary shall have sixty (60) calendar days from the receipt of the appeal to make a determination in writing to the provider.
(b) A Short-Doyle/Medi-Cal provider may file an appeal concerning the processing or payment of its claims for psychiatric inpatient hospital services directly to the Department. The Department shall have sixty (60) calendar days from the receipt of the appeal to make a determination in writing to the provider.
NOTE

Authority cited: Section 14680, Welfare and Institutions Code. Reference: Section 14684, Welfare and Institutions Code.
HISTORY

1. New section filed 12-30-94 as an emergency; operative 1-1-95 (Register 94, No. 52). Notwithstanding Chapter 3.5 (commencing with Section 11340) of Part 1 of Division 3 of Title 2 of the Government Code, a Certificate of Compliance must be transmitted to OAL by June 30, 1995, pursuant to Section 7, Chapter 633, Statutes of 1994, or emergency language will be repealed by operation of law on the following day.
2. New section refiled 6-30-95 as an emergency; operative 7-1-95 (Register 95, No. 26). A Certificate of Compliance must be transmitted to OAL by 10-28-95 or emergency language will be repealed by operation of law on the following day.
3. New section continued 8-3-95 as an emergency pursuant to Chapter 305, Statutes of 1995, Section 24, stating that these emergency regulations remain in effect until July 1, 1996, or until the regulations are made permanent, whichever occurs first.
4. Certificate of Compliance as to 12-30-94 order transmitted to OAL 7-1-96; disapproved by OAL on 8-13-96. (Register 96, No. 33).
5. New section continued 7-15-96 as an emergency pursuant to Chapter 162, Statutes of 1996, Section 4440-103-0001, Provision 4, stating that these emergency regulations shall remain in effective until July 1, 1997, or until the regulations are made permanent, whichever occurs first.
6. Certificate of Compliance as to 12-30-94 order, including amendment of section, transmitted to OAL 5-30-97 and filed 7-1-97 (Register 97, No. 27).
Chapter 11. Medi-Cal Specialty Mental Health Services
Subchapter 1. General Provisions
Article 1. General
§1810.100. General Program Description.
Note     •     History

Specialty mental health services, as defined in Section 1810.247 and in accordance with this Chapter, shall be provided to Medi-Cal beneficiaries of each county through a mental health plan which contracts with the Department to provide specialty mental health services to those Medi-Cal beneficiaries and to share in the financial risk of providing specialty mental health services as provided in this Chapter. When a mental health plan contracts with the Department pursuant to this Chapter, all beneficiaries of that county shall be eligible to receive Medi-Cal funded specialty mental health services as described in this Chapter only through the mental health plan. Medi-Cal funded services that are not the responsibility of the mental health plan may be obtained by beneficiaries under the provisions of Title 22, Division 3, Subdivision 1, beginning with Section 50000. 
NOTE

Authority cited: Section 14680, Welfare and Institutions Code. Reference: Sections 5775, 5776, 5777, 5778, 5780, 14640, 14681, 14682, 14683, 14684 and 14685, Welfare and Institutions Code.
HISTORY

1. New chapter 11, subchapter 1, article 1 (sections 1810.100-1810.110) and section filed 10-31-97 as an emergency; operative 11-1-97 (Register 97, No. 44). A Certificate of Compliance must be transmitted to OAL by 3-2-98 or emergency language will be repealed by operation of law on the following day.
2. New chapter 11, subchapter 1, article 1 (sections 1810.100-1810.110) and section refiled 3-2-98 as an emergency; operative 3-2-98 (Register 98, No. 10). A Certificate of Compliance must be transmitted to OAL by 6-30-98 or emergency language will be repealed by operation of law on the following day.
3. New chapter 11, subchapter 1, article 1 (sections 1810.100-1810.110) and section refiled 6-17-98 as an emergency; operative 6-30-98 (Register 98, No. 25). Pursuant to Chapter 324 (Statutes of 1998) Item 4440-103-0001(4), a Certificate of Compliance must be transmitted to OAL by 7-1-99 or emergency language will be repealed by operation of law on the following day.
4. Editorial correction of History 3 (Register 98, No. 39).
5. Editorial correction extending Certificate of Compliance date to 7-1-2001 pursuant to Chapter 50 (Statutes of 1999) Item 4440-103-0001(4) (Register 99, No. 33). Notwithstanding any other provision of law, emergency regulations adopted pursuant to Welfare and Institutions Code section 14680 to implement the second phase of mental health managed care as provided in this part shall remain in effect until permanent regulations are adopted, or June 30, 2006, whichever occurs first.
6. Editorial correction of History 5 (Register 2000, No. 42). 
7. Editorial correction of History 5 and repealer and new section filed 5-19-2006; operative 6-18-2006 (Register 2006, No. 20). 
§1810.110. Applicability of Laws and Regulations and Program Flexibility.
Note     •     History

(a) Each mental health plan contracting with the Department pursuant to this Chapter shall comply with this Chapter, all applicable federal laws, regulations and guidelines, and all applicable State laws and regulations, including Medi-Cal regulations in Division 3, Subdivision 1, of Title 22, beginning with Section 50000. 
(b) Nothing in this Chapter supersedes federal or state laws or regulations governing the confidentiality of personal or medical information, including mental health information, relating to beneficiaries. 
(c) Provisions of contracts between mental health plans and providers shall not be in conflict with this Chapter. 
(d) The Department may waive specific requirements of the regulations in Subchapters 1, 2, 3, and 4 at the request of a mental health plan pursuant to Section 5719.5 of the Welfare and Institutions Code for the purpose of testing elements of the specialty mental health services delivery system as authorized by Section 5778(c) of the Welfare and Institutions Code, provided the mental health plan remains in compliance with all other applicable laws and regulations. A written request and substantiating evidence supporting the request shall be submitted by the mental health plan to the Department. If the request is consistent with this Subsection the Department, in consultation with the State Department of Health Services, pursuant to Section 5719.5 of the Welfare and Institutions Code, shall approve the request. The approval shall provide for the terms and conditions under which the exception is granted, and shall be effected by an amendment to the contract between the mental health plan and the Department under this Chapter. 
NOTE

Authority cited: Section 14680, Welfare and Institutions Code. Reference: Sections 5719.5, 5775, 5776, 5777, 5778 and 14684, Welfare and Institutions Code.
HISTORY

1. New section filed 10-31-97 as an emergency; operative 11-1-97 (Register 97, No. 44). A Certificate of Compliance must be transmitted to OAL by 3-2-98 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 3-2-98 as an emergency; operative 3-2-98 (Register 98, No. 10). A Certificate of Compliance must be transmitted to OAL by 6-30-98 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 6-17-98 as an emergency; operative 6-30-98 (Register 98, No. 25). Pursuant to Chapter 324 (Statutes of 1998) Item 4440-103-0001(4), a Certificate of Compliance must be transmitted to OAL by 7-1-99 or emergency language will be repealed by operation of law on the following day.
4. Editorial correction of History 3 (Register 98, No. 39).
5. Editorial correction extending Certificate of Compliance date to 7-1-2001 pursuant to Chapter 50 (Statutes of 1999) Item 4440-103-0001(4) (Register 99, No. 33). Notwithstanding any other provision of law, emergency regulations adopted pursuant to Welfare and Institutions Code section 14680 to implement the second phase of mental health managed care as provided in this part shall remain in effect until permanent regulations are adopted, or June 30, 2006, whichever occurs first.
6. Editorial correction of History 5 (Register 2000, No. 42). 
7. Editorial correction of History 5 and repealer and new section filed 5-19-2006; operative 6-18-2006 (Register 2006, No. 20). 
Article 2. Definitions, Abbreviations and Program Terms
§1810.200. Action.
Note     •     History

“Action”, in the case of a mental health plan (MHP), means: 
(a) A denial, modification, reduction or termination of a provider's request for MHP payment authorization of a specialty mental health service covered by the MHP. 
(b) A determination by the MHP or its providers that the medical necessity criteria in Section 1830.205(b)(1), (b)(2), (b)(3)(C), or 1830.210(a) have not been met and the beneficiary is not entitled to any specialty mental health services from the MHP. 
(c) A failure by the MHP to provide a specialty mental health service covered by the MHP within the timeframe for delivery of the service established by the MHP; or 
(d) A failure by the MHP to act within the timeframes for resolution of grievances, appeals, or the expedited appeals established in Subchapter 5, Article 1. 
NOTE

Authority: Section 14680, Welfare and Institutions Code. Reference: Section 14684, Welfare and Institutions Code; and Title 42, Code of Federal Regulations, Part 438, Subpart F. 
HISTORY

1. Relocation of article 2 heading from preceding section 1810.201 to preceding section 1810.200 and new section filed 5-19-2006; operative 6-18-2006 (Register 2006, No. 20). 
§1810.201. Acute Psychiatric Inpatient Hospital Services.
Note     •     History

“Acute Psychiatric Inpatient Hospital Services” means those services provided by a hospital to beneficiaries for whom the facilities, services and equipment described in Section 1810.350 are medically necessary for diagnosis or treatment of a mental disorder in accordance with Section 1820.205. 
NOTE

Authority cited: Section 14680, Welfare and Institutions Code. Reference: Sections 5777, 14132 and 14684, Welfare and Institutions Code.
HISTORY

1. New article 2 (sections 1810.201-1810.254) and section filed 10-31-97 as an emergency; operative 11-1-97 (Register 97, No. 44). A Certificate of Compliance must be transmitted to OAL by 3-2-98 or emergency language will be repealed by operation of law on the following day.
2. New article 2 (sections 1810.201-1810.254) and section refiled 3-2-98 as an emergency; operative 3-2-98 (Register 98, No. 10). A Certificate of Compliance must be transmitted to OAL by 6-30-98 or emergency language will be repealed by operation of law on the following day.
3. New article 2 (sections 1810.201-1810.254) and section refiled 6-17-98 as an emergency; operative 6-30-98 (Register 98, No. 25). Pursuant to Chapter 324 (Statutes of 1998) Item 4440-103-0001(4), a Certificate of Compliance must be transmitted to OAL by 7-1-99 or emergency language will be repealed by operation of law on the following day.
4. Editorial correction of History 3 (Register 98, No. 39).
5. Editorial correction extending Certificate of Compliance date to 7-1-2001 pursuant to Chapter 50 (Statutes of 1999) Item 4440-103-0001(4) (Register 99, No. 33). Notwithstanding any other provision of law, emergency regulations adopted pursuant to Welfare and Institutions Code section 14680 to implement the second phase of mental health managed care as provided in this part shall remain in effect until permanent regulations are adopted, or June 30, 2006, whichever occurs first.
6. Editorial correction of History 5 (Register 2000, No. 42). 
7. Editorial correction of History 5, relocation of article 2 heading from preceding section 1810.201 to preceding section 1810.200 and repealer and new section filed 5-19-2006; operative 6-18-2006 (Register 2006, No. 20). 
§1810.202. Administrative Day Service.
Note     •     History

“Administrative Day Services” means psychiatric inpatient hospital services provided to a beneficiary who has been admitted to the hospital for acute psychiatric inpatient hospital services, and the beneficiary's stay at the hospital must be continued beyond the beneficiary's need for acute psychiatric inpatient hospital services due to a temporary lack of residential placement options at non-acute residential treatment facilities that meet the needs of the beneficiary. 
NOTE

Authority cited: Section 14680, Welfare and Institutions Code. Reference: Sections 5777, 14132 and 14684, Welfare and Institutions Code.
HISTORY

1. New section filed 10-31-97 as an emergency; operative 11-1-97 (Register 97, No. 44). A Certificate of Compliance must be transmitted to OAL by 3-2-98 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 3-2-98 as an emergency; operative 3-2-98 (Register 98, No. 10). A Certificate of Compliance must be transmitted to OAL by 6-30-98 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 6-17-98 as an emergency; operative 6-30-98 (Register 98, No. 25). Pursuant to Chapter 324 (Statutes of 1998) Item 4440-103-0001(4), a Certificate of Compliance must be transmitted to OAL by 7-1-99 or emergency language will be repealed by operation of law on the following day.
4. Editorial correction of History 3 (Register 98, No. 39).
5. Editorial correction extending Certificate of Compliance date to 7-1-2001 pursuant to Chapter 50 (Statutes of 1999) Item 4440-103-0001(4) (Register 99, No. 33). Notwithstanding any other provision of law, emergency regulations adopted pursuant to Welfare and Institutions Code section 14680 to implement the second phase of mental health managed care as provided in this part shall remain in effect until permanent regulations are adopted, or June 30, 2006, whichever occurs first.
6. Editorial correction of History 5 (Register 2000, No. 42). 
7. Editorial correction of History 5 and repealer and new section filed 5-19-2006; operative 6-18-2006 (Register 2006, No. 20). 
§1810.203. Adult Residential Treatment Service.
Note     •     History

“Adult Residential Treatment Service” means rehabilitative services, provided in a non-institutional, residential setting, for beneficiaries who would be at risk of hospitalization or other institutional placement if they were not in the residential treatment program. The service includes a range of activities and services that support beneficiaries in their efforts to restore, maintain and apply interpersonal and independent living skills and to access community support systems. The service is available 24 hours a day, seven days a week. Service activities may include but are not limited to assessment, plan development, therapy, rehabilitation and collateral. 
NOTE

Authority cited: Section 14680, Welfare and Institutions Code. Reference: Sections 5777, 14021.4 and 14684, Welfare and Institutions Code.
HISTORY

1. New section filed 10-31-97 as an emergency; operative 11-1-97 (Register 97, No. 44). A Certificate of Compliance must be transmitted to OAL by 3-2-98 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 3-2-98 as an emergency; operative 3-2-98 (Register 98, No. 10). A Certificate of Compliance must be transmitted to OAL by 6-30-98 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 6-17-98 as an emergency; operative 6-30-98 (Register 98, No. 25). Pursuant to Chapter 324 (Statutes of 1998) Item 4440-103-0001(4), a Certificate of Compliance must be transmitted to OAL by 7-1-99 or emergency language will be repealed by operation of law on the following day.
4. Editorial correction of History 3 (Register 98, No. 39).
5. Editorial correction extending Certificate of Compliance date to 7-1-2001 pursuant to Chapter 50 (Statutes of 1999) Item 4440-103-0001(4) (Register 99, No. 33). Notwithstanding any other provision of law, emergency regulations adopted pursuant to Welfare and Institutions Code section 14680 to implement the second phase of mental health managed care as provided in this part shall remain in effect until permanent regulations are adopted, or June 30, 2006, whichever occurs first.
6. Editorial correction of History 5 (Register 2000, No. 42). 
7. Editorial correction of History 5 and repealer and new section filed 5-19-2006; operative 6-18-2006 (Register 2006, No. 20). 
§1810.203.5. Appeal.
Note     •     History

“Appeal” means: 
(a) A request by a beneficiary or a beneficiary's representative for review of an action as defined in Section 1810.200; 
(b) A request by a beneficiary or a beneficiary's representative for review of a provider's determination to deny or modify a beneficiary's request for a covered specialty mental health service; 
(c) A request by a beneficiary or a beneficiary's representative for review of the timeliness of the delivery of a specialty mental health service when the beneficiary believes that services are not being delivered in time to meet the beneficiary's needs, whether or not the mental health plan has established a timeliness standard for the delivery of the service. 
(d) A request by an MHP and/or MHP subcontractor for review of client record review findings that resulted in the disallowance of paid claims. 
NOTE

Authority: Section 14680, Welfare and Institutions Code. Reference: Sections 5778 and 14684, Welfare and Institutions Code; and Title 42, Code of Federal Regulations, Part 438, Subpart F. 
HISTORY

1. New section filed 5-19-2006; operative 6-18-2006 (Register 2006, No. 20). 
2. New subsection (d) and amendment of Note filed 7-7-2010; operative 8-6-2010 (Register 2010, No. 28).
§1810.204. Assessment.
Note     •     History

“Assessment” means a service activity designed to evaluate the current status of a beneficiary's mental, emotional, or behavioral health. Assessment includes but is not limited to one or more of the following: mental status determination, analysis of the beneficiary's clinical history; analysis of relevant cultural issues and history; diagnosis; and the use of testing procedures. 
NOTE

Authority cited: Section 14680, Welfare and Institutions Code. Reference: Sections 5777, 14021.4 and 14684, Welfare and Institutions Code.
HISTORY

1. New section filed 10-31-97 as an emergency; operative 11-1-97 (Register 97, No. 44). A Certificate of Compliance must be transmitted to OAL by 3-2-98 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 3-2-98 as an emergency; operative 3-2-98 (Register 98, No. 10). A Certificate of Compliance must be transmitted to OAL by 6-30-98 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 6-17-98 as an emergency; operative 6-30-98 (Register 98, No. 25). Pursuant to Chapter 324 (Statutes of 1998) Item 4440-103-0001(4), a Certificate of Compliance must be transmitted to OAL by 7-1-99 or emergency language will be repealed by operation of law on the following day.
4. Editorial correction of History 3 (Register 98, No. 39).
5. Editorial correction extending Certificate of Compliance date to 7-1-2001 pursuant to Chapter 50 (Statutes of 1999) Item 4440-103-0001(4) (Register 99, No. 33). Notwithstanding any other provision of law, emergency regulations adopted pursuant to Welfare and Institutions Code section 14680 to implement the second phase of mental health managed care as provided in this part shall remain in effect until permanent regulations are adopted, or June 30, 2006, whichever occurs first.
6. Editorial correction of History 5 (Register 2000, No. 42). 
7. Editorial correction of History 5 and repealer and new section filed 5-19-2006; operative 6-18-2006 (Register 2006, No. 20). 
§1810.205. Beneficiary.
Note     •     History

“Beneficiary” means any person certified as eligible under the Medi-Cal Program according to Title 22, Section 51000.2. 
NOTE

Authority cited: Section 14680, Welfare and Institutions Code. Reference: Sections 5777, 14000, 14005 and 14684, Welfare and Institutions Code.
HISTORY

1. New section filed 10-31-97 as an emergency; operative 11-1-97 (Register 97, No. 44). A Certificate of Compliance must be transmitted to OAL by 3-2-98 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 3-2-98 as an emergency; operative 3-2-98 (Register 98, No. 10). A Certificate of Compliance must be transmitted to OAL by 6-30-98 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 6-17-98 as an emergency; operative 6-30-98 (Register 98, No. 25). Pursuant to Chapter 324 (Statutes of 1998) Item 4440-103-0001(4), a Certificate of Compliance must be transmitted to OAL by 7-1-99 or emergency language will be repealed by operation of law on the following day.
4. Editorial correction of History 3 (Register 98, No. 39).
5. Editorial correction extending Certificate of Compliance date to 7-1-2001 pursuant to Chapter 50 (Statutes of 1999) Item 4440-103-0001(4) (Register 99, No. 33). Notwithstanding any other provision of law, emergency regulations adopted pursuant to Welfare and Institutions Code section 14680 to implement the second phase of mental health managed care as provided in this part shall remain in effect until permanent regulations are adopted, or June 30, 2006, whichever occurs first.
6. Editorial correction of History 5 (Register 2000, No. 42). 
7. Editorial correction of History 5 and repealer and new section filed 5-19-2006; operative 6-18-2006 (Register 2006, No. 20). 
§1810.205.1. Border Community.
Note     •     History

“Border Community” means a community located outside the State of California that is not considered to be out of state for the purpose of excluding coverage by the MHPs because of its proximity to California and historical usage of providers in the community by Medi-Cal beneficiaries. 
NOTE

Authority cited: Section 14680, Welfare and Institutions Code. Reference: Sections 5777 and 14684, Welfare and Institutions Code.
HISTORY

1. New section filed 10-31-97 as an emergency; operative 11-1-97 (Register 97, No. 44). A Certificate of Compliance must be transmitted to OAL by 3-2-98 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 3-2-98 as an emergency; operative 3-2-98 (Register 98, No. 10). A Certificate of Compliance must be transmitted to OAL by 6-30-98 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 6-17-98 as an emergency; operative 6-30-98 (Register 98, No. 25). Pursuant to Chapter 324 (Statutes of 1998) Item 4440-103-0001(4), a Certificate of Compliance must be transmitted to OAL by 7-1-99 or emergency language will be repealed by operation of law on the following day.
4. Editorial correction of History 3 (Register 98, No. 39).
5. Editorial correction extending Certificate of Compliance date to 7-1-2001 pursuant to Chapter 50 (Statutes of 1999) Item 4440-103-0001(4) (Register 99, No. 33). Notwithstanding any other provision of law, emergency regulations adopted pursuant to Welfare and Institutions Code section 14680 to implement the second phase of mental health managed care as provided in this part shall remain in effect until permanent regulations are adopted, or June 30, 2006, whichever occurs first.
6. Editorial correction of History 5 (Register 2000, No. 42). 
7. Editorial correction of History 5 and repealer and new section filed 5-19-2006; operative 6-18-2006 (Register 2006, No. 20). 
§1810.205.2. Client Plan.
Note     •     History

“Client Plan” means a plan for the provision of specialty mental health services to an individual beneficiary who meets the medical necessity criteria in Sections 1830.205 or 1830.210. 
NOTE

Authority: Section 14680, Welfare and Institutions Code. Reference: Sections 5777 and 14684, Welfare and Institutions Code. 
HISTORY

1. New section filed 5-19-2006; operative 6-18-2006 (Register 2006, No. 20). 
§1810.206. Collateral.
Note     •     History

“Collateral” means a service activity to a significant support person in a beneficiary's life for the purpose of meeting the needs of the beneficiary in terms of achieving the goals of the beneficiary's client plan. Collateral may include but is not limited to consultation and training of the significant support person(s) to assist in better utilization of specialty mental health services by the beneficiary, consultation and training of the significant support person(s) to assist in better understanding of mental illness, and family counseling with the significant support person(s). The beneficiary may or may not be present for this service activity. 
NOTE

Authority cited: Section 14680, Welfare and Institutions Code. Reference: Sections 5777, 14021.4 and 14684, Welfare and Institutions Code.
HISTORY

1. New section filed 10-31-97 as an emergency; operative 11-1-97 (Register 97, No. 44). A Certificate of Compliance must be transmitted to OAL by 3-2-98 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 3-2-98 as an emergency; operative 3-2-98 (Register 98, No. 10). A Certificate of Compliance must be transmitted to OAL by 6-30-98 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 6-17-98 as an emergency; operative 6-30-98 (Register 98, No. 25). Pursuant to Chapter 324 (Statutes of 1998) Item 4440-103-0001(4), a Certificate of Compliance must be transmitted to OAL by 7-1-99 or emergency language will be repealed by operation of law on the following day.
4. Editorial correction of History 3 (Register 98, No. 39).
5. Editorial correction extending Certificate of Compliance date to 7-1-2001 pursuant to Chapter 50 (Statutes of 1999) Item 4440-103-0001(4) (Register 99, No. 33). Notwithstanding any other provision of law, emergency regulations adopted pursuant to Welfare and Institutions Code section 14680 to implement the second phase of mental health managed care as provided in this part shall remain in effect until permanent regulations are adopted, or June 30, 2006, whichever occurs first.
6. Editorial correction of History 5 (Register 2000, No. 42). 
7. Editorial correction of History 5 and repealer and new section filed 5-19-2006; operative 6-18-2006 (Register 2006, No. 20). 
§1810.207. Contract Hospital.
Note     •     History

“Contract Hospital” means a hospital that has a contract with a specific Mental Health Plan to provide psychiatric inpatient hospital services to beneficiaries. 
NOTE

Authority cited: Section 14680, Welfare and Institutions Code. Reference: Sections 5777, 5778 and 14684, Welfare and Institutions Code.
HISTORY

1. New section filed 10-31-97 as an emergency; operative 11-1-97 (Register 97, No. 44). A Certificate of Compliance must be transmitted to OAL by 3-2-98 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 3-2-98 as an emergency; operative 3-2-98 (Register 98, No. 10). A Certificate of Compliance must be transmitted to OAL by 6-30-98 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 6-17-98 as an emergency; operative 6-30-98 (Register 98, No. 25). Pursuant to Chapter 324 (Statutes of 1998) Item 4440-103-0001(4), a Certificate of Compliance must be transmitted to OAL by 7-1-99 or emergency language will be repealed by operation of law on the following day.
4. Editorial correction of History 3 (Register 98, No. 39).
5. Editorial correction extending Certificate of Compliance date to 7-1-2001 pursuant to Chapter 50 (Statutes of 1999) Item 4440-103-0001(4) (Register 99, No. 33). Notwithstanding any other provision of law, emergency regulations adopted pursuant to Welfare and Institutions Code section 14680 to implement the second phase of mental health managed care as provided in this part shall remain in effect until permanent regulations are adopted, or June 30, 2006, whichever occurs first.
6. Editorial correction of History 5 (Register 2000, No. 42). 
7. Editorial correction of History 5 and repealer and new section filed 5-19-2006; operative 6-18-2006 (Register 2006, No. 20). 
§1810.207.5. County of Origin.
Note     •     History

“County of Origin” means, for the purposes of out-of-plan Services under Section 1830.220, the county where legal jurisdiction has been established and/or that has financial responsibility for the child or youth. “County of Origin” is synonymous with the terms “County of Adjudication” and “County of Responsibility.”
NOTE

Authority cited: Sections 5777.6, 14680 and 14684, Welfare and Institutions Code; and Section 7576, Government Code. Reference: Section 56331, Education Code; and Sections 14680 and 14684, Welfare and Institutions Code.
HISTORY

1. New section filed 7-11-2008; operative 8-10-2008 (Register 2008, No. 28).
§1810.208. Crisis Residential Treatment Service.
Note     •     History

“Crisis Residential Treatment Service” means therapeutic or rehabilitative services provided in a non-institutional residential setting which provides a structured program as an alternative to hospitalization for beneficiaries experiencing an acute psychiatric episode or crisis who do not have medical complications requiring nursing care. The service includes a range of activities and services that support beneficiaries in their efforts to restore, maintain, and apply interpersonal and independent living skills, and to access community support systems. The service is available 24 hours a day, seven days a week. Service activities may include but are not limited to assessment, plan development, therapy, rehabilitation, collateral, and crisis intervention. 
NOTE

Authority cited: Section 14680, Welfare and Institutions Code. Reference: Sections 5777, 14021.4 and 14684, Welfare and Institutions Code.
HISTORY

1. New section filed 10-31-97 as an emergency; operative 11-1-97 (Register 97, No. 44). A Certificate of Compliance must be transmitted to OAL by 3-2-98 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 3-2-98 as an emergency; operative 3-2-98 (Register 98, No. 10). A Certificate of Compliance must be transmitted to OAL by 6-30-98 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 6-17-98 as an emergency; operative 6-30-98 (Register 98, No. 25). Pursuant to Chapter 324 (Statutes of 1998) Item 4440-103-0001(4), a Certificate of Compliance must be transmitted to OAL by 7-1-99 or emergency language will be repealed by operation of law on the following day.
4. Editorial correction of History 3 (Register 98, No. 39).
5. Editorial correction extending Certificate of Compliance date to 7-1-2001 pursuant to Chapter 50 (Statutes of 1999) Item 4440-103-0001(4) (Register 99, No. 33). Notwithstanding any other provision of law, emergency regulations adopted pursuant to Welfare and Institutions Code section 14680 to implement the second phase of mental health managed care as provided in this part shall remain in effect until permanent regulations are adopted, or June 30, 2006, whichever occurs first.
6. Editorial correction of History 5 (Register 2000, No. 42). 
7. Editorial correction of History 5 and repealer and new section filed 5-19-2006; operative 6-18-2006 (Register 2006, No. 20). 
§1810.209. Crisis Intervention.
Note     •     History

“Crisis Intervention” means a service, lasting less than 24 hours, to or on behalf of a beneficiary for a condition that requires more timely response than a regularly scheduled visit. Service activities include but are not limited to one or more of the following: assessment, collateral and therapy. Crisis intervention is distinguished from crisis stabilization by being delivered by providers who do not meet the crisis stabilization contact, site, and staffing requirements described in Sections 1840.338 and 1840.348. 
NOTE

Authority cited: Section 14680, Welfare and Institutions Code. Reference: Sections 5777, 14021.4 and 14684, Welfare and Institutions Code.
HISTORY

1. New section filed 10-31-97 as an emergency; operative 11-1-97 (Register 97, No. 44). A Certificate of Compliance must be transmitted to OAL by 3-2-98 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 3-2-98 as an emergency; operative 3-2-98 (Register 98, No. 10). A Certificate of Compliance must be transmitted to OAL by 6-30-98 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 6-17-98 as an emergency; operative 6-30-98 (Register 98, No. 25). Pursuant to Chapter 324 (Statutes of 1998) Item 4440-103-0001(4), a Certificate of Compliance must be transmitted to OAL by 7-1-99 or emergency language will be repealed by operation of law on the following day.
4. Editorial correction of History 3 (Register 98, No. 39).
5. Editorial correction extending Certificate of Compliance date to 7-1-2001 pursuant to Chapter 50 (Statutes of 1999) Item 4440-103-0001(4) (Register 99, No. 33). Notwithstanding any other provision of law, emergency regulations adopted pursuant to Welfare and Institutions Code section 14680 to implement the second phase of mental health managed care as provided in this part shall remain in effect until permanent regulations are adopted, or June 30, 2006, whichever occurs first.
6. Editorial correction of History 5 (Register 2000, No. 42). 
7. Editorial correction of History 5 and repealer and new section filed 5-19-2006; operative 6-18-2006 (Register 2006, No. 20). 
§1810.210. Crisis Stabilization.
Note     •     History

“Crisis Stabilization” means a service lasting less than 24 hours, to or on behalf of a beneficiary for a condition that requires more timely response than a regularly scheduled visit. Service activities include but are not limited to one or more of the following: assessment, collateral and therapy. Crisis stabilization is distinguished from crisis intervention by being delivered by providers who do meet the crisis stabilization contact, site, and staffing requirements described in Sections 1840.338 and 1840.348. 
NOTE

Authority cited: Section 14680, Welfare and Institutions Code. Reference: Sections 5777, 14021.4 and 14684, Welfare and Institutions Code.
HISTORY

1. New section filed 10-31-97 as an emergency; operative 11-1-97 (Register 97, No. 44). A Certificate of Compliance must be transmitted to OAL by 3-2-98 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 3-2-98 as an emergency; operative 3-2-98 (Register 98, No. 10). A Certificate of Compliance must be transmitted to OAL by 6-30-98 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 6-17-98 as an emergency; operative 6-30-98 (Register 98, No. 25). Pursuant to Chapter 324 (Statutes of 1998) Item 4440-103-0001(4), a Certificate of Compliance must be transmitted to OAL by 7-1-99 or emergency language will be repealed by operation of law on the following day.
4. Editorial correction of History 3 (Register 98, No. 39).
5. Editorial correction extending Certificate of Compliance date to 7-1-2001 pursuant to Chapter 50 (Statutes of 1999) Item 4440-103-0001(4) (Register 99, No. 33). Notwithstanding any other provision of law, emergency regulations adopted pursuant to Welfare and Institutions Code section 14680 to implement the second phase of mental health managed care as provided in this part shall remain in effect until permanent regulations are adopted, or June 30, 2006, whichever occurs first.
6. Editorial correction of History 5 (Register 2000, No. 42). 
7. Editorial correction of History 5 and repealer and new section filed 5-19-2006; operative 6-18-2006 (Register 2006, No. 20). 
§1810.211. Cultural Competence.
Note     •     History

“Cultural Competence” means a set of congruent practice skills, behaviors, attitudes and policies in a system, agency, or among those persons providing services that enables the system, agency, or those persons providing services to work effectively in cross cultural situations. 
NOTE

Authority cited: Section 14680, Welfare and Institutions Code. Reference: Sections 5777, 5778 and 14684, Welfare and Institutions Code.
HISTORY

1. New section filed 10-31-97 as an emergency; operative 11-1-97 (Register 97, No. 44). A Certificate of Compliance must be transmitted to OAL by 3-2-98 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 3-2-98 as an emergency; operative 3-2-98 (Register 98, No. 10). A Certificate of Compliance must be transmitted to OAL by 6-30-98 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 6-17-98 as an emergency; operative 6-30-98 (Register 98, No. 25). Pursuant to Chapter 324 (Statutes of 1998) Item 4440-103-0001(4), a Certificate of Compliance must be transmitted to OAL by 7-1-99 or emergency language will be repealed by operation of law on the following day.
4. Editorial correction of History 3 (Register 98, No. 39).
5. Editorial correction extending Certificate of Compliance date to 7-1-2001 pursuant to Chapter 50 (Statutes of 1999) Item 4440-103-0001(4) (Register 99, No. 33). Notwithstanding any other provision of law, emergency regulations adopted pursuant to Welfare and Institutions Code section 14680 to implement the second phase of mental health managed care as provided in this part shall remain in effect until permanent regulations are adopted, or June 30, 2006, whichever occurs first.
6. Editorial correction of History 5 (Register 2000, No. 42). 
7. Editorial correction of History 5 and repealer and new section filed 5-19-2006; operative 6-18-2006 (Register 2006, No. 20). 
§1810.212. Day Rehabilitation.
Note     •     History

“Day Rehabilitation” means a structured program of rehabilitation and therapy to improve, maintain or restore personal independence and functioning, consistent with requirements for learning and development, which provides services to a distinct group of individuals. Services are available at least three hours and less than 24 hours each day the program is open. Service activities may include, but are not limited to, assessment, plan development, therapy, rehabilitation and collateral. 
NOTE

Authority cited: Section 14680, Welfare and Institutions Code. Reference: Sections 5777, 14021.4 and 14684, Welfare and Institutions Code.
HISTORY

1. New section filed 10-31-97 as an emergency; operative 11-1-97 (Register 97, No. 44). A Certificate of Compliance must be transmitted to OAL by 3-2-98 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 3-2-98 as an emergency; operative 3-2-98 (Register 98, No. 10). A Certificate of Compliance must be transmitted to OAL by 6-30-98 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 6-17-98 as an emergency; operative 6-30-98 (Register 98, No. 25). Pursuant to Chapter 324 (Statutes of 1998) Item 4440-103-0001(4), a Certificate of Compliance must be transmitted to OAL by 7-1-99 or emergency language will be repealed by operation of law on the following day.
4. Editorial correction of History 3 (Register 98, No. 39).
5. Editorial correction extending Certificate of Compliance date to 7-1-2001 pursuant to Chapter 50 (Statutes of 1999) Item 4440-103-0001(4) (Register 99, No. 33). Notwithstanding any other provision of law, emergency regulations adopted pursuant to Welfare and Institutions Code section 14680 to implement the second phase of mental health managed care as provided in this part shall remain in effect until permanent regulations are adopted, or June 30, 2006, whichever occurs first.
6. Editorial correction of History 5 (Register 2000, No. 42). 
7. Editorial correction of History 5 and repealer and new section filed 5-19-2006; operative 6-18-2006 (Register 2006, No. 20). 
§1810.213. Day Treatment Intensive.
Note     •     History

“Day Treatment Intensive” means a structured, multi-disciplinary program of therapy which may be an alternative to hospitalization, avoid placement in a more restrictive setting, or maintain the individual in a community setting, which provides services to a distinct group of individuals. Services are available at least three hours and less than 24 hours each day the program is open. Service activities may include, but are not limited to, assessment, plan development, therapy, rehabilitation and collateral. 
NOTE

Authority cited: Section 14680, Welfare and Institutions Code. Reference: Sections 5777, 14021.4 and 14684, Welfare and Institutions Code.
HISTORY

1. New section filed 10-31-97 as an emergency; operative 11-1-97 (Register 97, No. 44). A Certificate of Compliance must be transmitted to OAL by 3-2-98 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 3-2-98 as an emergency; operative 3-2-98 (Register 98, No. 10). A Certificate of Compliance must be transmitted to OAL by 6-30-98 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 6-17-98 as an emergency; operative 6-30-98 (Register 98, No. 25). Pursuant to Chapter 324 (Statutes of 1998) Item 4440-103-0001(4), a Certificate of Compliance must be transmitted to OAL by 7-1-99 or emergency language will be repealed by operation of law on the following day.
4. Editorial correction of History 3 (Register 98, No. 39).
5. Editorial correction extending Certificate of Compliance date to 7-1-2001 pursuant to Chapter 50 (Statutes of 1999) Item 4440-103-0001(4) (Register 99, No. 33). Notwithstanding any other provision of law, emergency regulations adopted pursuant to Welfare and Institutions Code section 14680 to implement the second phase of mental health managed care as provided in this part shall remain in effect until permanent regulations are adopted, or June 30, 2006, whichever occurs first.
6. Editorial correction of History 5 (Register 2000, No. 42). 
7. Editorial correction of History 5 and repealer and new section filed 5-19-2006; operative 6-18-2006 (Register 2006, No. 20). 
§1810.214. Department.
Note     •     History

“Department” means the State Department of Mental Health. 
NOTE

Authority cited: Section 14680, Welfare and Institutions Code. Reference: Sections 5775, 5777, 5778, 14680 and 14684, Welfare and Institutions Code.
HISTORY

1. New section filed 10-31-97 as an emergency; operative 11-1-97 (Register 97, No. 44). A Certificate of Compliance must be transmitted to OAL by 3-2-98 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 3-2-98 as an emergency; operative 3-2-98 (Register 98, No. 10). A Certificate of Compliance must be transmitted to OAL by 6-30-98 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 6-17-98 as an emergency; operative 6-30-98 (Register 98, No. 25). Pursuant to Chapter 324 (Statutes of 1998) Item 4440-103-0001(4), a Certificate of Compliance must be transmitted to OAL by 7-1-99 or emergency language will be repealed by operation of law on the following day.
4. Editorial correction of History 3 (Register 98, No. 39).
5. Editorial correction extending Certificate of Compliance date to 7-1-2001 pursuant to Chapter 50 (Statutes of 1999) Item 4440-103-0001(4) (Register 99, No. 33). Notwithstanding any other provision of law, emergency regulations adopted pursuant to Welfare and Institutions Code section 14680 to implement the second phase of mental health managed care as provided in this part shall remain in effect until permanent regulations are adopted, or June 30, 2006, whichever occurs first.
6. Editorial correction of History 5 (Register 2000, No. 42). 
7. Editorial correction of History 5 and repealer and new section filed 5-19-2006; operative 6-18-2006 (Register 2006, No. 20). 
§1810.214.1. Disproportionate Share Hospital (DSH).
Note     •     History

“Disproportionate Share Hospital (DSH)” means a hospital that serves a disproportionate share of low-income people as determined annually by the State Department of Health Services in accordance with Section 14105.98 of the Welfare and Institutions Code. 
NOTE

Authority cited: Section 14680, Welfare and Institutions Code. Reference: Section 14105.98, Welfare and Institutions Code; and Title 42, United States Code, Section 1396r-4.
HISTORY

1. New section filed 10-31-97 as an emergency; operative 11-1-97 (Register 97, No. 44). A Certificate of Compliance must be transmitted to OAL by 3-2-98 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 3-2-98 as an emergency; operative 3-2-98 (Register 98, No. 10). A Certificate of Compliance must be transmitted to OAL by 6-30-98 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 6-17-98 as an emergency; operative 6-30-98 (Register 98, No. 25). Pursuant to Chapter 324 (Statutes of 1998) Item 4440-103-0001(4), a Certificate of Compliance must be transmitted to OAL by 7-1-99 or emergency language will be repealed by operation of law on the following day.
4. Editorial correction of History 3 (Register 98, No. 39).
5. Editorial correction extending Certificate of Compliance date to 7-1-2001 pursuant to Chapter 50 (Statutes of 1999) Item 4440-103-0001(4) (Register 99, No. 33). Notwithstanding any other provision of law, emergency regulations adopted pursuant to Welfare and Institutions Code section 14680 to implement the second phase of mental health managed care as provided in this part shall remain in effect until permanent regulations are adopted, or June 30, 2006, whichever occurs first.
6. Editorial correction of History 5 (Register 2000, No. 42). 
7. Editorial correction of History 5 and repealer and new section filed 5-19-2006; operative 6-18-2006 (Register 2006, No. 20). 
§1810.215. Early and Periodic Screening, Diagnosis and Treatment (EPSDT) Supplemental Specialty Mental Health Services.
Note     •     History

“Early and Periodic Screening, Diagnosis and Treatment (EPSDT) supplemental specialty mental health services” means mental health related diagnostic services and treatment, other than physical health care, available under the Medi-Cal program only to persons under 21 years of age pursuant to Title 42, Section 1396d(r), United States Code, that have been determined by the State Department of Health Services to meet the criteria of Title 22, Section 51340(e)(3) or (f); and that are not otherwise covered by this Chapter as specialty mental health services. 
NOTE

Authority cited: Section 14680, Welfare and Institutions Code. Reference: Sections 5777, 14132 and 14684, Welfare and Institutions Code; and Title 42, United States Code, Section 1396d(r).
HISTORY

1. New section filed 10-31-97 as an emergency; operative 11-1-97 (Register 97, No. 44). A Certificate of Compliance must be transmitted to OAL by 3-2-98 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 3-2-98 as an emergency; operative 3-2-98 (Register 98, No. 10). A Certificate of Compliance must be transmitted to OAL by 6-30-98 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 6-17-98 as an emergency; operative 6-30-98 (Register 98, No. 25). Pursuant to Chapter 324 (Statutes of 1998) Item 4440-103-0001(4), a Certificate of Compliance must be transmitted to OAL by 7-1-99 or emergency language will be repealed by operation of law on the following day.
4. Editorial correction of History 3 (Register 98, No. 39).
5. Editorial correction extending Certificate of Compliance date to 7-1-2001 pursuant to Chapter 50 (Statutes of 1999) Item 4440-103-0001(4) (Register 99, No. 33). Notwithstanding any other provision of law, emergency regulations adopted pursuant to Welfare and Institutions Code section 14680 to implement the second phase of mental health managed care as provided in this part shall remain in effect until permanent regulations are adopted, or June 30, 2006, whichever occurs first.
6. Editorial correction of History 5 (Register 2000, No. 42). 
7. Editorial correction of History 5 and repealer and new section filed 5-19-2006; operative 6-18-2006 (Register 2006, No. 20). 
§1810.216. Emergency Psychiatric Condition.
Note     •     History

“Emergency Psychiatric Condition” means a condition that meets the criteria in Section 1820.205 when the beneficiary with the condition, due to a mental disorder, is a current danger to self or others, or immediately unable to provide for or utilize, food, shelter or clothing, and requires psychiatric inpatient hospital or psychiatric health facility services. 
NOTE

Authority cited: Section 14680, Welfare and Institutions Code. Reference: Sections 5777 and 14684, Welfare and Institutions Code.
HISTORY

1. New section filed 10-31-97 as an emergency; operative 11-1-97 (Register 97, No. 44). A Certificate of Compliance must be transmitted to OAL by 3-2-98 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 3-2-98 as an emergency; operative 3-2-98 (Register 98, No. 10). A Certificate of Compliance must be transmitted to OAL by 6-30-98 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 6-17-98 as an emergency; operative 6-30-98 (Register 98, No. 25). Pursuant to Chapter 324 (Statutes of 1998) Item 4440-103-0001(4), a Certificate of Compliance must be transmitted to OAL by 7-1-99 or emergency language will be repealed by operation of law on the following day.
4. Editorial correction of History 3 (Register 98, No. 39).
5. Editorial correction extending Certificate of Compliance date to 7-1-2001 pursuant to Chapter 50 (Statutes of 1999) Item 4440-103-0001(4) (Register 99, No. 33). Notwithstanding any other provision of law, emergency regulations adopted pursuant to Welfare and Institutions Code section 14680 to implement the second phase of mental health managed care as provided in this part shall remain in effect until permanent regulations are adopted, or June 30, 2006, whichever occurs first.
6. Editorial correction of History 5 (Register 2000, No. 42). 
7. Editorial correction of History 5 and repealer and new section filed 5-19-2006; operative 6-18-2006 (Register 2006, No. 20). 
§1810.216.1. Fair Hearing.
Note     •     History

NOTE

Authority cited: Section 14680, Welfare and Institutions Code. Reference: Sections 10950-10965 and 14684, Welfare and Institutions Code.
HISTORY

1. New section filed 10-31-97 as an emergency; operative 11-1-97 (Register 97, No. 44). A Certificate of Compliance must be transmitted to OAL by 3-2-98 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 3-2-98 as an emergency; operative 3-2-98 (Register 98, No. 10). A Certificate of Compliance must be transmitted to OAL by 6-30-98 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 6-17-98 as an emergency; operative 6-30-98 (Register 98, No. 25). Pursuant to Chapter 324 (Statutes of 1998) Item 4440-103-0001(4), a Certificate of Compliance must be transmitted to OAL by 7-1-99 or emergency language will be repealed by operation of law on the following day.
4. Editorial correction of History 3 (Register 98, No. 39).
5. Editorial correction extending Certificate of Compliance date to 7-1-2001 pursuant to Chapter 50 (Statutes of 1999) Item 4440-103-0001(4) (Register 99, No. 33). Notwithstanding any other provision of law, emergency regulations adopted pursuant to Welfare and Institutions Code section 14680 to implement the second phase of mental health managed care as provided in this part shall remain in effect until permanent regulations are adopted, or June 30, 2006, whichever occurs first.
6. Editorial correction of History 5 (Register 2000, No. 42). 
7. Editorial correction of History 5 and repealer filed 5-19-2006; operative 6-18-2006 (Register 2006, No. 20). 
§1810.216.2. Expedited Appeal.
Note     •     History

“Expedited Appeal” means an appeal as defined in Section 1810.203.5 to be used when the mental health plan determines or the beneficiary and/or the beneficiary's provider certifies that following the timeframe for an appeal as established in Section 1850.207 would seriously jeopardize the beneficiary's life, health, or ability to attain, maintain, or regain maximum function. 
NOTE

Authority: Section 14680, Welfare and Institutions Code. Reference: Section 14684, Welfare and Institutions Code; and Title 42, Code of Federal Regulations, Part 438, Subpart F. 
HISTORY

1. New section filed 10-31-97 as an emergency; operative 11-1-97 (Register 97, No. 44). A Certificate of Compliance must be transmitted to OAL by 3-2-98 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 3-2-98 as an emergency; operative 3-2-98 (Register 98, No. 10). A Certificate of Compliance must be transmitted to OAL by 6-30-98 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 6-17-98 as an emergency; operative 6-30-98 (Register 98, No. 25). Pursuant to Chapter 324 (Statutes of 1998) Item 4440-103-0001(4), a Certificate of Compliance must be transmitted to OAL by 7-1-99 or emergency language will be repealed by operation of law on the following day.
4. Editorial correction of History 3 (Register 98, No. 39).
5. Editorial correction extending Certificate of Compliance date to 7-1-2001 pursuant to Chapter 50 (Statutes of 1999) Item 4440-103-0001(4) (Register 99, No. 33). Notwithstanding any other provision of law, emergency regulations adopted pursuant to Welfare and Institutions Code section 14680 to implement the second phase of mental health managed care as provided in this part shall remain in effect until permanent regulations are adopted, or June 30, 2006, whichever occurs first.
6. Editorial correction of History 5 (Register 2000, No. 42). 
7. Editorial correction of History 5 and repealer and new section filed 5-19-2006; operative 6-18-2006 (Register 2006, No. 20). 
§1810.216.4. Expedited Fair Hearing.
Note     •     History

“Expedited Fair Hearing” means a fair hearing as defined in Section 1810.216.6 to be used when the mental health plan determines or the beneficiary and/or the beneficiary's provider certifies that that following the timeframe for a fair hearing as established in Title 42, Code of Federal Regulations, Section 431.244(f)(1) would seriously jeopardize the beneficiary's life, health, or ability to attain, maintain, or regain maximum function. 
NOTE

Authority: Section 14680, Welfare and Institutions Code. Reference: Sections 10950-10965 and 14684, Welfare and Institutions Code; and Title 42, Code of Federal Regulations, Sections 438.410(a), 431.244 and Part 438, Subpart F. 
HISTORY

1. New section filed 5-19-2006; operative 6-18-2006 (Register 2006, No. 20). 
§1810.216.6. Fair Hearing.
Note     •     History

“Fair Hearing” means the State hearing provided to beneficiaries pursuant to Title 22, Sections 50951 and 50953. 
NOTE

Authority cited: Section 14680, Welfare and Institutions Code. Reference: Sections 10950-10965 and 14684, Welfare and Institutions Code; and Title 42, Code of Federal Regulations, Section 431.244 and Part 438, Subpart F. 
HISTORY

1. New section filed 5-19-2006; operative 6-18-2006 (Register 2006, No. 20). 
§1810.216.8. Federal Financial Participation (FFP).
Note     •     History

“Federal Financial Participation (FFP)” means the federal matching funds available for services provided to Medi-Cal beneficiaries under the Medi-Cal program. 
NOTE

Authority cited: Section 14680, Welfare and Institutions Code. Reference: Section 5778, Welfare and Institutions Code. 
HISTORY

1. New section filed 5-19-2006; operative 6-18-2006 (Register 2006, No. 20). 
§1810.217. Fee-for-Service/Medi-Cal Hospital.
Note     •     History

“Fee-for-Service/Medi-Cal Hospital” means a hospital that submits reimbursement claims for Medi-Cal psychiatric inpatient hospital services through the fiscal intermediary. 
NOTE

Authority cited: Section 14680, Welfare and Institutions Code. Reference: Sections 5777, 14680 and 14684, Welfare and Institutions Code.
HISTORY

1. New section filed 10-31-97 as an emergency; operative 11-1-97 (Register 97, No. 44). A Certificate of Compliance must be transmitted to OAL by 3-2-98 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 3-2-98 as an emergency; operative 3-2-98 (Register 98, No. 10). A Certificate of Compliance must be transmitted to OAL by 6-30-98 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 6-17-98 as an emergency; operative 6-30-98 (Register 98, No. 25). Pursuant to Chapter 324 (Statutes of 1998) Item 4440-103-0001(4), a Certificate of Compliance must be transmitted to OAL by 7-1-99 or emergency language will be repealed by operation of law on the following day.
4. Editorial correction of History 3 (Register 98, No. 39).
5. Editorial correction extending Certificate of Compliance date to 7-1-2001 pursuant to Chapter 50 (Statutes of 1999) Item 4440-103-0001(4) (Register 99, No. 33). Notwithstanding any other provision of law, emergency regulations adopted pursuant to Welfare and Institutions Code section 14680 to implement the second phase of mental health managed care as provided in this part shall remain in effect until permanent regulations are adopted, or June 30, 2006, whichever occurs first.
6. Editorial correction of History 5 (Register 2000, No. 42). 
7. Editorial correction of History 5 and repealer and new section filed 5-19-2006; operative 6-18-2006 (Register 2006, No. 20). 
§1810.218. Fiscal Intermediary.
Note     •     History

“Fiscal Intermediary” means the entity, which has contracted with the State Department of Health Services to perform services for the Medi-Cal Program pursuant to Section 14104.3 of the Welfare and Institutions Code. 
NOTE

Authority cited: Section 14680, Welfare and Institutions Code. Reference: Sections 5777, 5778, 14104.3 and 14684, Welfare and Institutions Code.
HISTORY

1. New section filed 10-31-97 as an emergency; operative 11-1-97 (Register 97, No. 44). A Certificate of Compliance must be transmitted to OAL by 3-2-98 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 3-2-98 as an emergency; operative 3-2-98 (Register 98, No. 10). A Certificate of Compliance must be transmitted to OAL by 6-30-98 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 6-17-98 as an emergency; operative 6-30-98 (Register 98, No. 25). Pursuant to Chapter 324 (Statutes of 1998) Item 4440-103-0001(4), a Certificate of Compliance must be transmitted to OAL by 7-1-99 or emergency language will be repealed by operation of law on the following day.
4. Editorial correction of History 3 (Register 98, No. 39).
5. Editorial correction extending Certificate of Compliance date to 7-1-2001 pursuant to Chapter 50 (Statutes of 1999) Item 4440-103-0001(4) (Register 99, No. 33). Notwithstanding any other provision of law, emergency regulations adopted pursuant to Welfare and Institutions Code section 14680 to implement the second phase of mental health managed care as provided in this part shall remain in effect until permanent regulations are adopted, or June 30, 2006, whichever occurs first.
6. Editorial correction of History 5 (Register 2000, No. 42). 
7. Editorial correction of History 5 and repealer and new section filed 5-19-2006; operative 6-18-2006 (Register 2006, No. 20). 
§1810.218.1. Grievance.
Note     •     History

“Grievance” means a beneficiary's verbal or written expression of dissatisfaction about any matter other than a matter covered by an appeal as defined in Section 1810.203.5 filed through the MHP's grievance process as described in Sections 1850.205 and 1850.206 or a provider's grievance process if the MHP has delegated the process to a provider in accordance with Section 1850.209. 
NOTE

Authority cited: Section 14680, Welfare and Institutions Code. Reference: Section 14684, Welfare and Institutions Code; and Title 42, Code of Federal Regulations, Part 438, Subpart F. 
HISTORY

1. New section filed 10-31-97 as an emergency; operative 11-1-97 (Register 97, No. 44). A Certificate of Compliance must be transmitted to OAL by 3-2-98 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 3-2-98 as an emergency; operative 3-2-98 (Register 98, No. 10). A Certificate of Compliance must be transmitted to OAL by 6-30-98 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 6-17-98 as an emergency; operative 6-30-98 (Register 98, No. 25). Pursuant to Chapter 324 (Statutes of 1998) Item 4440-103-0001(4), a Certificate of Compliance must be transmitted to OAL by 7-1-99 or emergency language will be repealed by operation of law on the following day.
4. Editorial correction of History 3 (Register 98, No. 39).
5. Editorial correction extending Certificate of Compliance date to 7-1-2001 pursuant to Chapter 50 (Statutes of 1999) Item 4440-103-0001(4) (Register 99, No. 33). Notwithstanding any other provision of law, emergency regulations adopted pursuant to Welfare and Institutions Code section 14680 to implement the second phase of mental health managed care as provided in this part shall remain in effect until permanent regulations are adopted, or June 30, 2006, whichever occurs first.
6. Editorial correction of History 5 (Register 2000, No. 42). 
7. Editorial correction of History 5 and repealer and new section filed 5-19-2006; operative 6-18-2006 (Register 2006, No. 20). 
§1810.218.2. Group Provider.
Note     •     History

“Group Provider” means an organization that provides specialty mental health services through two or more individual providers. Group providers include entities such as independent practice associations, hospital outpatient departments, health care service plans, and clinics. 
NOTE

Authority cited: Section 14680, Welfare and Institutions Code. Reference: Sections 5777 and 14684, Welfare and Institutions Code.
HISTORY

1. New section filed 10-31-97 as an emergency; operative 11-1-97 (Register 97, No. 44). A Certificate of Compliance must be transmitted to OAL by 3-2-98 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 3-2-98 as an emergency; operative 3-2-98 (Register 98, No. 10). A Certificate of Compliance must be transmitted to OAL by 6-30-98 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 6-17-98 as an emergency; operative 6-30-98 (Register 98, No. 25). Pursuant to Chapter 324 (Statutes of 1998) Item 4440-103-0001(4), a Certificate of Compliance must be transmitted to OAL by 7-1-99 or emergency language will be repealed by operation of law on the following day.
4. Editorial correction of History 3 (Register 98, No. 39).
5. Editorial correction extending Certificate of Compliance date to 7-1-2001 pursuant to Chapter 50 (Statutes of 1999) Item 4440-103-0001(4) (Register 99, No. 33). Notwithstanding any other provision of law, emergency regulations adopted pursuant to Welfare and Institutions Code section 14680 to implement the second phase of mental health managed care as provided in this part shall remain in effect until permanent regulations are adopted, or June 30, 2006, whichever occurs first.
6. Editorial correction of History 5 (Register 2000, No. 42). 
7. Editorial correction of History 5 and repealer and new section filed 5-19-2006; operative 6-18-2006 (Register 2006, No. 20). 
§1810.219. Hospital.
Note     •     History

“Hospital” means an institution that meets the requirements of Title 22, Section 51207, and has been certified by the State Department of Health Services as a Medi-Cal provider of inpatient hospital services. Hospital includes general acute care hospitals as defined in Section 1250(a) of the Health and Safety Code, acute psychiatric hospitals as defined in Section 1250(b) of the Health and Safety Code, and psychiatric health facilities certified by the State Department of Health Services as Medi-Cal providers of inpatient hospital services. 
NOTE

Authority cited: Section 14680, Welfare and Institutions Code. Reference: Sections 5777, 5778 and 14684, Welfare and Institutions Code.
HISTORY

1. New section filed 10-31-97 as an emergency; operative 11-1-97 (Register 97, No. 44). A Certificate of Compliance must be transmitted to OAL by 3-2-98 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 3-2-98 as an emergency; operative 3-2-98 (Register 98, No. 10). A Certificate of Compliance must be transmitted to OAL by 6-30-98 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 6-17-98 as an emergency; operative 6-30-98 (Register 98, No. 25). Pursuant to Chapter 324 (Statutes of 1998) Item 4440-103-0001(4), a Certificate of Compliance must be transmitted to OAL by 7-1-99 or emergency language will be repealed by operation of law on the following day.
4. Editorial correction of History 3 (Register 98, No. 39).
5. Editorial correction extending Certificate of Compliance date to 7-1-2001 pursuant to Chapter 50 (Statutes of 1999) Item 4440-103-0001(4) (Register 99, No. 33). Notwithstanding any other provision of law, emergency regulations adopted pursuant to Welfare and Institutions Code section 14680 to implement the second phase of mental health managed care as provided in this part shall remain in effect until permanent regulations are adopted, or June 30, 2006, whichever occurs first.
6. Editorial correction of History 5 (Register 2000, No. 42). 
7. Editorial correction of History 5 and repealer and new section filed 5-19-2006; operative 6-18-2006 (Register 2006, No. 20). 
§1810.220. Hospital-Based Ancillary Services.
Note     •     History

“Hospital-Based Ancillary Services” means services, which include but are not limited to prescription drugs, laboratory services, x-ray, electroconvulsive therapy (ECT) and magnetic resonance imaging (MRI), that are received by a beneficiary admitted to a hospital, other than routine hospital services. 
NOTE

Authority cited: Section 14680, Welfare and Institutions Code. Reference: Sections 5777 and 14684, Welfare and Institutions Code.
HISTORY

1. New section filed 10-31-97 as an emergency; operative 11-1-97 (Register 97, No. 44). A Certificate of Compliance must be transmitted to OAL by 3-2-98 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 3-2-98 as an emergency; operative 3-2-98 (Register 98, No. 10). A Certificate of Compliance must be transmitted to OAL by 6-30-98 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 6-17-98 as an emergency; operative 6-30-98 (Register 98, No. 25). Pursuant to Chapter 324 (Statutes of 1998) Item 4440-103-0001(4), a Certificate of Compliance must be transmitted to OAL by 7-1-99 or emergency language will be repealed by operation of law on the following day.
4. Editorial correction of History 3 (Register 98, No. 39).
5. Editorial correction extending Certificate of Compliance date to 7-1-2001 pursuant to Chapter 50 (Statutes of 1999) Item 4440-103-0001(4) (Register 99, No. 33). Notwithstanding any other provision of law, emergency regulations adopted pursuant to Welfare and Institutions Code section 14680 to implement the second phase of mental health managed care as provided in this part shall remain in effect until permanent regulations are adopted, or June 30, 2006, whichever occurs first.
6. Editorial correction of History 5 (Register 2000, No. 42). 
7. Editorial correction of History 5 and repealer and new section filed 5-19-2006; operative 6-18-2006 (Register 2006, No. 20). 
§1810.220.5. Host County.
Note     •     History

“Host County” means the county where the child or youth is living when the child or youth is not living in the county of origin.
NOTE

Authority cited: Sections 5777.6, 14680 and 14684, Welfare and Institutions Code; and Section 7576, Government Code. Reference: Section 56331, Education Code; and Sections 14680 and 14684, Welfare and Institutions Code.
HISTORY

1. New section filed 7-11-2008; operative 8-10-2008 (Register 2008, No. 28).
§1810.221. Implementation Plan.
Note     •     History

“Implementation Plan” means a written description submitted to the Department by a prospective Mental Health Plan and approved by the Department that specifies the procedures that will be used by the Mental Health Plan to provide specialty mental health services to beneficiaries. 
NOTE

Authority cited: Section 14680, Welfare and Institutions Code. Reference: Sections 5778 and 14684, Welfare and Institutions Code.
HISTORY

1. New section filed 10-31-97 as an emergency; operative 11-1-97 (Register 97, No. 44). A Certificate of Compliance must be transmitted to OAL by 3-2-98 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 3-2-98 as an emergency; operative 3-2-98 (Register 98, No. 10). A Certificate of Compliance must be transmitted to OAL by 6-30-98 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 6-17-98 as an emergency; operative 6-30-98 (Register 98, No. 25). Pursuant to Chapter 324 (Statutes of 1998) Item 4440-103-0001(4), a Certificate of Compliance must be transmitted to OAL by 7-1-99 or emergency language will be repealed by operation of law on the following day.
4. Editorial correction of History 3 (Register 98, No. 39).
5. Editorial correction extending Certificate of Compliance date to 7-1-2001 pursuant to Chapter 50 (Statutes of 1999) Item 4440-103-0001(4) (Register 99, No. 33). Notwithstanding any other provision of law, emergency regulations adopted pursuant to Welfare and Institutions Code section 14680 to implement the second phase of mental health managed care as provided in this part shall remain in effect until permanent regulations are adopted, or June 30, 2006, whichever occurs first.
6. Editorial correction of History 5 (Register 2000, No. 42). 
7. Editorial correction of History 5 and repealer and new section filed 5-19-2006; operative 6-18-2006 (Register 2006, No. 20). 
§1810.222. Individual Provider.
Note     •     History

“Individual Provider” means licensed mental health professionals whose scope of practice permits the practice of psychotherapy without supervision who provide specialty mental health services directly to beneficiaries. Individual provider includes licensed physicians, licensed psychologists, licensed clinical social workers, licensed marriage and family therapists, and registered nurses with a master's degree within their scope of practice. Individual provider does not include licensed mental health professionals when they are acting as employees of any organizational provider or contractors of organizational providers other than the MHP. 
NOTE

Authority cited: Section 14680, Welfare and Institutions Code. Reference: Sections 5777 and 14684, Welfare and Institutions Code.
HISTORY

1. New section filed 10-31-97 as an emergency; operative 11-1-97 (Register 97, No. 44). A Certificate of Compliance must be transmitted to OAL by 3-2-98 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 3-2-98 as an emergency; operative 3-2-98 (Register 98, No. 10). A Certificate of Compliance must be transmitted to OAL by 6-30-98 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 6-17-98 as an emergency; operative 6-30-98 (Register 98, No. 25). Pursuant to Chapter 324 (Statutes of 1998) Item 4440-103-0001(4), a Certificate of Compliance must be transmitted to OAL by 7-1-99 or emergency language will be repealed by operation of law on the following day.
4. Editorial correction of History 3 (Register 98, No. 39).
5. Editorial correction extending Certificate of Compliance date to 7-1-2001 pursuant to Chapter 50 (Statutes of 1999) Item 4440-103-0001(4) (Register 99, No. 33). Notwithstanding any other provision of law, emergency regulations adopted pursuant to Welfare and Institutions Code section 14680 to implement the second phase of mental health managed care as provided in this part shall remain in effect until permanent regulations are adopted, or June 30, 2006, whichever occurs first.
6. Editorial correction of History 5 (Register 2000, No. 42). 
7. Editorial correction of History 5 and repealer and new section filed 5-19-2006; operative 6-18-2006 (Register 2006, No. 20). 
§1810.222.1. Institution for Mental Diseases.
Note     •     History

“Institution for Mental Diseases” means a hospital, nursing facility, or other institution of more than 16 beds that is primarily engaged in providing diagnosis, treatment or care of persons with mental disorders, including medical attention, nursing care, and related services. 
NOTE

Authority cited: Section 14680, Welfare and Institutions Code. Reference: Title 42, United States Code, Section 1396d(a) and (i).
HISTORY

1. New section filed 10-31-97 as an emergency; operative 11-1-97 (Register 97, No. 44). A Certificate of Compliance must be transmitted to OAL by 3-2-98 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 3-2-98 as an emergency; operative 3-2-98 (Register 98, No. 10). A Certificate of Compliance must be transmitted to OAL by 6-30-98 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 6-17-98 as an emergency; operative 6-30-98 (Register 98, No. 25). Pursuant to Chapter 324 (Statutes of 1998) Item 4440-103-0001(4), a Certificate of Compliance must be transmitted to OAL by 7-1-99 or emergency language will be repealed by operation of law on the following day.
4. Editorial correction of History 3 (Register 98, No. 39).
5. Editorial correction extending Certificate of Compliance date to 7-1-2001 pursuant to Chapter 50 (Statutes of 1999) Item 4440-103-0001(4) (Register 99, No. 33). Notwithstanding any other provision of law, emergency regulations adopted pursuant to Welfare and Institutions Code section 14680 to implement the second phase of mental health managed care as provided in this part shall remain in effect until permanent regulations are adopted, or June 30, 2006, whichever occurs first.
6. Editorial correction of History 5 (Register 2000, No. 42). 
7. Editorial correction of History 5 and repealer and new section filed 5-19-2006; operative 6-18-2006 (Register 2006, No. 20). 
§1810.223. Licensed Mental Health Professional.
Note     •     History

“Licensed mental health professional” means licensed physicians, licensed psychologists, licensed clinical social workers, licensed marriage and family therapists, registered nurses, licensed vocational nurses, and licensed psychiatric technicians. 
NOTE

Authority cited: Section 14680, Welfare and Institutions Code. Reference: Sections 5777, 5778 and 14684, Welfare and Institutions Code.
HISTORY

1. New section filed 10-31-97 as an emergency; operative 11-1-97 (Register 97, No. 44). A Certificate of Compliance must be transmitted to OAL by 3-2-98 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 3-2-98 as an emergency; operative 3-2-98 (Register 98, No. 10). A Certificate of Compliance must be transmitted to OAL by 6-30-98 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 6-17-98 as an emergency; operative 6-30-98 (Register 98, No. 25). Pursuant to Chapter 324 (Statutes of 1998) Item 4440-103-0001(4), a Certificate of Compliance must be transmitted to OAL by 7-1-99 or emergency language will be repealed by operation of law on the following day.
4. Editorial correction of History 3 (Register 98, No. 39).
5. Editorial correction extending Certificate of Compliance date to 7-1-2001 pursuant to Chapter 50 (Statutes of 1999) Item 4440-103-0001(4) (Register 99, No. 33). Notwithstanding any other provision of law, emergency regulations adopted pursuant to Welfare and Institutions Code section 14680 to implement the second phase of mental health managed care as provided in this part shall remain in effect until permanent regulations are adopted, or June 30, 2006, whichever occurs first.
6. Editorial correction of History 5 (Register 2000, No. 42). 
7. Editorial correction of History 5 and repealer and new section filed 5-19-2006; operative 6-18-2006 (Register 2006, No. 20). 
§1810.223.5. Medi-Cal Eligibility Data System (MEDS).
Note     •     History

“Medi-Cal Eligibility Data System (MEDS)” means the data system maintained by the State Department of Health Services that contains information on Medi-Cal eligibility including a beneficiary's county of responsibility. 
NOTE

Authority cited: Section 14680, Welfare and Institutions Code. Reference: Sections 5777, 5778 and 14684, Welfare and Institutions Code. 
HISTORY

1. New section filed 5-19-2006; operative 6-18-2006 (Register 2006, No. 20). 
§1810.224. Medi-Cal Managed Care Plan.
Note     •     History

“Medi-Cal Managed Care Plan” means an entity contracting with the State Department of Health Services to provide services to enrolled beneficiaries under Chapter 7, commencing with Section 14000, or Chapter 8, commencing with Section 14200, of Division 9, Part 3 of the Welfare and Institutions Code. 
NOTE

Authority cited: Section 14680, Welfare and Institutions Code. Reference: Sections 5777, 5778 and 14684, Welfare and Institutions Code.
HISTORY

1. New section filed 10-31-97 as an emergency; operative 11-1-97 (Register 97, No. 44). A Certificate of Compliance must be transmitted to OAL by 3-2-98 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 3-2-98 as an emergency; operative 3-2-98 (Register 98, No. 10). A Certificate of Compliance must be transmitted to OAL by 6-30-98 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 6-17-98 as an emergency; operative 6-30-98 (Register 98, No. 25). Pursuant to Chapter 324 (Statutes of 1998) Item 4440-103-0001(4), a Certificate of Compliance must be transmitted to OAL by 7-1-99 or emergency language will be repealed by operation of law on the following day.
4. Editorial correction of History 3 (Register 98, No. 39).
5. Editorial correction extending Certificate of Compliance date to 7-1-2001 pursuant to Chapter 50 (Statutes of 1999) Item 4440-103-0001(4) (Register 99, No. 33). Notwithstanding any other provision of law, emergency regulations adopted pursuant to Welfare and Institutions Code section 14680 to implement the second phase of mental health managed care as provided in this part shall remain in effect until permanent regulations are adopted, or June 30, 2006, whichever occurs first.
6. Editorial correction of History 5 (Register 2000, No. 42). 
7. Editorial correction of History 5 and repealer and new section filed 5-19-2006; operative 6-18-2006 (Register 2006, No. 20). 
§1810.225. Medication Support Services.
Note     •     History

“Medication Support Services” means those services that include prescribing, administering, dispensing and monitoring of psychiatric medications or biologicals that are necessary to alleviate the symptoms of mental illness. Service activities may include but are not limited to evaluation of the need for medication; evaluation of clinical effectiveness and side effects; the obtaining of informed consent; instruction in the use, risks and benefits of and alternatives for medication; and collateral and plan development related to the delivery of the service and/or assessment of the beneficiary. 
NOTE

Authority cited: Section 14680, Welfare and Institutions Code. Reference: Sections 5777, 14021.4 and 14684, Welfare and Institutions Code.
HISTORY

1. New section filed 10-31-97 as an emergency; operative 11-1-97 (Register 97, No. 44). A Certificate of Compliance must be transmitted to OAL by 3-2-98 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 3-2-98 as an emergency; operative 3-2-98 (Register 98, No. 10). A Certificate of Compliance must be transmitted to OAL by 6-30-98 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 6-17-98 as an emergency; operative 6-30-98 (Register 98, No. 25). Pursuant to Chapter 324 (Statutes of 1998) Item 4440-103-0001(4), a Certificate of Compliance must be transmitted to OAL by 7-1-99 or emergency language will be repealed by operation of law on the following day.
4. Editorial correction of History 3 (Register 98, No. 39).
5. Editorial correction extending Certificate of Compliance date to 7-1-2001 pursuant to Chapter 50 (Statutes of 1999) Item 4440-103-0001(4) (Register 99, No. 33). Notwithstanding any other provision of law, emergency regulations adopted pursuant to Welfare and Institutions Code section 14680 to implement the second phase of mental health managed care as provided in this part shall remain in effect until permanent regulations are adopted, or June 30, 2006, whichever occurs first.
6. Editorial correction of History 5 (Register 2000, No. 42). 
7. Editorial correction of History 5 and repealer and new section filed 5-19-2006; operative 6-18-2006 (Register 2006, No. 20). 
§1810.225.1. Memorandum of Understanding (MOU).
Note     •     History

“Memorandum of Understanding (MOU)” means a written agreement between mental health plans and Medi-Cal managed care plans describing their responsibilities in the delivery of specialty mental health services to beneficiaries who are served by both parties. 
NOTE

Authority cited: Section 14680, Welfare and Institutions Code. Reference: Sections 14681 and 14683, Welfare and Institutions Code.
HISTORY

1. New section filed 10-31-97 as an emergency; operative 11-1-97 (Register 97, No. 44). A Certificate of Compliance must be transmitted to OAL by 3-2-98 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 3-2-98 as an emergency; operative 3-2-98 (Register 98, No. 10). A Certificate of Compliance must be transmitted to OAL by 6-30-98 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 6-17-98 as an emergency; operative 6-30-98 (Register 98, No. 25). Pursuant to Chapter 324 (Statutes of 1998) Item 4440-103-0001(4), a Certificate of Compliance must be transmitted to OAL by 7-1-99 or emergency language will be repealed by operation of law on the following day.
4. Editorial correction of History 3 (Register 98, No. 39).
5. Editorial correction extending Certificate of Compliance date to 7-1-2001 pursuant to Chapter 50 (Statutes of 1999) Item 4440-103-0001(4) (Register 99, No. 33). Notwithstanding any other provision of law, emergency regulations adopted pursuant to Welfare and Institutions Code section 14680 to implement the second phase of mental health managed care as provided in this part shall remain in effect until permanent regulations are adopted, or June 30, 2006, whichever occurs first.
6. Editorial correction of History 5 (Register 2000, No. 42). 
7. Editorial correction of History 5 and repealer and new section filed 5-19-2006; operative 6-18-2006 (Register 2006, No. 20). 
§1810.226. Mental Health Plan (MHP).
Note     •     History

“Mental Health Plan” (MHP) means an entity that enters into a contract with the Department to provide directly or arrange and pay for specialty mental health services to beneficiaries in a county as provided in this Chapter. An MHP may be a county, counties acting jointly or another governmental or non-governmental entity. 
NOTE

Authority cited: Section 14680, Welfare and Institutions Code. Reference: Sections 5775, 5777, 5778 and 14684, Welfare and Institutions Code.
HISTORY

1. New section filed 10-31-97 as an emergency; operative 11-1-97 (Register 97, No. 44). A Certificate of Compliance must be transmitted to OAL by 3-2-98 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 3-2-98 as an emergency; operative 3-2-98 (Register 98, No. 10). A Certificate of Compliance must be transmitted to OAL by 6-30-98 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 6-17-98 as an emergency; operative 6-30-98 (Register 98, No. 25). Pursuant to Chapter 324 (Statutes of 1998) Item 4440-103-0001(4), a Certificate of Compliance must be transmitted to OAL by 7-1-99 or emergency language will be repealed by operation of law on the following day.
4. Editorial correction of History 3 (Register 98, No. 39).
5. Editorial correction extending Certificate of Compliance date to 7-1-2001 pursuant to Chapter 50 (Statutes of 1999) Item 4440-103-0001(4) (Register 99, No. 33). Notwithstanding any other provision of law, emergency regulations adopted pursuant to Welfare and Institutions Code section 14680 to implement the second phase of mental health managed care as provided in this part shall remain in effect until permanent regulations are adopted, or June 30, 2006, whichever occurs first.
6. Editorial correction of History 5 (Register 2000, No. 42). 
7. Editorial correction of History 5 and repealer and new section filed 5-19-2006; operative 6-18-2006 (Register 2006, No. 20). 
§1810.227. Mental Health Services.
Note     •     History

“Mental Health Services” means individual or group therapies and interventions that are designed to provide reduction of mental disability and restoration, improvement or maintenance of functioning consistent with the goals of learning, development, independent living and enhanced self-sufficiency and that are not provided as a component of adult residential services, crisis residential treatment services, crisis intervention, crisis stabilization, day rehabilitation, or day treatment intensive. Service activities may include but are not limited to assessment, plan development, therapy, rehabilitation and collateral. 
NOTE

Authority cited: Section 14680, Welfare and Institutions Code. Reference: Sections 5777, 14021.4 and 14684, Welfare and Institutions Code.
HISTORY

1. New section filed 10-31-97 as an emergency; operative 11-1-97 (Register 97, No. 44). A Certificate of Compliance must be transmitted to OAL by 3-2-98 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 3-2-98 as an emergency; operative 3-2-98 (Register 98, No. 10). A Certificate of Compliance must be transmitted to OAL by 6-30-98 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 6-17-98 as an emergency; operative 6-30-98 (Register 98, No. 25). Pursuant to Chapter 324 (Statutes of 1998) Item 4440-103-0001(4), a Certificate of Compliance must be transmitted to OAL by 7-1-99 or emergency language will be repealed by operation of law on the following day.
4. Editorial correction of History 3 (Register 98, No. 39).
5. Editorial correction extending Certificate of Compliance date to 7-1-2001 pursuant to Chapter 50 (Statutes of 1999) Item 4440-103-0001(4) (Register 99, No. 33). Notwithstanding any other provision of law, emergency regulations adopted pursuant to Welfare and Institutions Code section 14680 to implement the second phase of mental health managed care as provided in this part shall remain in effect until permanent regulations are adopted, or June 30, 2006, whichever occurs first.
6. Editorial correction of History 5 (Register 2000, No. 42). 
7. Editorial correction of History 5 and repealer and new section filed 5-19-2006; operative 6-18-2006 (Register 2006, No. 20). 
§1810.228. MHP of Beneficiary.
Note     •     History

“MHP of beneficiary” means the MHP responsible for providing or arranging and paying for specialty mental health services for a beneficiary under the provisions of this Chapter. The responsible MHP is the MHP serving the county that corresponds to the beneficiary's county of responsibility code as listed in the Medi-Cal Eligibility Data System (MEDS), unless another MHP is determined responsible pursuant to Section 1850.405. 
NOTE

Authority cited: Section 14680, Welfare and Institutions Code. Reference: Sections 5777, 5778 and 14684, Welfare and Institutions Code.
HISTORY

1. New section filed 10-31-97 as an emergency; operative 11-1-97 (Register 97, No. 44). A Certificate of Compliance must be transmitted to OAL by 3-2-98 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 3-2-98 as an emergency; operative 3-2-98 (Register 98, No. 10). A Certificate of Compliance must be transmitted to OAL by 6-30-98 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 6-17-98 as an emergency; operative 6-30-98 (Register 98, No. 25). Pursuant to Chapter 324 (Statutes of 1998) Item 4440-103-0001(4), a Certificate of Compliance must be transmitted to OAL by 7-1-99 or emergency language will be repealed by operation of law on the following day.
4. Editorial correction of History 3 (Register 98, No. 39).
5. Editorial correction extending Certificate of Compliance date to 7-1-2001 pursuant to Chapter 50 (Statutes of 1999) Item 4440-103-0001(4) (Register 99, No. 33). Notwithstanding any other provision of law, emergency regulations adopted pursuant to Welfare and Institutions Code section 14680 to implement the second phase of mental health managed care as provided in this part shall remain in effect until permanent regulations are adopted, or June 30, 2006, whichever occurs first.
6. Editorial correction of History 5 (Register 2000, No. 42). 
7. Editorial correction of History 5 and repealer and new section filed 5-19-2006; operative 6-18-2006 (Register 2006, No. 20). 
§1810.229. MHP Payment Authorization.
Note     •     History

“MHP Payment Authorization” means the written, electronic or verbal authorization given by an MHP to a provider for reimbursement of specialty mental health services provided to a beneficiary. 
NOTE

Authority cited: Section 14680, Welfare and Institutions Code. Reference: Sections 5777, 5778 and 14684, Welfare and Institutions Code.
HISTORY

1. New section filed 10-31-97 as an emergency; operative 11-1-97 (Register 97, No. 44). A Certificate of Compliance must be transmitted to OAL by 3-2-98 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 3-2-98 as an emergency; operative 3-2-98 (Register 98, No. 10). A Certificate of Compliance must be transmitted to OAL by 6-30-98 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 6-17-98 as an emergency; operative 6-30-98 (Register 98, No. 25). Pursuant to Chapter 324 (Statutes of 1998) Item 4440-103-0001(4), a Certificate of Compliance must be transmitted to OAL by 7-1-99 or emergency language will be repealed by operation of law on the following day.
4. Editorial correction of History 3 (Register 98, No. 39).
5. Editorial correction extending Certificate of Compliance date to 7-1-2001 pursuant to Chapter 50 (Statutes of 1999) Item 4440-103-0001(4) (Register 99, No. 33). Notwithstanding any other provision of law, emergency regulations adopted pursuant to Welfare and Institutions Code section 14680 to implement the second phase of mental health managed care as provided in this part shall remain in effect until permanent regulations are adopted, or June 30, 2006, whichever occurs first.
6. Editorial correction of History 5 (Register 2000, No. 42). 
7. Editorial correction of History 5 and repealer and new section filed 5-19-2006; operative 6-18-2006 (Register 2006, No. 20). 
§1810.230. Non-Contract Hospital.
Note     •     History

“Non-contract Hospital” means a hospital which is certified by the State Department of Health Services to provide Medi-Cal services, but which does not have a contract with a specific MHP to provide psychiatric inpatient hospital services to beneficiaries. 
NOTE

Authority cited: Section 14680, Welfare and Institutions Code. Reference: Sections 5775, 5777 and 14684, Welfare and Institutions Code.
HISTORY

1. New section filed 10-31-97 as an emergency; operative 11-1-97 (Register 97, No. 44). A Certificate of Compliance must be transmitted to OAL by 3-2-98 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 3-2-98 as an emergency; operative 3-2-98 (Register 98, No. 10). A Certificate of Compliance must be transmitted to OAL by 6-30-98 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 6-17-98 as an emergency; operative 6-30-98 (Register 98, No. 25). Pursuant to Chapter 324 (Statutes of 1998) Item 4440-103-0001(4), a Certificate of Compliance must be transmitted to OAL by 7-1-99 or emergency language will be repealed by operation of law on the following day.
4. Editorial correction of History 3 (Register 98, No. 39).
5. Editorial correction extending Certificate of Compliance date to 7-1-2001 pursuant to Chapter 50 (Statutes of 1999) Item 4440-103-0001(4) (Register 99, No. 33). Notwithstanding any other provision of law, emergency regulations adopted pursuant to Welfare and Institutions Code section 14680 to implement the second phase of mental health managed care as provided in this part shall remain in effect until permanent regulations are adopted, or June 30, 2006, whichever occurs first.
6. Editorial correction of History 5 (Register 2000, No. 42). 
7. Editorial correction of History 5 and repealer and new section filed 5-19-2006; operative 6-18-2006 (Register 2006, No. 20). 
§1810.230.5. Notice of Action.
Note     •     History

“Notice of Action” means a written notice from the MHP to a beneficiary when an MHP takes an action as defined in Section 1810.200(a), (c) or (d) or when an MHP or its providers take an action as defined in Section 1810.200(b). 
NOTE

Authority cited: Section 14680, Welfare and Institutions Code. Reference: Sections 5777, 5778 and 14684, Welfare and Institutions Code; and Title 42, Code of Federal Regulations, Part 438, Subpart F. 
HISTORY

1. New section filed 5-19-2006; operative 6-18-2006 (Register 2006, No. 20). 
§1810.231. Organizational Provider.
Note     •     History

“Organizational provider” means a provider of specialty mental health services other than psychiatric inpatient hospital services or psychiatric nursing facility services that provides the services to beneficiaries through employed or contracting licensed mental health or waivered/registered professionals and other staff. The MHP is an organizational provider when specialty mental health services are provided to beneficiaries by employees of the MHP. 
NOTE

Authority cited: Section 14680, Welfare and Institutions Code. Reference: Sections 5777 and 14684, Welfare and Institutions Code.
HISTORY

1. New section filed 10-31-97 as an emergency; operative 11-1-97 (Register 97, No. 44). A Certificate of Compliance must be transmitted to OAL by 3-2-98 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 3-2-98 as an emergency; operative 3-2-98 (Register 98, No. 10). A Certificate of Compliance must be transmitted to OAL by 6-30-98 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 6-17-98 as an emergency; operative 6-30-98 (Register 98, No. 25). Pursuant to Chapter 324 (Statutes of 1998) Item 4440-103-0001(4), a Certificate of Compliance must be transmitted to OAL by 7-1-99 or emergency language will be repealed by operation of law on the following day.
4. Editorial correction of History 3 (Register 98, No. 39).
5. Editorial correction extending Certificate of Compliance date to 7-1-2001 pursuant to Chapter 50 (Statutes of 1999) Item 4440-103-0001(4) (Register 99, No. 33). Notwithstanding any other provision of law, emergency regulations adopted pursuant to Welfare and Institutions Code section 14680 to implement the second phase of mental health managed care as provided in this part shall remain in effect until permanent regulations are adopted, or June 30, 2006, whichever occurs first.
6. Editorial correction of History 5 (Register 2000, No. 42). 
7. Editorial correction of History 5 and repealer and new section filed 5-19-2006; operative 6-18-2006 (Register 2006, No. 20). 
§1810.231.1. Physical Health Care or Physical Health Care Based Treatment.
Note     •     History

“Physical Health Care” and “Physical Health Care Based Treatment” mean health care services provided by health professionals, including physicians, whose practice is predominately general medicine, family practice, internal medicine, pediatrics, obstetrics or gynecology, or whose practice is predominately a health care specialty area other than psychiatry or psychology. Physical health care does not include: 
(a) A physician service as described in Title 22, Section 51305, delivered by a psychiatrist. A psychiatrist for the purpose of this definition is a physician who has not indicated a psychiatrist specialty as part of the provider enrollment process for the Medi-Cal program. 
(b) A psychologist service as described in Title 22, Section 51309. 
(c) An EPSDT supplemental service as described in Title 22, Sections 51340 or 51340.1, delivered by a licensed clinical social worker, a licensed marriage and family therapist to treat a mental illness or condition. 
NOTE

Authority cited: Section 14680, Welfare and Institutions Code. Reference: Sections 5777 and 14684, Welfare and Institutions Code. 
HISTORY

1. New section filed 5-19-2006; operative 6-18-2006 (Register 2006, No. 20). 
§1810.232. Plan Development.
Note     •     History

“Plan Development” means a service activity that consists of development of client plans, approval of client plans, and/or monitoring of a beneficiary's progress. 
NOTE

Authority cited: Section 14680, Welfare and Institutions Code. Reference: Sections 5777, 14021.4 and 14684, Welfare and Institutions Code.
HISTORY

1. New section filed 10-31-97 as an emergency; operative 11-1-97 (Register 97, No. 44). A Certificate of Compliance must be transmitted to OAL by 3-2-98 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 3-2-98 as an emergency; operative 3-2-98 (Register 98, No. 10). A Certificate of Compliance must be transmitted to OAL by 6-30-98 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 6-17-98 as an emergency; operative 6-30-98 (Register 98, No. 25). Pursuant to Chapter 324 (Statutes of 1998) Item 4440-103-0001(4), a Certificate of Compliance must be transmitted to OAL by 7-1-99 or emergency language will be repealed by operation of law on the following day.
4. Editorial correction of History 3 (Register 98, No. 39).
5. Editorial correction extending Certificate of Compliance date to 7-1-2001 pursuant to Chapter 50 (Statutes of 1999) Item 4440-103-0001(4) (Register 99, No. 33). Notwithstanding any other provision of law, emergency regulations adopted pursuant to Welfare and Institutions Code section 14680 to implement the second phase of mental health managed care as provided in this part shall remain in effect until permanent regulations are adopted, or June 30, 2006, whichever occurs first.
6. Editorial correction of History 5 (Register 2000, No. 42). 
7. Editorial correction of History 5 and repealer and new section filed 5-19-2006; operative 6-18-2006 (Register 2006, No. 20). 
§1810.233. Point of Authorization.
Note     •     History

“Point of Authorization” means the function within the MHP that is required to receive provider communications 24 hours a day, seven days a week regarding requests for MHP payment authorization of psychiatric inpatient hospital, psychiatric health facility, and psychiatric nursing facility services and authorizes payment for those services. This function may be assigned to a person, an identified staffing unit, a committee, or an organizational executive who may delegate the authorization functions. 
NOTE

Authority cited: Section 14680, Welfare and Institutions Code. Reference: Sections 5777, 5778 and 14684, Welfare and Institutions Code.
HISTORY

1. New section filed 10-31-97 as an emergency; operative 11-1-97 (Register 97, No. 44). A Certificate of Compliance must be transmitted to OAL by 3-2-98 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 3-2-98 as an emergency; operative 3-2-98 (Register 98, No. 10). A Certificate of Compliance must be transmitted to OAL by 6-30-98 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 6-17-98 as an emergency; operative 6-30-98 (Register 98, No. 25). Pursuant to Chapter 324 (Statutes of 1998) Item 4440-103-0001(4), a Certificate of Compliance must be transmitted to OAL by 7-1-99 or emergency language will be repealed by operation of law on the following day.
4. Editorial correction of History 3 (Register 98, No. 39).
5. Editorial correction extending Certificate of Compliance date to 7-1-2001 pursuant to Chapter 50 (Statutes of 1999) Item 4440-103-0001(4) (Register 99, No. 33). Notwithstanding any other provision of law, emergency regulations adopted pursuant to Welfare and Institutions Code section 14680 to implement the second phase of mental health managed care as provided in this part shall remain in effect until permanent regulations are adopted, or June 30, 2006, whichever occurs first.
6. Editorial correction of History 5 (Register 2000, No. 42). 
7. Editorial correction of History 5 and repealer and new section filed 5-19-2006; operative 6-18-2006 (Register 2006, No. 20). 
§1810.234. Prior Authorization.
Note     •     History

“Prior authorization” means the issuance of an MHP payment authorization to a provider before the requested service has been provided. 
NOTE

Authority cited: Section 14680, Welfare and Institutions Code. Reference: Sections 5777, 5778 and 14684, Welfare and Institutions Code.
HISTORY

1. New section filed 10-31-97 as an emergency; operative 11-1-97 (Register 97, No. 44). A Certificate of Compliance must be transmitted to OAL by 3-2-98 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 3-2-98 as an emergency; operative 3-2-98 (Register 98, No. 10). A Certificate of Compliance must be transmitted to OAL by 6-30-98 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 6-17-98 as an emergency; operative 6-30-98 (Register 98, No. 25). Pursuant to Chapter 324 (Statutes of 1998) Item 4440-103-0001(4), a Certificate of Compliance must be transmitted to OAL by 7-1-99 or emergency language will be repealed by operation of law on the following day.
4. Editorial correction of History 3 (Register 98, No. 39).
5. Editorial correction extending Certificate of Compliance date to 7-1-2001 pursuant to Chapter 50 (Statutes of 1999) Item 4440-103-0001(4) (Register 99, No. 33). Notwithstanding any other provision of law, emergency regulations adopted pursuant to Welfare and Institutions Code section 14680 to implement the second phase of mental health managed care as provided in this part shall remain in effect until permanent regulations are adopted, or June 30, 2006, whichever occurs first.
6. Editorial correction of History 5 (Register 2000, No. 42). 
7. Editorial correction of History 5 and repealer and new section filed 5-19-2006; operative 6-18-2006 (Register 2006, No. 20). 
§1810.235. Provider.
Note     •     History

“Provider” means person or entity who is licensed, certified, or otherwise recognized or authorized under state law governing the healing arts to provide specialty mental health services and who meets the standards for participation in the Medi-Cal program as described in this Chapter and in Division 3, Subdivision 1 of Title 22, beginning with Section 50000. Provider includes but is not limited to licensed mental health professionals, clinics, hospital outpatient departments, certified day treatment facilities, certified residential treatment facilities, skilled nursing facilities, psychiatric health facilities, general acute care hospitals, and acute psychiatric hospitals. The MHP is a provider when direct services are provided to beneficiaries by employees of the MHP. 
NOTE

Authority cited: Section 14680, Welfare and Institutions Code. Reference: Sections 5775, 5777, 5778 and 14684, Welfare and Institutions Code.
HISTORY

1. New section filed 10-31-97 as an emergency; operative 11-1-97 (Register 97, No. 44). A Certificate of Compliance must be transmitted to OAL by 3-2-98 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 3-2-98 as an emergency; operative 3-2-98 (Register 98, No. 10). A Certificate of Compliance must be transmitted to OAL by 6-30-98 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 6-17-98 as an emergency; operative 6-30-98 (Register 98, No. 25). Pursuant to Chapter 324 (Statutes of 1998) Item 4440-103-0001(4), a Certificate of Compliance must be transmitted to OAL by 7-1-99 or emergency language will be repealed by operation of law on the following day.
4. Editorial correction of History 3 (Register 98, No. 39).
5. Editorial correction extending Certificate of Compliance date to 7-1-2001 pursuant to Chapter 50 (Statutes of 1999) Item 4440-103-0001(4) (Register 99, No. 33). Notwithstanding any other provision of law, emergency regulations adopted pursuant to Welfare and Institutions Code section 14680 to implement the second phase of mental health managed care as provided in this part shall remain in effect until permanent regulations are adopted, or June 30, 2006, whichever occurs first.
6. Editorial correction of History 5 (Register 2000, No. 42). 
7. Editorial correction of History 5 and repealer and new section filed 5-19-2006; operative 6-18-2006 (Register 2006, No. 20). 
§1810.236. Psychiatric Health Facility.
Note     •     History

“Psychiatric Health Facility” means a facility licensed by the Department under the provisions of Chapter 9, Division 5 of Title 22, beginning with Section 77001. For the purposes of this Chapter, psychiatric health facilities that have been certified by the State Department of Health Services as Medi-Cal providers of inpatient hospital services will be governed by the provisions applicable to hospitals and psychiatric inpatient hospital services, except when specifically indicated in context. 
NOTE

Authority cited: Section 14680, Welfare and Institutions Code. Reference: Sections 5777 and 14684, Welfare and Institutions Code.
HISTORY

1. New section filed 10-31-97 as an emergency; operative 11-1-97 (Register 97, No. 44). A Certificate of Compliance must be transmitted to OAL by 3-2-98 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 3-2-98 as an emergency; operative 3-2-98 (Register 98, No. 10). A Certificate of Compliance must be transmitted to OAL by 6-30-98 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 6-17-98 as an emergency; operative 6-30-98 (Register 98, No. 25). Pursuant to Chapter 324 (Statutes of 1998) Item 4440-103-0001(4), a Certificate of Compliance must be transmitted to OAL by 7-1-99 or emergency language will be repealed by operation of law on the following day.
4. Editorial correction of History 3 (Register 98, No. 39).
5. Editorial correction extending Certificate of Compliance date to 7-1-2001 pursuant to Chapter 50 (Statutes of 1999) Item 4440-103-0001(4) (Register 99, No. 33). Notwithstanding any other provision of law, emergency regulations adopted pursuant to Welfare and Institutions Code section 14680 to implement the second phase of mental health managed care as provided in this part shall remain in effect until permanent regulations are adopted, or June 30, 2006, whichever occurs first.
6. Editorial correction of History 5 (Register 2000, No. 42). 
7. Editorial correction of History 5 and repealer and new section filed 5-19-2006; operative 6-18-2006 (Register 2006, No. 20). 
§1810.237. Psychiatric Health Facility Services.
Note     •     History

“Psychiatric Health Facility Services” means therapeutic and/or rehabilitative services provided in a psychiatric health facility, other than a psychiatric health facility that has been certified by the State Department of Health Services as a Medi-Cal provider of inpatient hospital services, on an inpatient basis to beneficiaries who need acute care, which is care that meets the criteria of Section 1820.205, and whose physical health needs can be met in an affiliated general acute care hospital or in outpatient settings. 
NOTE

Authority cited: Section 14680, Welfare and Institutions Code. Reference: Sections 5777, 14021.4 and 14684, Welfare and Institutions Code.
HISTORY

1. New section filed 10-31-97 as an emergency; operative 11-1-97 (Register 97, No. 44). A Certificate of Compliance must be transmitted to OAL by 3-2-98 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 3-2-98 as an emergency; operative 3-2-98 (Register 98, No. 10). A Certificate of Compliance must be transmitted to OAL by 6-30-98 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 6-17-98 as an emergency; operative 6-30-98 (Register 98, No. 25). Pursuant to Chapter 324 (Statutes of 1998) Item 4440-103-0001(4), a Certificate of Compliance must be transmitted to OAL by 7-1-99 or emergency language will be repealed by operation of law on the following day.
4. Editorial correction of History 3 (Register 98, No. 39).
6. Editorial correction of History 5 (Register 2000, No. 42).
5. Editorial correction extending Certificate of Compliance date to 7-1-2001 pursuant to Chapter 50 (Statutes of 1999) Item 4440-103-0001(4) (Register 99, No. 33). Notwithstanding any other provision of law, emergency regulations adopted pursuant to Welfare and Institutions Code section 14680 to implement the second phase of mental health managed care as provided in this part shall remain in effect until permanent regulations are adopted, or June 30, 2006, whichever occurs first.
6. Editorial correction of History 5 (Register 2000, No. 42). 
7. Editorial correction of History 5 and repealer and new section filed 5-19-2006; operative 6-18-2006 (Register 2006, No. 20). 
§1810.237.1. Psychiatric Inpatient Hospital Professional Services.
Note     •     History

“Psychiatric Inpatient Hospital Professional Services” means specialty mental health services provided to a beneficiary by a licensed mental health professional with hospital admitting privileges while the beneficiary is in a hospital receiving psychiatric inpatient hospital services. Psychiatric inpatient hospital professional services do not include all specialty mental health services that may be provided in an inpatient setting. Psychiatric inpatient hospital professional services include only those services provided for the purpose of evaluating and managing the mental disorder that resulted in the need for psychiatric inpatient hospital services. Psychiatric inpatient hospital professional services do not include routine hospital services or hospital-based ancillary services. 
NOTE

Authority cited: Section 14680, Welfare and Institutions Code. Reference: Sections 5777 and 14684, Welfare and Institutions Code.
HISTORY

1. New section filed 10-31-97 as an emergency; operative 11-1-97 (Register 97, No. 44). A Certificate of Compliance must be transmitted to OAL by 3-2-98 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 3-2-98 as an emergency; operative 3-2-98 (Register 98, No. 10). A Certificate of Compliance must be transmitted to OAL by 6-30-98 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 6-17-98 as an emergency; operative 6-30-98 (Register 98, No. 25). Pursuant to Chapter 324 (Statutes of 1998) Item 4440-103-0001(4), a Certificate of Compliance must be transmitted to OAL by 7-1-99 or emergency language will be repealed by operation of law on the following day.
4. Editorial correction of History 3 (Register 98, No. 39).
5. Editorial correction extending Certificate of Compliance date to 7-1-2001 pursuant to Chapter 50 (Statutes of 1999) Item 4440-103-0001(4) (Register 99, No. 33). Notwithstanding any other provision of law, emergency regulations adopted pursuant to Welfare and Institutions Code section 14680 to implement the second phase of mental health managed care as provided in this part shall remain in effect until permanent regulations are adopted, or June 30, 2006, whichever occurs first.
6. Editorial correction of History 5 (Register 2000, No. 42). 
7. Editorial correction of History 5 and repealer and new section filed 5-19-2006; operative 6-18-2006 (Register 2006, No. 20). 
§1810.238. Psychiatric Inpatient Hospital Services.
Note     •     History

“Psychiatric Inpatient Hospital Services” means both acute psychiatric inpatient hospital services and administrative day services provided in a hospital. 
NOTE

Authority cited: Section 14680, Welfare and Institutions Code. Reference: Sections 5778, 14132 and 14684, Welfare and Institutions Code.
HISTORY

1. New section filed 10-31-97 as an emergency; operative 11-1-97 (Register 97, No. 44). A Certificate of Compliance must be transmitted to OAL by 3-2-98 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 3-2-98 as an emergency; operative 3-2-98 (Register 98, No. 10). A Certificate of Compliance must be transmitted to OAL by 6-30-98 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 6-17-98 as an emergency; operative 6-30-98 (Register 98, No. 25). Pursuant to Chapter 324 (Statutes of 1998) Item 4440-103-0001(4), a Certificate of Compliance must be transmitted to OAL by 7-1-99 or emergency language will be repealed by operation of law on the following day.
4. Editorial correction of History 3 (Register 98, No. 39).
5. Editorial correction extending Certificate of Compliance date to 7-1-2001 pursuant to Chapter 50 (Statutes of 1999) Item 4440-103-0001(4) (Register 99, No. 33). Notwithstanding any other provision of law, emergency regulations adopted pursuant to Welfare and Institutions Code section 14680 to implement the second phase of mental health managed care as provided in this part shall remain in effect until permanent regulations are adopted, or June 30, 2006, whichever occurs first.
6. Editorial correction of History 5 (Register 2000, No. 42). 
7. Editorial correction of History 5 and repealer and new section filed 5-19-2006; operative 6-18-2006 (Register 2006, No. 20). 
§1810.239. Psychiatric Nursing Facility Services.
Note     •     History

“Psychiatric Nursing Facility Services” means skilled nursing facility services as defined in Title 22, Section 51123, that include special treatment program services for mentally disordered persons as defined in Title 22, Section 72443, provided by an entity that is licensed as a skilled nursing facility by the State Department of Health Services and is certified by the Department to provide special treatment program services. 
NOTE

Authority cited: Section 14680, Welfare and Institutions Code. Reference: Sections 5777, 14132 and 14684, Welfare and Institutions Code.
HISTORY

1. New section filed 10-31-97 as an emergency; operative 11-1-97 (Register 97, No. 44). A Certificate of Compliance must be transmitted to OAL by 3-2-98 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 3-2-98 as an emergency; operative 3-2-98 (Register 98, No. 10). A Certificate of Compliance must be transmitted to OAL by 6-30-98 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 6-17-98 as an emergency; operative 6-30-98 (Register 98, No. 25). Pursuant to Chapter 324 (Statutes of 1998) Item 4440-103-0001(4), a Certificate of Compliance must be transmitted to OAL by 7-1-99 or emergency language will be repealed by operation of law on the following day.
4. Editorial correction of History 3 (Register 98, No. 39).
5. Editorial correction extending Certificate of Compliance date to 7-1-2001 pursuant to Chapter 50 (Statutes of 1999) Item 4440-103-0001(4) (Register 99, No. 33). Notwithstanding any other provision of law, emergency regulations adopted pursuant to Welfare and Institutions Code section 14680 to implement the second phase of mental health managed care as provided in this part shall remain in effect until permanent regulations are adopted, or June 30, 2006, whichever occurs first.
6. Editorial correction of History 5 (Register 2000, No. 42). 
7. Editorial correction of History 5 and repealer and new section filed 5-19-2006; operative 6-18-2006 (Register 2006, No. 20). 
§1810.240. Psychiatrist Services.
Note     •     History

“Psychiatrist Services” means services provided by licensed physicians, within their scope of practice, who have contracted with the MHP to provide specialty mental health services, who have indicated a psychiatrist specialty as part of the provider enrollment process for the Medi-Cal program, to diagnose or treat a mental illness or condition. For the purposes of this Chapter, psychiatrist services may only be provided by physicians who are individual or group providers. 
NOTE

Authority cited: Section 14680, Welfare and Institutions Code. Reference: Sections 5777, 14132 and 14684, Welfare and Institutions Code.
HISTORY

1. New section filed 10-31-97 as an emergency; operative 11-1-97 (Register 97, No. 44). A Certificate of Compliance must be transmitted to OAL by 3-2-98 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 3-2-98 as an emergency; operative 3-2-98 (Register 98, No. 10). A Certificate of Compliance must be transmitted to OAL by 6-30-98 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 6-17-98 as an emergency; operative 6-30-98 (Register 98, No. 25). Pursuant to Chapter 324 (Statutes of 1998) Item 4440-103-0001(4), a Certificate of Compliance must be transmitted to OAL by 7-1-99 or emergency language will be repealed by operation of law on the following day.
4. Editorial correction of History 3 (Register 98, No. 39).
5. Editorial correction extending Certificate of Compliance date to 7-1-2001 pursuant to Chapter 50 (Statutes of 1999) Item 4440-103-0001(4) (Register 99, No. 33). Notwithstanding any other provision of law, emergency regulations adopted pursuant to Welfare and Institutions Code section 14680 to implement the second phase of mental health managed care as provided in this part shall remain in effect until permanent regulations are adopted, or June 30, 2006, whichever occurs first.
6. Editorial correction of History 5 (Register 2000, No. 42). 
7. Editorial correction of History 5 and repealer and new section filed 5-19-2006; operative 6-18-2006 (Register 2006, No. 20). 
§1810.241. Psychologist Services.
Note     •     History

“Psychologist Services” means services provided by licensed psychologists, within their scope of practice, to diagnose or treat a mental illness or condition. For the purposes of this Chapter, psychologist services may only be provided by licensed psychologists who are individual or group providers. 
NOTE

Authority cited: Section 14680, Welfare and Institutions Code. Reference: Sections 5777, 14132 and 14684, Welfare and Institutions Code.
HISTORY

1. New section filed 10-31-97 as an emergency; operative 11-1-97 (Register 97, No. 44). A Certificate of Compliance must be transmitted to OAL by 3-2-98 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 3-2-98 as an emergency; operative 3-2-98 (Register 98, No. 10). A Certificate of Compliance must be transmitted to OAL by 6-30-98 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 6-17-98 as an emergency; operative 6-30-98 (Register 98, No. 25). Pursuant to Chapter 324 (Statutes of 1998) Item 4440-103-0001(4), a Certificate of Compliance must be transmitted to OAL by 7-1-99 or emergency language will be repealed by operation of law on the following day.
4. Editorial correction of History 3 (Register 98, No. 39).
5. Editorial correction extending Certificate of Compliance date to 7-1-2001 pursuant to Chapter 50 (Statutes of 1999) Item 4440-103-0001(4) (Register 99, No. 33). Notwithstanding any other provision of law, emergency regulations adopted pursuant to Welfare and Institutions Code section 14680 to implement the second phase of mental health managed care as provided in this part shall remain in effect until permanent regulations are adopted, or June 30, 2006, whichever occurs first.
6. Editorial correction of History 5 (Register 2000, No. 42). 
7. Editorial correction of History 5 and repealer and new section filed 5-19-2006; operative 6-18-2006 (Register 2006, No. 20). 
§1810.242. Receipt or Date of Receipt.
Note     •     History

“Receipt” means the receipt of a Treatment Authorization Request or other document. The “date of receipt” means the date the document was received as indicated by a date stamp made by the receiver or the fax date recorded on the document. For documents submitted by mail, the postmark date shall be used as the date of receipt in the absence of a date/time stamp made by the receiver. 
NOTE

Authority cited: Section 14680, Welfare and Institutions Code. Reference: Sections 5778 and 14684, Welfare and Institutions Code.
HISTORY

1. New section filed 10-31-97 as an emergency; operative 11-1-97 (Register 97, No. 44). A Certificate of Compliance must be transmitted to OAL by 3-2-98 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 3-2-98 as an emergency; operative 3-2-98 (Register 98, No. 10). A Certificate of Compliance must be transmitted to OAL by 6-30-98 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 6-17-98 as an emergency; operative 6-30-98 (Register 98, No. 25). Pursuant to Chapter 324 (Statutes of 1998) Item 4440-103-0001(4), a Certificate of Compliance must be transmitted to OAL by 7-1-99 or emergency language will be repealed by operation of law on the following day.
4. Editorial correction of History 3 (Register 98, No. 39).
5. Editorial correction extending Certificate of Compliance date to 7-1-2001 pursuant to Chapter 50 (Statutes of 1999) Item 4440-103-0001(4) (Register 99, No. 33). Notwithstanding any other provision of law, emergency regulations adopted pursuant to Welfare and Institutions Code section 14680 to implement the second phase of mental health managed care as provided in this part shall remain in effect until permanent regulations are adopted, or June 30, 2006, whichever occurs first.
6. Editorial correction of History 5 (Register 2000, No. 42). 
7. Editorial correction of History 5 and repealer and new section filed 5-19-2006; operative 6-18-2006 (Register 2006, No. 20). 
§1810.243. Rehabilitation.
Note     •     History

“Rehabilitation” means a service activity which includes, but is not limited to assistance in improving, maintaining, or restoring a beneficiary's or group of beneficiaries' functional skills, daily living skills, social and leisure skills, grooming and personal hygiene skills, meal preparation skills, and support resources; and/or medication education. 
NOTE

Authority cited: Section 14680, Welfare and Institutions Code. Reference: Sections 5777, 14021.4 and 14684, Welfare and Institutions Code.
HISTORY

1. New section filed 10-31-97 as an emergency; operative 11-1-97 (Register 97, No. 44). A Certificate of Compliance must be transmitted to OAL by 3-2-98 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 3-2-98 as an emergency; operative 3-2-98 (Register 98, No. 10). A Certificate of Compliance must be transmitted to OAL by 6-30-98 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 6-17-98 as an emergency; operative 6-30-98 (Register 98, No. 25). Pursuant to Chapter 324 (Statutes of 1998) Item 4440-103-0001(4), a Certificate of Compliance must be transmitted to OAL by 7-1-99 or emergency language will be repealed by operation of law on the following day.
4. Editorial correction of History 3 (Register 98, No. 39).
5. Editorial correction extending Certificate of Compliance date to 7-1-2001 pursuant to Chapter 50 (Statutes of 1999) Item 4440-103-0001(4) (Register 99, No. 33). Notwithstanding any other provision of law, emergency regulations adopted pursuant to Welfare and Institutions Code section 14680 to implement the second phase of mental health managed care as provided in this part shall remain in effect until permanent regulations are adopted, or June 30, 2006, whichever occurs first.
6. Editorial correction of History 5 (Register 2000, No. 42). 
7. Editorial correction of History 5 and repealer and new section filed 5-19-2006; operative 6-18-2006 (Register 2006, No. 20). 
§1810.243.1. Rehabilitative Mental Health Services.
Note     •     History

“Rehabilitative Mental Health Services” means those services included in Section 1810.247(a) and separately defined in this Article. 
NOTE

Authority cited: Section 14680, Welfare and Institutions Code. Reference: Sections 5777, 14021.4 and 14684, Welfare and Institutions Code.
HISTORY

1. New section filed 10-31-97 as an emergency; operative 11-1-97 (Register 97, No. 44). A Certificate of Compliance must be transmitted to OAL by 3-2-98 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 3-2-98 as an emergency; operative 3-2-98 (Register 98, No. 10). A Certificate of Compliance must be transmitted to OAL by 6-30-98 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 6-17-98 as an emergency; operative 6-30-98 (Register 98, No. 25). Pursuant to Chapter 324 (Statutes of 1998) Item 4440-103-0001(4), a Certificate of Compliance must be transmitted to OAL by 7-1-99 or emergency language will be repealed by operation of law on the following day.
4. Editorial correction of History 3 (Register 98, No. 39).
5. Editorial correction extending Certificate of Compliance date to 7-1-2001 pursuant to Chapter 50 (Statutes of 1999) Item 4440-103-0001(4) (Register 99, No. 33). Notwithstanding any other provision of law, emergency regulations adopted pursuant to Welfare and Institutions Code section 14680 to implement the second phase of mental health managed care as provided in this part shall remain in effect until permanent regulations are adopted, or June 30, 2006, whichever occurs first.
6. Editorial correction of History 5 (Register 2000, No. 42). 
7. Editorial correction of History 5 and repealer and new section filed 5-19-2006; operative 6-18-2006 (Register 2006, No. 20). 
§1810.243.5. Risk Reinsurance.
Note     •     History

“Risk Reinsurance” means an insurance policy purchased for an MHP that provides coverage for costs of providing services exceeding specified limits. 
NOTE

Authority cited: Section 14680, Welfare and Institutions Code. Reference: Section 5778, Welfare and Institutions Code. 
HISTORY

1. New section filed 5-19-2006; operative 6-18-2006 (Register 2006, No. 20). 
§1810.244. Routine Hospital Services.
Note     •     History

“Routine Hospital Services” means bed, board and all medical, nursing and other support services usually provided to an inpatient by a hospital. Routine hospital services do not include hospital-based ancillary services, psychiatrist or other physician services, or psychologist services. 
NOTE

Authority cited: Section 14680, Welfare and Institutions Code. Reference: Sections 5777, 5778 and 14684, Welfare and Institutions Code.
HISTORY

1. New section filed 10-31-97 as an emergency; operative 11-1-97 (Register 97, No. 44). A Certificate of Compliance must be transmitted to OAL by 3-2-98 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 3-2-98 as an emergency; operative 3-2-98 (Register 98, No. 10). A Certificate of Compliance must be transmitted to OAL by 6-30-98 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 6-17-98 as an emergency; operative 6-30-98 (Register 98, No. 25). Pursuant to Chapter 324 (Statutes of 1998) Item 4440-103-0001(4), a Certificate of Compliance must be transmitted to OAL by 7-1-99 or emergency language will be repealed by operation of law on the following day.
4. Editorial correction of History 3 (Register 98, No. 39).
5. Editorial correction extending Certificate of Compliance date to 7-1-2001 pursuant to Chapter 50 (Statutes of 1999) Item 4440-103-0001(4) (Register 99, No. 33). Notwithstanding any other provision of law, emergency regulations adopted pursuant to Welfare and Institutions Code section 14680 to implement the second phase of mental health managed care as provided in this part shall remain in effect until permanent regulations are adopted, or June 30, 2006, whichever occurs first.
6. Editorial correction of History 5 (Register 2000, No. 42). 
7. Editorial correction of History 5 and repealer and new section filed 5-19-2006; operative 6-18-2006 (Register 2006, No. 20). 
§1810.245. Service Activities.
Note     •     History

“Service Activities” means activities conducted to provide specialty mental health services when the definition of the service includes these activities. Service activities include, but are not limited to, assessment, collateral, therapy, rehabilitation, and plan development. 
NOTE

Authority cited: Section 14680, Welfare and Institutions Code. Reference: Sections 5777, 14021.4 and 14684, Welfare and Institutions Code.
HISTORY

1. New section filed 10-31-97 as an emergency; operative 11-1-97 (Register 97, No. 44). A Certificate of Compliance must be transmitted to OAL by 3-2-98 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 3-2-98 as an emergency; operative 3-2-98 (Register 98, No. 10). A Certificate of Compliance must be transmitted to OAL by 6-30-98 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 6-17-98 as an emergency; operative 6-30-98 (Register 98, No. 25). Pursuant to Chapter 324 (Statutes of 1998) Item 4440-103-0001(4), a Certificate of Compliance must be transmitted to OAL by 7-1-99 or emergency language will be repealed by operation of law on the following day.
4. Editorial correction of History 3 (Register 98, No. 39).
5. Editorial correction extending Certificate of Compliance date to 7-1-2001 pursuant to Chapter 50 (Statutes of 1999) Item 4440-103-0001(4) (Register 99, No. 33). Notwithstanding any other provision of law, emergency regulations adopted pursuant to Welfare and Institutions Code section 14680 to implement the second phase of mental health managed care as provided in this part shall remain in effect until permanent regulations are adopted, or June 30, 2006, whichever occurs first.
6. Editorial correction of History 5 (Register 2000, No. 42). 
7. Editorial correction of History 5 and repealer and new section filed 5-19-2006; operative 6-18-2006 (Register 2006, No. 20). 
§1810.246. Short-Doyle/Medi-Cal Hospital.
Note     •     History

“Short-Doyle/Medi-Cal Hospital” means a hospital that submits claims for Medi-Cal psychiatric inpatient hospital services through the Department to the State Department of Health Services and not to the fiscal intermediary. 
NOTE

Authority cited: Section 14680, Welfare and Institutions Code. Reference: Sections 5777, 5778 and 14684, Welfare and Institutions Code.
HISTORY

1. New section filed 10-31-97 as an emergency; operative 11-1-97 (Register 97, No. 44). A Certificate of Compliance must be transmitted to OAL by 3-2-98 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 3-2-98 as an emergency; operative 3-2-98 (Register 98, No. 10). A Certificate of Compliance must be transmitted to OAL by 6-30-98 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 6-17-98 as an emergency; operative 6-30-98 (Register 98, No. 25). Pursuant to Chapter 324 (Statutes of 1998) Item 4440-103-0001(4), a Certificate of Compliance must be transmitted to OAL by 7-1-99 or emergency language will be repealed by operation of law on the following day.
4. Editorial correction of History 3 (Register 98, No. 39).
5. Editorial correction extending Certificate of Compliance date to 7-1-2001 pursuant to Chapter 50 (Statutes of 1999) Item 4440-103-0001(4) (Register 99, No. 33). Notwithstanding any other provision of law, emergency regulations adopted pursuant to Welfare and Institutions Code section 14680 to implement the second phase of mental health managed care as provided in this part shall remain in effect until permanent regulations are adopted, or June 30, 2006, whichever occurs first.
6. Editorial correction of History 5 (Register 2000, No. 42). 
7. Editorial correction of History 5 and repealer and new section filed 5-19-2006; operative 6-18-2006 (Register 2006, No. 20). 
§1810.246.1. Significant Support Person.
Note     •     History

“Significant support person” means persons, in the opinion of the beneficiary or the person providing services, who have or could have a significant role in the successful outcome of treatment, including but not limited to the parents or legal guardian of a beneficiary who is a minor, the legal representative of a beneficiary who is not a minor, a person living in the same household as the beneficiary, the beneficiary's spouse, and relatives of the beneficiary. 
NOTE

Authority cited: Section 14680, Welfare and Institutions Code. Reference: Sections 5777, 14021.4 and 14684, Welfare and Institutions Code.
HISTORY

1. New section filed 10-31-97 as an emergency; operative 11-1-97 (Register 97, No. 44). A Certificate of Compliance must be transmitted to OAL by 3-2-98 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 3-2-98 as an emergency; operative 3-2-98 (Register 98, No. 10). A Certificate of Compliance must be transmitted to OAL by 6-30-98 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 6-17-98 as an emergency; operative 6-30-98 (Register 98, No. 25). Pursuant to Chapter 324 (Statutes of 1998) Item 4440-103-0001(4), a Certificate of Compliance must be transmitted to OAL by 7-1-99 or emergency language will be repealed by operation of law on the following day.
4. Editorial correction of History 3 (Register 98, No. 39).
5. Editorial correction extending Certificate of Compliance date to 7-1-2001 pursuant to Chapter 50 (Statutes of 1999) Item 4440-103-0001(4) (Register 99, No. 33). Notwithstanding any other provision of law, emergency regulations adopted pursuant to Welfare and Institutions Code section 14680 to implement the second phase of mental health managed care as provided in this part shall remain in effect until permanent regulations are adopted, or June 30, 2006, whichever occurs first.
6. Editorial correction of History 5 (Register 2000, No. 42). 
7. Editorial correction of History 5 and repealer and new section filed 5-19-2006; operative 6-18-2006 (Register 2006, No. 20). 
§1810.246.2. Small County.
Note     •     History

“Small County” means a county in California with a population of less than 200,000 as determined by 1990 census data. 
NOTE

Authority cited: Section 14680, Welfare and Institutions Code. Reference: Section 5778, Welfare and Institutions Code.
HISTORY

1. New section filed 10-31-97 as an emergency; operative 11-1-97 (Register 97, No. 44). A Certificate of Compliance must be transmitted to OAL by 3-2-98 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 3-2-98 as an emergency; operative 3-2-98 (Register 98, No. 10). A Certificate of Compliance must be transmitted to OAL by 6-30-98 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 6-17-98 as an emergency; operative 6-30-98 (Register 98, No. 25). Pursuant to Chapter 324 (Statutes of 1998) Item 4440-103-0001(4), a Certificate of Compliance must be transmitted to OAL by 7-1-99 or emergency language will be repealed by operation of law on the following day.
4. Editorial correction of History 3 (Register 98, No. 39).
5. Editorial correction extending Certificate of Compliance date to 7-1-2001 pursuant to Chapter 50 (Statutes of 1999) Item 4440-103-0001(4) (Register 99, No. 33). Notwithstanding any other provision of law, emergency regulations adopted pursuant to Welfare and Institutions Code section 14680 to implement the second phase of mental health managed care as provided in this part shall remain in effect until permanent regulations are adopted, or June 30, 2006, whichever occurs first.
6. Editorial correction of History 5 (Register 2000, No. 42). 
7. Editorial correction of History 5 and repealer and new section filed 5-19-2006; operative 6-18-2006 (Register 2006, No. 20). 
§1810.246.3. Small County Reserve.
Note     •     History

“Small County Reserve” means that portion of the State General Fund appropriation for consolidation of psychiatric inpatient hospital services that is allocated for use by MHPs in small counties as self-insurance to provide a mechanism to reduce financial risk. 
NOTE

Authority cited: Section 14680, Welfare and Institutions Code. Reference: Section 5778, Welfare and Institutions Code.
HISTORY

1. New section filed 10-31-97 as an emergency; operative 11-1-97 (Register 97, No. 44). A Certificate of Compliance must be transmitted to OAL by 3-2-98 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 3-2-98 as an emergency; operative 3-2-98 (Register 98, No. 10). A Certificate of Compliance must be transmitted to OAL by 6-30-98 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 6-17-98 as an emergency; operative 6-30-98 (Register 98, No. 25). Pursuant to Chapter 324 (Statutes of 1998) Item 4440-103-0001(4), a Certificate of Compliance must be transmitted to OAL by 7-1-99 or emergency language will be repealed by operation of law on the following day.
4. Editorial correction of History 3 (Register 98, No. 39).
5. Editorial correction extending Certificate of Compliance date to 7-1-2001 pursuant to Chapter 50 (Statutes of 1999) Item 4440-103-0001(4) (Register 99, No. 33). Notwithstanding any other provision of law, emergency regulations adopted pursuant to Welfare and Institutions Code section 14680 to implement the second phase of mental health managed care as provided in this part shall remain in effect until permanent regulations are adopted, or June 30, 2006, whichever occurs first.
6. Editorial correction of History 5 (Register 2000, No. 42). 
7. Editorial correction of History 5 and repealer and new section filed 5-19-2006; operative 6-18-2006 (Register 2006, No. 20). 
§1810.247. Specialty Mental Health Services.
Note     •     History

“Specialty Mental Health Services” means: 
(a) Rehabilitative Mental Health Services, including: 
(1) Mental health services; 
(2) Medication support services; 
(3) Day treatment intensive; 
(4) Day rehabilitation; 
(5) Crisis intervention; 
(6) Crisis stabilization; 
(7) Adult residential treatment services; 
(8) Crisis residential treatment services; 
(9) Psychiatric health facility services; 
(b) Psychiatric Inpatient Hospital Services; 
(c) Targeted Case Management; 
(d) Psychiatrist Services; 
(e) Psychologist Services; 
(f) EPSDT Supplemental Specialty Mental Health Services; and 
(g) Psychiatric Nursing Facility Services. 
NOTE

Authority cited: Section 14680, Welfare and Institutions Code. Reference: Sections 5777, 14021.3, 14021.4, 14132 and 14684, Welfare and Institutions Code.
HISTORY

1. New section filed 10-31-97 as an emergency; operative 11-1-97 (Register 97, No. 44). A Certificate of Compliance must be transmitted to OAL by 3-2-98 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 3-2-98 as an emergency; operative 3-2-98 (Register 98, No. 10). A Certificate of Compliance must be transmitted to OAL by 6-30-98 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 6-17-98 as an emergency; operative 6-30-98 (Register 98, No. 25). Pursuant to Chapter 324 (Statutes of 1998) Item 4440-103-0001(4), a Certificate of Compliance must be transmitted to OAL by 7-1-99 or emergency language will be repealed by operation of law on the following day.
4. Editorial correction of History 3 (Register 98, No. 39).
5. Editorial correction extending Certificate of Compliance date to 7-1-2001 pursuant to Chapter 50 (Statutes of 1999) Item 4440-103-0001(4) (Register 99, No. 33). Notwithstanding any other provision of law, emergency regulations adopted pursuant to Welfare and Institutions Code section 14680 to implement the second phase of mental health managed care as provided in this part shall remain in effect until permanent regulations are adopted, or June 30, 2006, whichever occurs first.
6. Editorial correction of History 5 (Register 2000, No. 42). 
7. Editorial correction of History 5 and repealer and new section filed 5-19-2006; operative 6-18-2006 (Register 2006, No. 20). 
§1810.248. Submit or Date of Submission.
Note     •     History

“Submit” means to transmit a document by mail, fax, or hand delivery. The “date of submission” means the date the document was submitted as indicated by the postmark date, the fax date, or the date of hand delivery as shown by a date stamp made by the receiver. For documents submitted by mail, the postmark date shall be used as the date of submission. 
NOTE

Authority cited: Section 14680, Welfare and Institutions Code. Reference: Section 5775, Welfare and Institutions Code.
HISTORY

1. New section filed 10-31-97 as an emergency; operative 11-1-97 (Register 97, No. 44). A Certificate of Compliance must be transmitted to OAL by 3-2-98 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 3-2-98 as an emergency; operative 3-2-98 (Register 98, No. 10). A Certificate of Compliance must be transmitted to OAL by 6-30-98 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 6-17-98 as an emergency; operative 6-30-98 (Register 98, No. 25). Pursuant to Chapter 324 (Statutes of 1998) Item 4440-103-0001(4), a Certificate of Compliance must be transmitted to OAL by 7-1-99 or emergency language will be repealed by operation of law on the following day.
4. Editorial correction of History 3 (Register 98, No. 39).
5. Editorial correction extending Certificate of Compliance date to 7-1-2001 pursuant to Chapter 50 (Statutes of 1999) Item 4440-103-0001(4) (Register 99, No. 33). Notwithstanding any other provision of law, emergency regulations adopted pursuant to Welfare and Institutions Code section 14680 to implement the second phase of mental health managed care as provided in this part shall remain in effect until permanent regulations are adopted, or June 30, 2006, whichever occurs first.
6. Editorial correction of History 5 (Register 2000, No. 42). 
7. Editorial correction of History 5 and repealer and new section filed 5-19-2006; operative 6-18-2006 (Register 2006, No. 20). 
§1810.249. Targeted Case Management.
Note     •     History

“Targeted Case Management” means services that assist a beneficiary to access needed medical, educational, social, prevocational, vocational, rehabilitative, or other community services. The service activities may include, but are not limited to, communication, coordination, and referral; monitoring service delivery to ensure beneficiary access to service and the service delivery system; monitoring of the beneficiary's progress; placement services; and plan development. 
NOTE

Authority cited: Section 14680, Welfare and Institutions Code. Reference: Sections 5777, 14021.3 and 14684, Welfare and Institutions Code.
HISTORY

1. New section filed 10-31-97 as an emergency; operative 11-1-97 (Register 97, No. 44). A Certificate of Compliance must be transmitted to OAL by 3-2-98 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 3-2-98 as an emergency; operative 3-2-98 (Register 98, No. 10). A Certificate of Compliance must be transmitted to OAL by 6-30-98 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 6-17-98 as an emergency; operative 6-30-98 (Register 98, No. 25). Pursuant to Chapter 324 (Statutes of 1998) Item 4440-103-0001(4), a Certificate of Compliance must be transmitted to OAL by 7-1-99 or emergency language will be repealed by operation of law on the following day.
4. Editorial correction of History 3 (Register 98, No. 39).
5. Editorial correction extending Certificate of Compliance date to 7-1-2001 pursuant to Chapter 50 (Statutes of 1999) Item 4440-103-0001(4) (Register 99, No. 33). Notwithstanding any other provision of law, emergency regulations adopted pursuant to Welfare and Institutions Code section 14680 to implement the second phase of mental health managed care as provided in this part shall remain in effect until permanent regulations are adopted, or June 30, 2006, whichever occurs first.
6. Editorial correction of History 5 (Register 2000, No. 42). 
7. Editorial correction of History 5 and repealer and new section filed 5-19-2006; operative 6-18-2006 (Register 2006, No. 20). 
§1810.250. Therapy.
Note     •     History

“Therapy” means a service activity that is a therapeutic intervention that focuses primarily on symptom reduction as a means to improve functional impairments. Therapy may be delivered to an individual or group of beneficiaries and may include family therapy at which the beneficiary is present. 
NOTE

Authority cited: Section 14680, Welfare and Institutions Code. Reference: Sections 5777, 14021.4 and 14684, Welfare and Institutions Code.
HISTORY

1. New section filed 10-31-97 as an emergency; operative 11-1-97 (Register 97, No. 44). A Certificate of Compliance must be transmitted to OAL by 3-2-98 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 3-2-98 as an emergency; operative 3-2-98 (Register 98, No. 10). A Certificate of Compliance must be transmitted to OAL by 6-30-98 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 6-17-98 as an emergency; operative 6-30-98 (Register 98, No. 25). Pursuant to Chapter 324 (Statutes of 1998) Item 4440-103-0001(4), a Certificate of Compliance must be transmitted to OAL by 7-1-99 or emergency language will be repealed by operation of law on the following day.
4. Editorial correction of History 3 (Register 98, No. 39).
5. Editorial correction extending Certificate of Compliance date to 7-1-2001 pursuant to Chapter 50 (Statutes of 1999) Item 4440-103-0001(4) (Register 99, No. 33). Notwithstanding any other provision of law, emergency regulations adopted pursuant to Welfare and Institutions Code section 14680 to implement the second phase of mental health managed care as provided in this part shall remain in effect until permanent regulations are adopted, or June 30, 2006, whichever occurs first.
6. Editorial correction of History 5 (Register 2000, No. 42). 
7. Editorial correction of History 5 and repealer and new section filed 5-19-2006; operative 6-18-2006 (Register 2006, No. 20). 
§1810.251. Third Party Liability.
Note     •     History

“Third Party Liability” means an amount owed for specialty mental health services on behalf of a beneficiary by any payer other than the MHP, the Medi-Cal program or the beneficiary. 
NOTE

Authority cited: Section 14680, Welfare and Institutions Code. Reference: Sections 5777, 5778 and 14684, Welfare and Institutions Code.
HISTORY

1. New section filed 10-31-97 as an emergency; operative 11-1-97 (Register 97, No. 44). A Certificate of Compliance must be transmitted to OAL by 3-2-98 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 3-2-98 as an emergency; operative 3-2-98 (Register 98, No. 10). A Certificate of Compliance must be transmitted to OAL by 6-30-98 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 6-17-98 as an emergency; operative 6-30-98 (Register 98, No. 25). Pursuant to Chapter 324 (Statutes of 1998) Item 4440-103-0001(4), a Certificate of Compliance must be transmitted to OAL by 7-1-99 or emergency language will be repealed by operation of law on the following day.
4. Editorial correction of History 3 (Register 98, No. 39).
5. Editorial correction extending Certificate of Compliance date to 7-1-2001 pursuant to Chapter 50 (Statutes of 1999) Item 4440-103-0001(4) (Register 99, No. 33). Notwithstanding any other provision of law, emergency regulations adopted pursuant to Welfare and Institutions Code section 14680 to implement the second phase of mental health managed care as provided in this part shall remain in effect until permanent regulations are adopted, or June 30, 2006, whichever occurs first.
6. Editorial correction of History 5 (Register 2000, No. 42). 
7. Editorial correction of History 5 and repealer and new section filed 5-19-2006; operative 6-18-2006 (Register 2006, No. 20). 
§1810.252. Traditional Hospital.
Note     •     History

“Traditional Hospital” means a Fee-for-Service/Medi-Cal hospital that, according to historical Medi-Cal payment data collected by the State Department of Health Services for the most recent fiscal year, provides services to beneficiaries of an MHP that account for five percent or twenty thousand dollars, whichever is more, of the total fiscal year Medi-Cal psychiatric inpatient hospital service payments made to Fee-for-Service/Medi-Cal hospitals for beneficiaries of an MHP. 
NOTE

Authority cited: Section 14680, Welfare and Institutions Code. Reference: Sections 5777, 5778 and 14684, Welfare and Institutions Code.
HISTORY

1. New section filed 10-31-97 as an emergency; operative 11-1-97 (Register 97, No. 44). A Certificate of Compliance must be transmitted to OAL by 3-2-98 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 3-2-98 as an emergency; operative 3-2-98 (Register 98, No. 10). A Certificate of Compliance must be transmitted to OAL by 6-30-98 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 6-17-98 as an emergency; operative 6-30-98 (Register 98, No. 25). Pursuant to Chapter 324 (Statutes of 1998) Item 4440-103-0001(4), a Certificate of Compliance must be transmitted to OAL by 7-1-99 or emergency language will be repealed by operation of law on the following day.
4. Editorial correction of History 3 (Register 98, No. 39).
5. Editorial correction extending Certificate of Compliance date to 7-1-2001 pursuant to Chapter 50 (Statutes of 1999) Item 4440-103-0001(4) (Register 99, No. 33). Notwithstanding any other provision of law, emergency regulations adopted pursuant to Welfare and Institutions Code section 14680 to implement the second phase of mental health managed care as provided in this part shall remain in effect until permanent regulations are adopted, or June 30, 2006, whichever occurs first.
6. Editorial correction of History 5 (Register 2000, No. 42). 
7. Editorial correction of History 5 and repealer and new section filed 5-19-2006; operative 6-18-2006 (Register 2006, No. 20). 
§1810.253. Urgent Condition.
Note     •     History

“Urgent Condition” means a situation experienced by a beneficiary that, without timely intervention, is highly likely to result in an immediate emergency psychiatric condition. 
NOTE

Authority cited: Section 14680, Welfare and Institutions Code. Reference: Sections 5777 and 14684, Welfare and Institutions Code.
HISTORY

1. New section filed 10-31-97 as an emergency; operative 11-1-97 (Register 97, No. 44). A Certificate of Compliance must be transmitted to OAL by 3-2-98 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 3-2-98 as an emergency; operative 3-2-98 (Register 98, No. 10). A Certificate of Compliance must be transmitted to OAL by 6-30-98 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 6-17-98 as an emergency; operative 6-30-98 (Register 98, No. 25). Pursuant to Chapter 324 (Statutes of 1998) Item 4440-103-0001(4), a Certificate of Compliance must be transmitted to OAL by 7-1-99 or emergency language will be repealed by operation of law on the following day.
4. Editorial correction of History 3 (Register 98, No. 39).
5. Editorial correction extending Certificate of Compliance date to 7-1-2001 pursuant to Chapter 50 (Statutes of 1999) Item 4440-103-0001(4) (Register 99, No. 33). Notwithstanding any other provision of law, emergency regulations adopted pursuant to Welfare and Institutions Code section 14680 to implement the second phase of mental health managed care as provided in this part shall remain in effect until permanent regulations are adopted, or June 30, 2006, whichever occurs first.
6. Editorial correction of History 5 (Register 2000, No. 42). 
7. Editorial correction of History 5 and repealer and new section filed 5-19-2006; operative 6-18-2006 (Register 2006, No. 20). 
§1810.253.1. Usual and Customary Charges.
Note     •     History

“Usual and Customary Charges” means those uniform charges that are listed in a provider's established charge schedule which are in effect and applied consistently to most patients. 
NOTE

Authority cited: Section 14680, Welfare and Institutions Code. Reference: Section 5778, Welfare and Institutions Code.
HISTORY

1. New section filed 10-31-97 as an emergency; operative 11-1-97 (Register 97, No. 44). A Certificate of Compliance must be transmitted to OAL by 3-2-98 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 3-2-98 as an emergency; operative 3-2-98 (Register 98, No. 10). A Certificate of Compliance must be transmitted to OAL by 6-30-98 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 6-17-98 as an emergency; operative 6-30-98 (Register 98, No. 25). Pursuant to Chapter 324 (Statutes of 1998) Item 4440-103-0001(4), a Certificate of Compliance must be transmitted to OAL by 7-1-99 or emergency language will be repealed by operation of law on the following day.
4. Editorial correction of History 3 (Register 98, No. 39).
5. Editorial correction extending Certificate of Compliance date to 7-1-2001 pursuant to Chapter 50 (Statutes of 1999) Item 4440-103-0001(4) (Register 99, No. 33). Notwithstanding any other provision of law, emergency regulations adopted pursuant to Welfare and Institutions Code section 14680 to implement the second phase of mental health managed care as provided in this part shall remain in effect until permanent regulations are adopted, or June 30, 2006, whichever occurs first.
6. Editorial correction of History 5 (Register 2000, No. 42). 
7. Editorial correction of History 5 and repealer and new section filed 5-19-2006; operative 6-18-2006 (Register 2006, No. 20). 
§1810.254. Waivered/Registered Professional.
Note     •     History

“Waivered/Registered Professional” means an individual who has a waiver of psychologist licensure issued by the Department or has registered with the corresponding state licensing authority for psychologists, marriage and family therapists or clinical social workers to obtain supervised clinical hours for psychologist, marriage and family therapist or clinical social worker licensure. 
NOTE

Authority cited: Section 14680, Welfare and Institutions Code. Reference: Sections 5777 and 14684, Welfare and Institutions Code.
HISTORY

1. New section filed 10-31-97 as an emergency; operative 11-1-97 (Register 97, No. 44). A Certificate of Compliance must be transmitted to OAL by 3-2-98 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 3-2-98 as an emergency; operative 3-2-98 (Register 98, No. 10). A Certificate of Compliance must be transmitted to OAL by 6-30-98 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 6-17-98 as an emergency; operative 6-30-98 (Register 98, No. 25). Pursuant to Chapter 324 (Statutes of 1998) Item 4440-103-0001(4), a Certificate of Compliance must be transmitted to OAL by 7-1-99 or emergency language will be repealed by operation of law on the following day.
4. Editorial correction of History 3 (Register 98, No. 39).
5. Editorial correction extending Certificate of Compliance date to 7-1-2001 pursuant to Chapter 50 (Statutes of 1999) Item 4440-103-0001(4) (Register 99, No. 33). Notwithstanding any other provision of law, emergency regulations adopted pursuant to Welfare and Institutions Code section 14680 to implement the second phase of mental health managed care as provided in this part shall remain in effect until permanent regulations are adopted, or June 30, 2006, whichever occurs first.
6. Editorial correction of History 5 (Register 2000, No. 42). 
7. Editorial correction of History 5 and repealer and new section filed 5-19-2006; operative 6-18-2006 (Register 2006, No. 20). 
Article 3. Administration
§1810.305. Designation of MHPs.
Note     •     History

(a) A county that wishes to be designated by the Department as the MHP for the beneficiaries of that county shall communicate its intent in a resolution from the county board of supervisors, which shall be transmitted, to the Department. The resolution shall state that: 
(1) The county is willing to assume responsibility for Medi-Cal authorization and payment for all covered specialty mental health services for beneficiaries of that MHP and assures that access to services through the MHP will be no less than access provided to beneficiaries prior to operation of the MHP. 
(2) The county recognizes and agrees that the allocation of State funds pursuant to Section 5778 of the Welfare and Institutions Code, will be the full payment from the State for the services specified in Subsection (a)(1), except as specifically provided in this Chapter or in the contract between the county and the Department under this Chapter. 
(3) The county will utilize a public planning process that involves various constituency groups, including, but not limited to beneficiaries, providers, and beneficiaries' significant support persons as self identified, to assist in formulating policies and procedures for the operation of the MHP insofar as these policies and procedures are not specifically prescribed in law and regulation. 
(4) The county will submit to the Department an Implementation Plan pursuant to Section 1810.310. 
(b) The Department may designate other qualifying entities including another county, other counties acting jointly, or other governmental and non-governmental entities, to be the MHP pursuant to Section 5775 of the Welfare and Institutions Code under any of the following conditions: 
(1) A county declines to be the MHP for the beneficiaries of that county. 
(2) The county or the Department terminates or fails to renew the contract between the Department and a county originally designated to be the MHP. 
(3) The county fails to utilize a public planning process pursuant to Subsection (a)(3). 
(4) The county fails to submit an Implementation Plan to the Department pursuant to Section 1810.310. 
(5) The Implementation Plan submitted by the county pursuant to Section 1810.310 is disapproved by the Department. 
(c) The entity selected under Subsection (b) shall meet the same duties and obligations required of a county in Subsections (a)(1)-(4). 
(d) The Department may designate an entity to be an MHP pursuant to Subsection (b) through a competitive procurement process. If the Department elects to do so, the Department may integrate the requirements of Subsections (a)(1)-(4) and the requirements of Section 1810.310 into the procurement process. 
NOTE

Authority cited: Section 14680, Welfare and Institutions Code. Reference: Sections 5775, 5777, 5778 and 14684, Welfare and Institutions Code.
HISTORY

1. New article 3 (sections 1810.305-1810.385) and section filed 10-31-97 as an emergency; operative 11-1-97 (Register 97, No. 44). A Certificate of Compliance must be transmitted to OAL by 3-2-98 or emergency language will be repealed by operation of law on the following day.
2. New article 3 (sections 1810.305-1810.385) and section refiled 3-2-98 as an emergency; operative 3-2-98 (Register 98, No. 10). A Certificate of Compliance must be transmitted to OAL by 6-30-98 or emergency language will be repealed by operation of law on the following day.
3. New article 3 (sections 1810.305-1810.385) and section refiled 6-17-98 as an emergency; operative 6-30-98 (Register 98, No. 25). Pursuant to Chapter 324 (Statutes of 1998) Item 4440-103-0001(4), a Certificate of Compliance must be transmitted to OAL by 7-1-99 or emergency language will be repealed by operation of law on the following day.
4. Editorial correction of History 3 (Register 98, No. 39).
5. Editorial correction extending Certificate of Compliance date to 7-1-2001 pursuant to Chapter 50 (Statutes of 1999) Item 4440-103-0001(4) (Register 99, No. 33). Notwithstanding any other provision of law, emergency regulations adopted pursuant to Welfare and Institutions Code section 14680 to implement the second phase of mental health managed care as provided in this part shall remain in effect until permanent regulations are adopted, or June 30, 2006, whichever occurs first.
6. Editorial correction of History 5 (Register 2000, No. 42). 
7. Editorial correction of History 5 and repealer and new section filed 5-19-2006; operative 6-18-2006 (Register 2006, No. 20). 
§1810.310. Implementation Plan.
Note     •     History

(a) An entity designated to be an MHP shall submit an Implementation Plan to the Department, within the time frame established by the Department. The time frame shall be no more than 180 days and no less than 90 calendar days prior to the date on which the entity proposes to begin operations. The Implementation Plan shall include: 
(1) Procedures for MHP payment authorization of specialty mental health services by the MHP, including a description of the point of authorization. 
(2) A description of the process for: 
(A) Screening, referral and coordination with other necessary services, including, but not limited to, substance abuse, educational, health, housing and vocational rehabilitation services. 
(B) Outreach efforts for the purpose of providing information to beneficiaries and providers regarding access under the MHP. 
(C) Assuring continuity of care for beneficiaries receiving specialty mental health services prior to the date the entity begins operation as the MHP. 
(D) Providing clinical consultation and training to beneficiaries' primary care physicians and other physical health care providers. 
(3) A description of the processes for problem resolution as required in Subchapter 5. 
(4) A description of the provider selection process, including provider selection criteria consistent with Sections 1810.425 and 1810.435. The entity designated to be the MHP shall include a Request for Exemption from Contracting in accordance with Section 1810.430(c) if the entity decides not to contract with a Traditional Hospital or DSH. 
(5) Documentation that demonstrates that the entity: 
(A) Offers an appropriate range of specialty mental health services that is adequate for the anticipated number of beneficiaries that will be served by the MHP, and 
(B) Maintains a network of providers that is sufficient in number, mix, and geographic distribution to meet the needs of the anticipated number of beneficiaries that will be served by the MHP. 
(6) A description of how the MHP will deliver age-appropriate services to beneficiaries. 
(7) The proposed Cultural Competence Plan as described in Section 1810.410, unless the Department has determined that the Cultural Competence Plan will be submitted in accordance with the terms of the contract between the MHP and the Department pursuant to Section 1810.410(c). 
(8) A description of a process for planned admissions in non-contract hospitals if such an admission is determined to be necessary by the MHP. 
(9) A description of the MHP's Quality Improvement and Utilization Management Programs. 
(10) A description of policies and procedures that assure beneficiary confidentiality in compliance with State and federal laws and regulations governing the confidentiality of personal or medical information, including mental health information, relating to beneficiaries. 
(11) Other policies and procedures identified by the Department as relevant to determining readiness to provide specialty mental health services to beneficiaries as described in this Chapter. 
(b) The Department shall review and either approve, disapprove, or request additional information for each Implementation Plan. Notices of Approval, Notices of Disapproval and requests for additional information shall be forwarded to applicant MHP entities within 60 calendar days of the receipt of the Implementation Plan. 
(c) An MHP shall submit proposed changes to its approved Implementation Plan in writing to the Department for review. 
(1) An MHP shall submit proposed changes in the policies, processes or procedures that would modify the MHP's current Implementation Plan prior to implementing the proposed changes. 
(2) An MHP shall submit documentation establishing its continued capacity to meet the Implementation Plan requirements of Subsection (a)(5) whenever there is a change in the MHP's operation that would require a change in services or providers by 25 percent or more of the beneficiaries who are receiving services from the MHP or a reduction of an average of 25 percent or more in provider rates for providers of outpatient mental health services that paid on a fee-for-service basis. 
(3) If the changes are consistent with this Chapter, the changes shall be approved by the Department. 
(4) The Department shall provide a Notice of Approval or a Notice of Disapproval, including the reasons for disapproval, to the MHP within 30 calendar days after the receipt of the notice from the MHP. 
(5) The MHP may implement the proposed changes 30 calendar days from submission to the Department if the Department fails to provide a Notice of Approval or Disapproval. 
NOTE

Authority cited: Section 14680, Welfare and Institutions Code. Reference: Sections 5775, 5777, 5778, 14683 and 14684, Welfare and Institutions Code; and Title 42, Code of Federal Regulations, Section 438.207. 
HISTORY

1. New section filed 10-31-97 as an emergency; operative 11-1-97 (Register 97, No. 44). A Certificate of Compliance must be transmitted to OAL by 3-2-98 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 3-2-98 as an emergency; operative 3-2-98 (Register 98, No. 10). A Certificate of Compliance must be transmitted to OAL by 6-30-98 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 6-17-98 as an emergency; operative 6-30-98 (Register 98, No. 25). Pursuant to Chapter 324 (Statutes of 1998) Item 4440-103-0001(4), a Certificate of Compliance must be transmitted to OAL by 7-1-99 or emergency language will be repealed by operation of law on the following day.
4. Editorial correction of History 3 (Register 98, No. 39).
5. Editorial correction extending Certificate of Compliance date to 7-1-2001 pursuant to Chapter 50 (Statutes of 1999) Item 4440-103-0001(4) (Register 99, No. 33). Notwithstanding any other provision of law, emergency regulations adopted pursuant to Welfare and Institutions Code section 14680 to implement the second phase of mental health managed care as provided in this part shall remain in effect until permanent regulations are adopted, or June 30, 2006, whichever occurs first.
6. Editorial correction of History 5 (Register 2000, No. 42). 
7. Editorial correction of History 5 and repealer and new section filed 5-19-2006; operative 6-18-2006 (Register 2006, No. 20). 
§1810.315. Contracts Between the Department and the MHP.
Note     •     History

Upon approval of an Implementation Plan pursuant to Section 1810.310, the entity designated pursuant to Section 1810.305 shall enter into a contract with the Department. There is no obligation to pay by the Department absent an executed contract with the MHP, incorporating these regulations as terms of the contract. 
NOTE

Authority cited: Section 14680, Welfare and Institutions Code. Reference: Sections 5775, 5777 and 5778, Welfare and Institutions Code.
HISTORY

1. New section filed 10-31-97 as an emergency; operative 11-1-97 (Register 97, No. 44). A Certificate of Compliance must be transmitted to OAL by 3-2-98 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 3-2-98 as an emergency; operative 3-2-98 (Register 98, No. 10). A Certificate of Compliance must be transmitted to OAL by 6-30-98 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 6-17-98 as an emergency; operative 6-30-98 (Register 98, No. 25). Pursuant to Chapter 324 (Statutes of 1998) Item 4440-103-0001(4), a Certificate of Compliance must be transmitted to OAL by 7-1-99 or emergency language will be repealed by operation of law on the following day.
4. Editorial correction of History 3 (Register 98, No. 39).
5. Editorial correction extending Certificate of Compliance date to 7-1-2001 pursuant to Chapter 50 (Statutes of 1999) Item 4440-103-0001(4) (Register 99, No. 33). Notwithstanding any other provision of law, emergency regulations adopted pursuant to Welfare and Institutions Code section 14680 to implement the second phase of mental health managed care as provided in this part shall remain in effect until permanent regulations are adopted, or June 30, 2006, whichever occurs first.
6. Editorial correction of History 5 (Register 2000, No. 42). 
7. Editorial correction of History 5 and repealer and new section filed 5-19-2006; operative 6-18-2006 (Register 2006, No. 20). 
§1810.317. Contract Term.
Note     •     History

(a) The term of the contract between an MHP and the Department shall be for a term agreed to by the parties. Regardless of the effective date of the contract, the expiration date of the contract shall be June 30, the end of the State fiscal year. 
(b) Prior to the expiration of this contract and upon request by the Department, the MHP shall assist the State in the orderly transfer of beneficiaries' mental health care. In doing this, the MHP shall make available to the Department copies of medical records, patient files, and any other pertinent information, including information maintained by any subcontractor, necessary for efficient case management of beneficiaries, as determined by the Department. Costs of reproduction shall be borne by the Department. In no circumstances shall a beneficiary be billed for this service.
NOTE

Authority cited: Section 14680, Welfare and Institutions Code. Reference: Sections 5775, 5777 and 5778, Welfare and Institutions Code. 
HISTORY

1. New section filed 5-19-2006; operative 6-18-2006 (Register 2006, No. 20). 
2. Designation of existing section as subsection (a) and new subsection (b) filed 10-18-2010; operative 11-17-2010 (Register 2010, No. 43).
§1810.319. Contract Amendment.
Note     •     History

The contract may be amended by mutual written agreement of the MHP and the Department. 
NOTE

Authority cited: Section 14680, Welfare and Institutions Code. Reference: Sections 5775, 5777 and 5778, Welfare and Institutions Code. 
HISTORY

1. New section filed 5-19-2006; operative 6-18-2006 (Register 2006, No. 20). 
§1810.320. Contract Renewal. [Repealed]
Note     •     History

NOTE

Authority cited: Section 14680, Welfare and Institutions Code. Reference: Sections 5775, 5777 and 5778, Welfare and Institutions Code.
HISTORY

1. New section filed 10-31-97 as an emergency; operative 11-1-97 (Register 97, No. 44). A Certificate of Compliance must be transmitted to OAL by 3-2-98 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 3-2-98 as an emergency; operative 3-2-98 (Register 98, No. 10). A Certificate of Compliance must be transmitted to OAL by 6-30-98 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 6-17-98 as an emergency; operative 6-30-98 (Register 98, No. 25). Pursuant to Chapter 324 (Statutes of 1998) Item 4440-103-0001(4), a Certificate of Compliance must be transmitted to OAL by 7-1-99 or emergency language will be repealed by operation of law on the following day.
4. Editorial correction of History 3 (Register 98, No. 39).
5. Editorial correction extending Certificate of Compliance date to 7-1-2001 pursuant to Chapter 50 (Statutes of 1999) Item 4440-103-0001(4) (Register 99, No. 33). Notwithstanding any other provision of law, emergency regulations adopted pursuant to Welfare and Institutions Code section 14680 to implement the second phase of mental health managed care as provided in this part shall remain in effect until permanent regulations are adopted, or June 30, 2006, whichever occurs first.
6. Editorial correction of History 5 (Register 2000, No. 42). 
7. Editorial correction of History 5 and repealer filed 5-19-2006; operative 6-18-2006 (Register 2006, No. 20). 
§1810.321. Contract Renewal.
Note     •     History

(a) The Department may, in its sole discretion renew an MHP contract. 
(b) If the MHP chooses non-renewal of the contract, then the MHP shall give the Department at least 180 calendar days prior notice of non-renewal. 
(c) If the Department chooses non-renewal of the contract, the Department shall give the MHP at least 180 calendar days prior notice of non-renewal, unless the Department determines that the MHP has not complied with the requirements of law or regulation or terms of the contract, in which case the Department must give at least 90 days prior notice of non-renewal. 
(d) Prior to the nonrenewal of this contract and upon request by the Department, the MHP shall assist the State in the orderly transfer of beneficiaries' mental health care. In doing this, the MHP shall make available to the Department copies of medical records, patient files, and any other pertinent information, including information maintained by any subcontractor, necessary for efficient case management of beneficiaries, as determined by the Department. Costs of reproduction shall be borne by the Department. In no circumstance shall a beneficiary be billed for this service.
NOTE

Authority cited: Section 14680, Welfare and Institutions Code. Reference: Sections 5775, 5777 and 5778, Welfare and Institutions Code. 
HISTORY

1. New section filed 5-19-2006; operative 6-18-2006 (Register 2006, No. 20). 
2. New subsection (d) filed 10-18-2010; operative 11-17-2010 (Register 2010, No. 43).
§1810.323. Contract Termination.
Note     •     History

(a) The MHP may terminate its contract with the Department in accordance with the terms of its contract with the Department by delivering written notice of termination to the Department at least 180 calendar days prior to the effective date of termination. 
(b) The Department shall immediately terminate its contract with an MHP if the Department finds that there is an immediate and significant threat to the health and safety of Medi-Cal beneficiaries as a result of action or inaction by the MHP. 
(c) The Department shall terminate its contract with an MHP that the Secretary, Health and Human Services has determined does not meet the requirements for participation in the Medicaid program as provided in Title XIX of the Social Security Act. The Department shall deliver written notice of termination to the MHP at least 60 calendar days prior to the effective date of termination. 
(d) The Department may terminate the MHP contract for noncompliance with the requirements of law or regulations or terms of the contract. The Department shall deliver written notice of termination to the MHP at least 90 calendar days prior to the effective date of termination. 
(e) The Department may terminate its contract with an MHP for any reason not specified in Subsections (b), (c), or (d) by delivering written notice of termination to the MHP at least 180 calendar days prior to the effective date of termination. 
(f) The Department may terminate its contract with an MHP if the Department determines that the contract is no longer in the best interests of the State. 
(g) The written notice of termination shall be provided to the MHP and to other persons and organizations as the Department may deem necessary. 
(h) The written notice of termination shall include the reason for the termination and the effective date of termination. 
(i) In the event that the contract with an MHP is terminated for any cause, the remaining balance of State funds that were transferred to the MHP for specialty mental health services pursuant to Section 1810.330 shall be returned to the Department on a timeline specified by the Department in the notice of termination. The Department has a right to examine all records of an MHP to determine the balance of funds to be returned to the Department. 
(j) Prior to the termination of this contact and upon request by the Department, the MHP shall assist the State in the orderly transfer of beneficiaries' mental health care. In doing this, the MHP shall make available to the Department copies of medical records, patient files, and any other pertinent information, including information maintained by any subcontractor, necessary for efficient case management of beneficiaries, as determined by the Department. Costs of reproduction shall be borne by the Department. In no circumstance shall a beneficiary be billed for this service.
NOTE

Authority cited: Section 14680, Welfare and Institutions Code. Reference: Sections 5775, 5776, 5777, 5778 and 5780, Welfare and Institutions Code. 
HISTORY

1. New section filed 5-19-2006; operative 6-18-2006 (Register 2006, No. 20). 
2. New subsection (j) filed 10-18-2010; operative 11-17-2010 (Register 2010, No. 43).
§1810.325. Appeal of Contract Termination.
Note     •     History

(a) The MHP may appeal, in writing, a contract termination to the Department within 15 working days after the date of receipt of the notice of termination, setting forth relevant facts and arguments. The Department shall grant or deny the appeal within 30 calendar days after receipt of the appeal. In granting an appeal, the Department may take another action available under Section 1810.380(b). The Department's election to take another action shall not be appealed to the Department. Except for terminations pursuant to Section 1810.323(b), the Department shall suspend the termination date until the Department has acted on the MHP's appeal. 
(b) The MHP may request that a public hearing be held by the Office of Administrative Hearings to allow the Department to show cause for the termination. The public hearing shall be held no later than 30 calendar days after receipt by the MHP of the notice to terminate the contract. In order to give the Office of Administrative Hearings sufficient time to arrange for a hearing, the MHP request for a hearing shall be submitted no later than five working days after receipt of the notice to terminate, by making its request to the Office of Administrative Hearings directly. The MHP shall have no right to a hearing before the Office of Administrative Hearings, unless the request has been submitted no later than five working days after receipt of the notice to terminate. 
(c) The Office of Administrative Hearings shall provide written recommendations concerning the termination of the contract to the Department and to the MHP within 30 calendar days after conclusion of the hearing. The Department shall act to grant or deny the appeal within 30 calendar days after receipt of the recommendations of the Office of Administrative Hearings. In granting an appeal, the Department may take another action available under Section 1810.380(b). The Department's election to take another action shall not be appealable to the Department or to the Office of Administrative Hearings. Except for terminations pursuant to Section 1810.323(b), the Department shall suspend the termination date until the Department has acted on the MHP's appeal. 
NOTE

Authority cited: Section 14680, Welfare and Institutions Code. Reference: Sections 5775, 5776, 5777, 5778 and 5780, Welfare and Institutions Code.
HISTORY

1. New section filed 10-31-97 as an emergency; operative 11-1-97 (Register 97, No. 44). A Certificate of Compliance must be transmitted to OAL by 3-2-98 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 3-2-98 as an emergency; operative 3-2-98 (Register 98, No. 10). A Certificate of Compliance must be transmitted to OAL by 6-30-98 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 6-17-98 as an emergency; operative 6-30-98 (Register 98, No. 25). Pursuant to Chapter 324 (Statutes of 1998) Item 4440-103-0001(4), a Certificate of Compliance must be transmitted to OAL by 7-1-99 or emergency language will be repealed by operation of law on the following day.
4. Editorial correction of History 3 (Register 98, No. 39).
5. Editorial correction extending Certificate of Compliance date to 7-1-2001 pursuant to Chapter 50 (Statutes of 1999) Item 4440-103-0001(4) (Register 99, No. 33). Notwithstanding any other provision of law, emergency regulations adopted pursuant to Welfare and Institutions Code section 14680 to implement the second phase of mental health managed care as provided in this part shall remain in effect until permanent regulations are adopted, or June 30, 2006, whichever occurs first.
6. Editorial correction of History 5 (Register 2000, No. 42). 
7. Editorial correction of History 5 and repealer and new section filed 5-19-2006; operative 6-18-2006 (Register 2006, No. 20). 
§1810.326. Practice Guidelines.
Note     •     History

The MHP shall comply with title 42 Code of Federal Regulations (CFR) section 438.236. This regulation implements, interprets and makes specific state statute sections 5777, 5778 and 14684, Welfare and Institutions Code.
NOTE

Authority cited: Section 14684, Welfare and Institutions Code. Reference: Title 42 Code of Federal Regulations, Section 438.236.
HISTORY

1. New section filed 10-18-2010; operative 11-17-2010 (Register 2010, No. 43).
§1810.330. Allocation of State Funds to MHPs.
Note     •     History

In consultation with a statewide organization representing counties, the Department shall determine the methodology for allocating state funds to the MHPs annually. The methodology shall include a determination of the level for the Small County Reserve allocation as provided in Section 5778(j)(2)(A) and (k) of the Welfare and Institutions Code. The allocation shall include state funds for specialty mental health services covered by the MHP pursuant to Section 1810.345 that are not eligible for federal financial participation pursuant to Subchapter 4, subject to the appropriation of such funds by the legislature. State funds based on the allocation process shall be provided to each MHP annually in accordance with the terms of its contract with the Department and to the Small County Reserve as provided in Section 5778(j)(2)(A) and (k) of the Welfare and Institutions Code. 
NOTE

Authority cited: Section 14680, Welfare and Institutions Code. Reference: Sections 5777 and 5778, Welfare and Institutions Code.
HISTORY

1. New section filed 10-31-97 as an emergency; operative 11-1-97 (Register 97, No. 44). A Certificate of Compliance must be transmitted to OAL by 3-2-98 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 3-2-98 as an emergency; operative 3-2-98 (Register 98, No. 10). A Certificate of Compliance must be transmitted to OAL by 6-30-98 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 6-17-98 as an emergency; operative 6-30-98 (Register 98, No. 25). Pursuant to Chapter 324 (Statutes of 1998) Item 4440-103-0001(4), a Certificate of Compliance must be transmitted to OAL by 7-1-99 or emergency language will be repealed by operation of law on the following day.
4. Editorial correction of History 3 (Register 98, No. 39).
5. Editorial correction extending Certificate of Compliance date to 7-1-2001 pursuant to Chapter 50 (Statutes of 1999) Item 4440-103-0001(4) (Register 99, No. 33). Notwithstanding any other provision of law, emergency regulations adopted pursuant to Welfare and Institutions Code section 14680 to implement the second phase of mental health managed care as provided in this part shall remain in effect until permanent regulations are adopted, or June 30, 2006, whichever occurs first.
6. Editorial correction of History 5 (Register 2000, No. 42). 
7. Editorial correction of History 5 and repealer and new section filed 5-19-2006; operative 6-18-2006 (Register 2006, No. 20). 
§1810.335. Renegotiation of the Allocation of State Funds to an MHP.
Note     •     History

Either the Department or an MHP may request renegotiation of the amount of state funds paid to the MHP for the fiscal year, if it determines that there have been changes in the obligations of the MHP as a result of changes in federal or state law or regulation or the interpretation or implementation of federal or state law or regulation that increases or decreases the cost of providing services under the contract between the Department and the MHP after the annual allocation of state funds has been determined in accordance with Section 1810.330. Any change in the amount of state funds to be paid to the MHP agreed to by the parties shall be effected as an amendment to the contract between the Department and the MHP and shall be effective as of the date the obligations changed or a date agreed to by the parties, whichever is later. Any changes in state funding shall be subject to appropriation by the legislature. 
NOTE

Authority cited: Section 14680, Welfare and Institutions Code. Reference: Sections 5777 and 5778, Welfare and Institutions Code.
HISTORY

1. New section filed 10-31-97 as an emergency; operative 11-1-97 (Register 97, No. 44). A Certificate of Compliance must be transmitted to OAL by 3-2-98 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 3-2-98 as an emergency; operative 3-2-98 (Register 98, No. 10). A Certificate of Compliance must be transmitted to OAL by 6-30-98 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 6-17-98 as an emergency; operative 6-30-98 (Register 98, No. 25). Pursuant to Chapter 324 (Statutes of 1998) Item 4440-103-0001(4), a Certificate of Compliance must be transmitted to OAL by 7-1-99 or emergency language will be repealed by operation of law on the following day.
4. Editorial correction of History 3 (Register 98, No. 39).
5. Editorial correction extending Certificate of Compliance date to 7-1-2001 pursuant to Chapter 50 (Statutes of 1999) Item 4440-103-0001(4) (Register 99, No. 33). Notwithstanding any other provision of law, emergency regulations adopted pursuant to Welfare and Institutions Code section 14680 to implement the second phase of mental health managed care as provided in this part shall remain in effect until permanent regulations are adopted, or June 30, 2006, whichever occurs first.
6. Editorial correction of History 5 (Register 2000, No. 42). 
7. Editorial correction of History 5 and repealer and new section filed 5-19-2006; operative 6-18-2006 (Register 2006, No. 20). 
§1810.341. Small County Reserve Allocation.
Note     •     History

(a) MHPs in small counties shall establish the Small County Reserve with funds allocated by the Department pursuant to Section 1810.330. 
(b) The Small County Reserve may only be used for: 
(1) Reimbursement of MHPs in small counties for the cost of psychiatric inpatient hospital services in excess of their allocation. 
(2) Purchase of risk reinsurance for MHPs in small counties. 
(3) Alternatives to hospitalization as determined by the MHPs in small counties. 
(4) Costs associated with the administration of the Reserve. 
(c) Any interest earned from funds held in the Small County Reserve shall accrue to the Small County Reserve. 
(d) The Department shall not be liable for obligations of the MHPs in small counties that exceed the balance in the Small County Reserve. When costs do not exceed the balance in the Small County Reserve during any given State fiscal year, the amount of unexpended funds shall be reported to the Department by November 30 of the following State fiscal year. The unexpended funds may be retained in the Small County Reserve and used as specified in Subsection (b). 
(e) The MHPs in the small counties shall establish a Utilization Control and Operations Committee. The administrative procedures for, and the process of, appointing members to the Utilization Control and Operations Committee of the Small County Reserve shall be determined by the MHPs in small counties, through an organization representing the MHPs, in consultation with the Department. The Department shall not be liable for any action of the MHPs in small counties or the Utilization Control and Operations Committee related to the administration of the Small County Reserve. 
(f) The Utilization Control and Operations Committee shall: 
(1) Develop procedures and provide policy direction for the operation of the Small County Reserve. 
(2) Determine circumstances under which a small county MHP shall be eligible to receive Small County Reserve funds. 
(3) Provide guidance for the day-to-day operation of the Small County Reserve. 
(4) Monitor utilization of psychiatric inpatient hospital services and other specialty mental health services by member MHPs. 
(5) Recommend corrective actions and arrange for technical assistance to MHPs that have been denied access to the Small County Reserve funds. 
NOTE

Authority cited: Section 14680, Welfare and Institutions Code. Reference: Section 5778, Welfare and Institutions Code.
HISTORY

1. New section filed 10-31-97 as an emergency; operative 11-1-97 (Register 97, No. 44). A Certificate of Compliance must be transmitted to OAL by 3-2-98 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 3-2-98 as an emergency; operative 3-2-98 (Register 98, No. 10). A Certificate of Compliance must be transmitted to OAL by 6-30-98 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 6-17-98 as an emergency; operative 6-30-98 (Register 98, No. 25). Pursuant to Chapter 324 (Statutes of 1998) Item 4440-103-0001(4), a Certificate of Compliance must be transmitted to OAL by 7-1-99 or emergency language will be repealed by operation of law on the following day.
4. Editorial correction of History 3 (Register 98, No. 39).
5. Editorial correction extending Certificate of Compliance date to 7-1-2001 pursuant to Chapter 50 (Statutes of 1999) Item 4440-103-0001(4) (Register 99, No. 33). Notwithstanding any other provision of law, emergency regulations adopted pursuant to Welfare and Institutions Code section 14680 to implement the second phase of mental health managed care as provided in this part shall remain in effect until permanent regulations are adopted, or June 30, 2006, whichever occurs first.
6. Editorial correction of History 5 (Register 2000, No. 42). 
7. Editorial correction of History 5 and repealer and new section filed 5-19-2006; operative 6-18-2006 (Register 2006, No. 20). 
§1810.345. Scope of Covered Specialty Mental Health Services.
Note     •     History

(a) The MHP of a beneficiary shall provide or arrange and pay for specialty mental health services to the beneficiary when the medical necessity criteria in Sections 1820.205, 1830.205, or 1830.210 are met and when specialty mental health services are required to assess whether the medical necessity criteria are met. The MHP of a beneficiary shall be required to provide specialty mental health services only to beneficiaries who: 
(1) Are eligible to receive Medi-Cal funded services in a Medi-Cal program under Title 22, Division 3, Subdivision 1, Chapter 2, Article 5, Section 50201 et seq., or Article 7, Section 50301 et seq., which includes the provision of specialty mental health services, and only to the extent the specific specialty mental health services are included in that Medi-Cal program, and 
(2) Have met their share of cost obligations under Title 22, Sections 50651-50659. 
(b) Except as provided elsewhere in this Chapter, the MHP shall not be required to establish a formal arrangement within the MHP's organization or through contracts with providers for any specific specialty mental health service, but shall ensure that the type or types of specialty mental health services provided to each individual beneficiary are adequate to meet the needs of the beneficiary as described in the medical necessity criteria in Sections 1820.205, 1830.205, or 1830.210. 
(c) When appropriate based on the mental health condition of the beneficiary, the MHP of a beneficiary shall ensure that covered specialty mental health services described in Section 1810.247(a) are directed toward the maximum reduction of the mental disability and restoration of the beneficiary to the best possible functional level to the extent required by the Medi-Cal State Plan under rehabilitative mental health services. The Medi-Cal State Plan is California's State plan for medical assistance as described in Title 42, Section 1396 and 1396a, United States Code. 
(d) In accordance with title 42 CFR section 438.210(a)(3)-(4), the MHP may place appropriate limits on a service.
(e) Notwithstanding section 1830.220 regarding out-of-plan services, the MHP is financially responsible for post-stabilization care services obtained within or outside of the MHP's provider network that are provided in compliance with title 42 CFR section 422.113(c)(1)-(3). 
(f) The MHP shall obtain prior approval from the Department if the MHP intends to refuse to provide or arrange and pay for a covered service because the MHP objects to the service on moral or religious grounds.
(1) The Department shall approve the request only if the State is able to provide adequate access to the service or services the MHP does not intend to provide.
(2) If the Department does not approve the request, the MHP may terminate the contract in accordance with section 1810.323.
(g) The Department may exclude psychiatric nursing facility services from the specialty mental health services covered by the MHP until the Department determines that all necessary systems are in place at the State level to ensure proper payment of the providers of psychiatric nursing facility services and proper claiming of federal funds pursuant to Subchapter 4, beginning with Section 1840.100. The Department shall insure that the contract between the MHP and the Department and the allocation to the MHP pursuant to Section 1810.330 reflect the exclusion or inclusion of these services. 
NOTE

Authority cited: Section 14680, Welfare and Institutions Code. Reference: Sections 5775, 5777, 14007.5, 14011, 14142, 14145 and 14682, Welfare and Institutions Code; Title 42, United States Code, Section 1396 and 1396a; and Title 42 Code of Federal Regulations, Sections 438.102(a)(2), 422.113(c)(1)-(3) and 438.114. 
HISTORY

1. New section filed 10-31-97 as an emergency; operative 11-1-97 (Register 97, No. 44). A Certificate of Compliance must be transmitted to OAL by 3-2-98 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 3-2-98 as an emergency; operative 3-2-98 (Register 98, No. 10). A Certificate of Compliance must be transmitted to OAL by 6-30-98 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 6-17-98 as an emergency; operative 6-30-98 (Register 98, No. 25). Pursuant to Chapter 324 (Statutes of 1998) Item 4440-103-0001(4), a Certificate of Compliance must be transmitted to OAL by 7-1-99 or emergency language will be repealed by operation of law on the following day.
4. Editorial correction of History 3 (Register 98, No. 39).
5. Editorial correction extending Certificate of Compliance date to 7-1-2001 pursuant to Chapter 50 (Statutes of 1999) Item 4440-103-0001(4) (Register 99, No. 33). Notwithstanding any other provision of law, emergency regulations adopted pursuant to Welfare and Institutions Code section 14680 to implement the second phase of mental health managed care as provided in this part shall remain in effect until permanent regulations are adopted, or June 30, 2006, whichever occurs first.
6. Editorial correction of History 5 (Register 2000, No. 42). 
7. Editorial correction of History 5 and repealer and new section filed 5-19-2006; operative 6-18-2006 (Register 2006, No. 20). 
8. New subsections (d)-(f)(2), subsection relettering and amendment of Note filed 10-18-2010; operative 11-17-2010 (Register 2010, No. 43).
§1810.350. Scope of Covered Psychiatric Inpatient Hospital Services.
Note     •     History

(a) An MHP shall be responsible for the MHP payment authorization for psychiatric inpatient hospital services as described in Subsections (b) and (c) and Section 1810.345. 
(b) Psychiatric Inpatient Hospital Services for a Fee-for-Service/Medi-Cal hospital shall include: 
(1) Routine hospital services and 
(2) All hospital-based ancillary services. 
(c) Psychiatric Inpatient Hospital Services for a Short-Doyle/Medi-Cal hospital shall include: 
(1) Routine hospital services, 
(2) All hospital-based ancillary services, and 
(3) Psychiatric inpatient hospital professional services. 
(d) An MHP shall be responsible for the MHP payment authorization for psychiatric inpatient hospital services provided to a beneficiary eligible for Medicare (Part A) if the payment being authorized is for administrative day services following any approved acute psychiatric inpatient hospital services day and there is compliance with Section 1820.220(j)(5). 
(e) The MHP shall obtain prior approval from the Department if the MHP intends to refuse to provide or arrange and pay for a covered service because the MHP objects to the service on moral or religious grounds.
(1) The Department shall approve the request only if the State is able to provide adequate access to the service or services that the MHP does not intend to provide.
(2) If the Department does not approve the request, the MHP may terminate the contract in accordance with section 1810.323.
NOTE

Authority cited: Section 14680, Welfare and Institutions Code. Reference: Sections 5777, 5778 and 14684, Welfare and Institutions Code.
HISTORY

1. New section filed 10-31-97 as an emergency; operative 11-1-97 (Register 97, No. 44). A Certificate of Compliance must be transmitted to OAL by 3-2-98 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 3-2-98 as an emergency; operative 3-2-98 (Register 98, No. 10). A Certificate of Compliance must be transmitted to OAL by 6-30-98 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 6-17-98 as an emergency; operative 6-30-98 (Register 98, No. 25). Pursuant to Chapter 324 (Statutes of 1998) Item 4440-103-0001(4), a Certificate of Compliance must be transmitted to OAL by 7-1-99 or emergency language will be repealed by operation of law on the following day.
4. Editorial correction of History 3 (Register 98, No. 39).
5. Editorial correction extending Certificate of Compliance date to 7-1-2001 pursuant to Chapter 50 (Statutes of 1999) Item 4440-103-0001(4) (Register 99, No. 33). Notwithstanding any other provision of law, emergency regulations adopted pursuant to Welfare and Institutions Code section 14680 to implement the second phase of mental health managed care as provided in this part shall remain in effect until permanent regulations are adopted, or June 30, 2006, whichever occurs first.
6. Editorial correction of History 5 (Register 2000, No. 42). 
7. Editorial correction of History 5 and repealer and new section filed 5-19-2006; operative 6-18-2006 (Register 2006, No. 20). 
8. New subsections (e)-(e)(2) filed 10-18-2010; operative 11-17-2010 (Register 2010, No. 43).
§1810.355. Excluded Services.
Note     •     History

MHPs shall not be responsible to provide or arrange and pay for the following services: 
(a) Medi-Cal services, which are those services described in Title 22, Division 3, Subdivision 1, Chapter 3, Section 51001 et seq., that are not specialty mental health services for which the MHP is responsible pursuant to Section 1810.345. 
(1) Prescribed drugs as described in Title 22, Section 51313, and laboratory, radiological, and radioisotope services as described in Title 22, Section 51311, are not the responsibility of the MHPs, except when provided as hospital-based ancillary services. Medi-Cal beneficiaries may obtain Medi-Cal covered prescription drugs and laboratory, radiological, and radioisotope services prescribed by licensed mental health professionals acting within their scope of practice and employed by or contracting with the MHP under provisions of Title 22, Division 3, Subdivision 1, beginning with Section 50000. 
(2) Medical transportation services as described in Title 22, Section 51323, are not the responsibility of the MHP, except when the purpose of the medical transportation service is to transport a beneficiary receiving psychiatric inpatient hospital services from a hospital to another hospital or another type of 24 hour care facility because the services in the facility to which the beneficiary is being transported will result in lower costs to the MHP. 
(3) Physician services as described in Title 22, Section 51305, that are not psychiatric services as defined in Section 1810.240, even if the services are provided to treat a diagnosis included in Sections 1820.205 or 1830.205, are not the responsibility of the MHP. 
(4) Personal care services as defined in Title 22, Section 51183, and as defined by the State Department of Health Services as EPSDT supplemental services pursuant to Title 22, Section 51340(e)(3) are not the responsibility of the MHP. 
(b) Out-of-state specialty mental health services except when it is customary practice for a California beneficiary to receive medical services in a border community outside the State. 
(c) Specialty mental health services provided by a hospital operated by the Department or the State Department of Developmental Services. 
(d) Specialty mental health services provided to a beneficiary eligible for Medicare prior to the exhaustion of beneficiary's Medicare mental health benefits, unless the services have been denied by Medicare. Administrative day services are excluded only if the beneficiary is in a hospital reimbursed through Medicare (Part A) based on Diagnostic Related Groups (DRGs), when the DRG reimbursement covers administrative day services according to Medicare (Part A). 
(e) Specialty mental health services provided to a beneficiary enrolled in a Medi-Cal Managed Care Plan to the extent specialty mental health services are covered by the Medi-Cal Managed Care Plan. 
(f) Psychiatric inpatient hospital services received by a beneficiary when services are not billed to an allowable psychiatric accommodation code as defined in Section 1820.100(a). 
(g) Medi-Cal services that may include specialty mental health services as a component of a larger service package as follows: 
(1) Psychiatrist and psychologist services provided by adult day health centers pursuant to Title 22, Section 54325. 
(2) Home and community based waiver services as defined in Title 22, Section 51176. 
(3) Psychiatrist services, psychologist services, and EPSDT supplemental specialty mental health services payable by the Medi-Cal fiscal intermediary that are authorized by the California Children's Services (CCS) Program to treat CCS eligible beneficiaries or the Genetically Handicapped Persons Program (GHPP) to treat GHPP eligible beneficiaries. 
(4) Local Education Agency (LEA) services as defined in Title 22, Section 51190.4. 
(5) Specialty mental health services provided by Federally Qualified Health Centers, Indian Health Centers, and Rural Health Clinics. 
(6) Home health agency services as described in Title 22, Section 51337. 
NOTE

Authority cited: Section 14680, Welfare and Institutions Code. Reference: Sections 5775, 5776, 5777, 5778, 5780, 14681, 14682, 14683, 14684 and 14685, Welfare and Institutions Code.
HISTORY

1. New section filed 10-31-97 as an emergency; operative 11-1-97 (Register 97, No. 44). A Certificate of Compliance must be transmitted to OAL by 3-2-98 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 3-2-98 as an emergency; operative 3-2-98 (Register 98, No. 10). A Certificate of Compliance must be transmitted to OAL by 6-30-98 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 6-17-98 as an emergency; operative 6-30-98 (Register 98, No. 25). Pursuant to Chapter 324 (Statutes of 1998) Item 4440-103-0001(4), a Certificate of Compliance must be transmitted to OAL by 7-1-99 or emergency language will be repealed by operation of law on the following day.
4. Editorial correction of History 3 (Register 98, No. 39).
5. Editorial correction extending Certificate of Compliance date to 7-1-2001 pursuant to Chapter 50 (Statutes of 1999) Item 4440-103-0001(4) (Register 99, No. 33). Notwithstanding any other provision of law, emergency regulations adopted pursuant to Welfare and Institutions Code section 14680 to implement the second phase of mental health managed care as provided in this part shall remain in effect until permanent regulations are adopted, or June 30, 2006, whichever occurs first.
6. Editorial correction of History 5 (Register 2000, No. 42). 
7. Editorial correction of History 5 and repealer and new section filed 5-19-2006; operative 6-18-2006 (Register 2006, No. 20). 
§1810.360. Notification of Beneficiaries.
Note     •     History

(a) The MHP shall develop, implement and maintain written policies that address the beneficiary's rights in accordance with title 42 CFR section 438.100 and shall communicate these policies to its beneficiaries and providers.
(b) Prior to the date the MHP begins operation, the Department shall mail a notice to all beneficiaries in a county containing the following information: 
(1) The date the MHP will begin operation. 
(2) The name and statewide, toll-free telephone number of the MHP. 
(3) The availability of a booklet and provider list that contain the information required by Title 42, Code of Federal Regulations, Section 438.10(f)(6) and (g). 
(4) The availability of problem resolution processes, including fair hearings. 
(c) The Department shall provide beneficiaries who become eligible for Medi-Cal after the notice described in Subsection (a) is mailed with a notice containing the information listed in Subsections (a)(2)-(4) either through the mail or through the Medi-Cal eligibility determination process. 
(d) The Department shall provide an annual written notice to all Medi-Cal beneficiaries informing them of their right to request and obtain a booklet and provider list from the MHP that contain the information required by Title 42, Code of Federal Regulations, Section 438.10(f)(6) and (g). 
(e) The MHP of the beneficiary shall provide its beneficiaries with a booklet and provider list upon request and when a beneficiary first receives a specialty mental health service from the MHP or its contract providers. This responsibility applies to the beneficiary's receipt of any specialty mental health service, including but not limited to an assessment to determine whether medical necessity criteria pursuant to Section 1830.205 are met. 
(f) The booklet and provider list shall be updated as required by the contract between the Department and the MHP. Pursuant to Title 42, Code of Federal Regulations, Section 438.10(f)(4), when there is a change in the scope of specialty mental health services covered by the MHP, an update in the form of a booklet insert shall be provided to beneficiaries at least 30 days prior to the change. 
(g) The booklet shall be updated to reflect changes in State laws governing advance directives as soon as possible, but no later than 90 days after the effective date of the change. The MHP shall maintain written policies and procedures respecting advance directives in compliance with the requirements of title 42 CFR sections 422.128 and 438.6(i)(1), (3) and (4). 
(h) The MHP shall provide written notice to beneficiaries in regards to the termination of a provider's contract as required by title 42 CFR section 438.10(f)(5).
NOTE

Authority cited: Section 14680, Welfare and Institutions Code. Reference: Section 14683, Welfare and Institutions Code; and Title 42, Code of Federal Regulations, Sections 422.128, 438.10 and 438.6(i)(1), (3) and (4).
HISTORY

1. New section filed 10-31-97 as an emergency; operative 11-1-97 (Register 97, No. 44). A Certificate of Compliance must be transmitted to OAL by 3-2-98 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 3-2-98 as an emergency; operative 3-2-98 (Register 98, No. 10). A Certificate of Compliance must be transmitted to OAL by 6-30-98 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 6-17-98 as an emergency; operative 6-30-98 (Register 98, No. 25). Pursuant to Chapter 324 (Statutes of 1998) Item 4440-103-0001(4), a Certificate of Compliance must be transmitted to OAL by 7-1-99 or emergency language will be repealed by operation of law on the following day.
4. Editorial correction of History 3 (Register 98, No. 39).
5. Editorial correction extending Certificate of Compliance date to 7-1-2001 pursuant to Chapter 50 (Statutes of 1999) Item 4440-103-0001(4) (Register 99, No. 33). Notwithstanding any other provision of law, emergency regulations adopted pursuant to Welfare and Institutions Code section 14680 to implement the second phase of mental health managed care as provided in this part shall remain in effect until permanent regulations are adopted, or June 30, 2006, whichever occurs first.
6. Editorial correction of History 5 (Register 2000, No. 42). 
7. Editorial correction of History 5 and repealer and new section filed 5-19-2006; operative 6-18-2006 (Register 2006, No. 20). 
8. New subsections (a), (g) and (h), subsection relettering and amendment of Note filed 10-18-2010; operative 11-17-2010 (Register 2010, No. 43).
§1810.365. Beneficiary Billing.
Note     •     History

(a) The MHP of a beneficiary, or an affiliate, vendor, contractor, or sub-subcontractor of the MHP shall not submit a claim to, demand or otherwise collect reimbursement from, the beneficiary or persons acting on behalf of the beneficiary for any specialty mental health services provided under this Chapter or related administrative services such as billing for missed appointments or making copies of client records, except to collect: 
(1) Other health care coverage pursuant to Title 22, Section 51005. 
(2) Share of cost as provided in Title 22, Sections 50657 through 50659. 
(3) Copayments in accordance with Section 14134 of the Welfare and Institutions Code and Title 22, Section 51004. 
(b) In the event that a beneficiary willfully refuses to provide other current health insurance coverage billing information, as described in Title 22, Section 50763(a)(5), to a provider, including the MHP, upon giving the beneficiary written notice of intent, the provider may bill the beneficiary as a private pay patient. 
(c) The MHP or an affiliate, vendor, contractor, or sub-contractor of the MHP shall not hold beneficiaries liable for debts in the event that:
(1) the MHP becomes insolvent,
(2) the State does not pay the MHP for costs of covered services.
(3) the State or the MHP does not pay the MHP provider(s) for covered services. 
(4) covered services are provided and paid for under a contract, referral or other arrangement rather than from the MHP, 
(5) subsequent screening and treatment is needed to diagnose the specific condition of or stabilize a beneficiary with an emergency psychiatric condition.
NOTE

Authority cited: Section 14680, Welfare and Institutions Code. Reference: Sections 5777, 14005.9, 14024 and 14134, Welfare and Institutions Code.
HISTORY

1. New section filed 10-31-97 as an emergency; operative 11-1-97 (Register 97, No. 44). A Certificate of Compliance must be transmitted to OAL by 3-2-98 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 3-2-98 as an emergency; operative 3-2-98 (Register 98, No. 10). A Certificate of Compliance must be transmitted to OAL by 6-30-98 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 6-17-98 as an emergency; operative 6-30-98 (Register 98, No. 25). Pursuant to Chapter 324 (Statutes of 1998) Item 4440-103-0001(4), a Certificate of Compliance must be transmitted to OAL by 7-1-99 or emergency language will be repealed by operation of law on the following day.
4. Editorial correction of History 3 (Register 98, No. 39).
5. Editorial correction extending Certificate of Compliance date to 7-1-2001 pursuant to Chapter 50 (Statutes of 1999) Item 4440-103-0001(4) (Register 99, No. 33). Notwithstanding any other provision of law, emergency regulations adopted pursuant to Welfare and Institutions Code section 14680 to implement the second phase of mental health managed care as provided in this part shall remain in effect until permanent regulations are adopted, or June 30, 2006, whichever occurs first.
6. Editorial correction of History 5 (Register 2000, No. 42). 
7. Editorial correction of History 5 and repealer and new section filed 5-19-2006; operative 6-18-2006 (Register 2006, No. 20). 
8. New subsections (c)-(c)(5) filed 10-18-2010; operative 11-17-2010 (Register 2010, No. 43).
§1810.370. MOUs with Medi-Cal Managed Care Plans.
Note     •     History

(a) The MHP shall enter into an MOU with any Medi-Cal Managed Care Plan that enrolls beneficiaries covered by the MHP. The MOU shall, at a minimum, address the following: 
(1) Referral protocols between plans, including: 
(A) How the MHP will provide a referral to the Medi-Cal managed care plan when the MHP determines that the beneficiary's mental illness would be responsive to physical health care based treatment and 
(B) How the Medi-Cal managed care plan will provide a referral when the Medi-Cal managed care plan determines specialty mental health services covered by the MHP may be required. 
(2) The availability of clinical consultation, including consultation on medications, to the Medi-Cal managed care plan for beneficiaries whose mental illness is being treated by the Medi-Cal managed care plan. 
(3) Management of a beneficiary's care, including procedures for the exchange of medical information. The procedures shall ensure that the confidentiality of medical records is maintained in accordance with State and federal laws and regulations governing the confidentiality of personal or medical information, including mental health information, relating to beneficiaries. 
(4) Procedures for providing beneficiaries with services necessary to the treatment of mental illnesses covered by the MHP when those necessary services are covered by the Medi-Cal managed care plan. The procedures shall address, but are not limited to: 
(A) Prescription drugs and laboratory services covered by the Medi-Cal managed care plan and prescribed through the MHP. Prescription drug and laboratory service procedures shall include: 
1. The MHP's obligation to provide the names and qualifications of the MHP's prescribing physicians to the Medi-Cal managed care plan, if the Medi-Cal managed care plan covers prescription drugs. 
2. The Medi-Cal managed care plan's obligation to provide the Medi-Cal managed care plan's procedures for obtaining authorization of prescribed drugs and laboratory services and a list of available pharmacies and laboratories to the MHP, if the Medi-Cal managed care plan covers these services. 
3. The MHP's obligation to designate a process or entity to receive notices of actions, denials, or deferrals from the Medi-Cal managed care plan and to provide any additional information requested in the deferral notice as necessary for a medical necessity determination by the Medi-Cal managed care plan. 
4. The MHP's obligation to respond by the close of the business day following the day the deferral notice is received by the MHP. 
(B) Emergency room facility and related services other than specialty mental health services, home health agency services as described in Title 22, Section 51337, non-emergency medical transportation, and services to treat the physical health care needs of beneficiaries who are receiving psychiatric inpatient hospital services, including the history and physical required upon admission. 
(C) Direct transfers between psychiatric inpatient hospital services and inpatient hospital services required to address a beneficiary's medical problems based on changes in the beneficiary' mental health or medical condition. 
(5) A process for resolving disputes between the MHP and the Medi-Cal managed care plan that includes a means for beneficiaries to receive medically necessary services, including specialty mental health services and prescription drugs, while the dispute is being resolved. When the dispute involves the Medi-Cal managed care plan continuing to provide services to a beneficiary the Medi-Cal managed care plan believes requires specialty mental health services from the MHP, the MHP shall identify and provide the Medi-Cal managed care plan with the name and telephone number of a psychiatrist or other qualified licensed mental health professional available to provide clinical consultation, including consultation on medications to the Medi-Cal managed care plan provider responsible for the beneficiary's care. 
(b) If the MHP does not enter into an MOU with the Medi-Cal managed care plan, the MHP shall not be out of compliance with this Section provided the MHP establishes to the satisfaction of the Department that it has made good faith efforts to enter into an MOU. 
NOTE

Authority cited: Section 14680, Welfare and Institutions Code. Reference: Sections 5777.5 and 14681, Welfare and Institutions Code.
HISTORY

1. New section filed 10-31-97 as an emergency; operative 11-1-97 (Register 97, No. 44). A Certificate of Compliance must be transmitted to OAL by 3-2-98 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 3-2-98 as an emergency; operative 3-2-98 (Register 98, No. 10). A Certificate of Compliance must be transmitted to OAL by 6-30-98 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 6-17-98 as an emergency; operative 6-30-98 (Register 98, No. 25). Pursuant to Chapter 324 (Statutes of 1998) Item 4440-103-0001(4), a Certificate of Compliance must be transmitted to OAL by 7-1-99 or emergency language will be repealed by operation of law on the following day.
4. Editorial correction of History 3 (Register 98, No. 39).
5. Editorial correction extending Certificate of Compliance date to 7-1-2001 pursuant to Chapter 50 (Statutes of 1999) Item 4440-103-0001(4) (Register 99, No. 33). Notwithstanding any other provision of law, emergency regulations adopted pursuant to Welfare and Institutions Code section 14680 to implement the second phase of mental health managed care as provided in this part shall remain in effect until permanent regulations are adopted, or June 30, 2006, whichever occurs first.
6. Editorial correction of History 5 (Register 2000, No. 42). 
7. Editorial correction of History 5 and repealer and new section filed 5-19-2006; operative 6-18-2006 (Register 2006, No. 20). 
§1810.375. MHP Reporting.
Note     •     History

Each MHP shall submit reports to the Department as specified below. 
(a) A report that summarizes beneficiary grievances, appeals and expedited appeals filed from July 1 of the previous year through June 30 of that year by October 1 of each year. The report shall include the total number of grievances, appeals and expedited appeals by type, by subject areas established by the Department, and by disposition. 
(b) A list of all hospitals with which the MHP has current contracts, submitted by October 1 of each year. 
(c) Fee-for-Service/Medi-Cal contract hospital rates negotiated by the MHP for each State fiscal year, submitted June 1 prior to the beginning of each State fiscal year. 
(d) Pursuant to Welfare and Institutions Code section 5777(a)(1), by December 31 of the year following the close of each State fiscal year, the amount of any unexpended balance for the cost of covered services, utilization review and administration still remaining from the allocation made pursuant to Sections 1810.330 or 1810.335 for that State fiscal year. This reporting requirement shall also apply to the organizational entity administering the small county reserve pursuant to Section 1810.341(e). Neither an MHP nor the organizational entity administering the small county reserve shall be required to return any excess to the Department.
(e) Any reports required in the contract between the Department and the MHP. 
NOTE

Authority cited: Section 14680, Welfare and Institutions Code. Reference: Sections 5775, 5777 and 14684, Welfare and Institutions Code.
HISTORY

1. New section filed 10-31-97 as an emergency; operative 11-1-97 (Register 97, No. 44). A Certificate of Compliance must be transmitted to OAL by 3-2-98 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 3-2-98 as an emergency; operative 3-2-98 (Register 98, No. 10). A Certificate of Compliance must be transmitted to OAL by 6-30-98 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 6-17-98 as an emergency; operative 6-30-98 (Register 98, No. 25). Pursuant to Chapter 324 (Statutes of 1998) Item 4440-103-0001(4), a Certificate of Compliance must be transmitted to OAL by 7-1-99 or emergency language will be repealed by operation of law on the following day.
4. Editorial correction of History 3 (Register 98, No. 39).
5. Editorial correction extending Certificate of Compliance date to 7-1-2001 pursuant to Chapter 50 (Statutes of 1999) Item 4440-103-0001(4) (Register 99, No. 33). Notwithstanding any other provision of law, emergency regulations adopted pursuant to Welfare and Institutions Code section 14680 to implement the second phase of mental health managed care as provided in this part shall remain in effect until permanent regulations are adopted, or June 30, 2006, whichever occurs first.
6. Editorial correction of History 5 (Register 2000, No. 42). 
7. Editorial correction of History 5 and repealer and new section filed 5-19-2006; operative 6-18-2006 (Register 2006, No. 20). 
8. Amendment of subsection (d) filed 10-18-2010; operative 11-17-2010 (Register 2010, No. 43).
§1810.376. Health Information Systems.
Note     •     History

(a) The MHP shall maintain a health information system that collects, analyzes, integrates, and reports data and provides information on areas including, but not limited to, utilization, grievances and appeals as required by title 42 CFR section 438.242(a).
(b) The basic elements of the health information system as required by title 42 CFR section 438.242(b) shall, at a minimum:
(1) collect data on a beneficiary and provider and on services furnished to beneficiaries;
(2) ensure that data received from providers is accurate and complete by verifying the accuracy and timeliness of reported data; screening the data for completeness, logic, and consistency; and collecting service information in standardized formats to the extent feasible and appropriate.
(c) Nothing in this section requires that all elements of the MHP's health information system be collected and analyzed in electronic formats.
(d) For the purpose of this section, “persons with special health care needs” are adults with a serious mental disorder and children with a serious emotional disturbance as defined under Welfare and Institutions Code Section 5600.3.
NOTE

Authority cited: Section 14684, Welfare and Institutions Code. Reference: Sectiona 5650 and 5600.3, Welfare and Institutions Code; and Title 42 Code of Federal Regulations, Sections 438.242(a)-(b) and 438.208(a)(2)(ii) and (c). 
HISTORY

1. New section filed 10-18-2010; operative 11-17-2010 (Register 2010, No. 43).
§1810.380. State Oversight.
Note     •     History

(a) The MHPs shall be subject to state oversight, including the following: 
(1) Site visits and monitoring of data reports from MHPs and claims processing. 
(2) Reviews of program and fiscal operations and the books and records of each MHP to verify that medically necessary services are provided in compliance with this Chapter and the contract between the Department and the MHP. 
(A) These books and records shall disclose the quantity of covered services provided under this contract, the quality of those services, the manner and amount of payment made for those services, the beneficiaries eligible to receive covered services, the manner in which the MHP administered its daily business, and the cost thereof.
(B) Such books and records shall include, but shall not be limited to, all physical records originated or prepared pursuant to the performance under the MHP's contract including working papers, reports submitted to the Department, financial records, all medical and treatment records, medical charts and prescription files, and other documentation pertaining to services rendered to beneficiaries.
(C) These books and records shall be maintained for a minimum of three years after the final payment is made and all pending matters closed, or, in the event the MHP has been duly notified that the Department, DHCS, HHS, or the Comptroller General of the United States, or their duly authorized representatives, have commenced an audit or investigation of the contract, until such time as the matter under audit or investigation has been resolved, whichever is later.
(3) Immediate on-site reviews of MHP program operations whenever the Department obtains information indicating that there is a threat to the health or safety of beneficiaries. 
(4) Monitoring compliance with problem resolution process requirements contained in Subchapter 5 and the MHP's Implementation Plan. 
(5) Monitoring provider contracts to ensure that the MHP enters into necessary contracts with DSH and Traditional Hospitals and that, pursuant to title 42 CFR section 438.230(a)(1), the MHP is accountable for any functions and responsibilities it has delegated to any subcontractor or another MHP.
(6) Monitoring denials of MHP payment authorizations. 
(7) Annual, external, independent reviews of the quality outcomes of, timeliness of, and access to, the services covered by the MHPs as required by Title 42, Code of Federal Regulations, Section 438.204. 
(b) If the Department determines that an MHP is out of compliance with State or Federal laws and regulations or the terms of the contract between the MHP and the Department, the Department may take any or all of the following actions: 
(1) Require that the MHP develop a plan of correction. 
(2) Withhold all or a portion of payments due to the MHP from the Department. 
(3) Impose civil penalties pursuant to Section 1810.385. 
(4) Terminate the contract with the MHP pursuant to Section 1810.323. 
(5) Take other actions deemed necessary to encourage and ensure contract and regulatory compliance. 
(c) If the Department determines that an action should be taken pursuant to Subsection (b), the Department shall provide the MHP with a written Notice of Noncompliance. The Notice of Noncompliance shall include: 
(1) A description of the violation 
(2) A description of any corrective action required by the Department and time limits for compliance. 
(3) A description of any and all proposed actions by the Department under this Section or Sections 1810.385 or 1810.323, and any related appeal rights. 
(d) Except as provided in Section 1810.325, the MHP may appeal the Notice of Noncompliance to the Department, in writing, within 15 working days after the receipt of the notice, setting forth relevant facts and arguments. The Department shall grant or deny the appeal in whole or in part within 30 calendar days after receipt of the appeal. Except as provided in Section 1810.325, the Department shall suspend any proposed action pursuant to Subsection (c)(3) until the Department has acted on the MHP's appeal. 
(e) In consultation with representatives from beneficiaries, their family members, MHPs, and selected other stakeholders, the Department shall develop, and update as appropriate, a comprehensive oversight program. The Department may effect this oversight program through administrative actions; incorporation into regulation as changes to this Section, to Implementation Plan requirements in Section 1810.310 or to other standards in this Chapter; and amendments to the contract between the Department and each MHP. 
NOTE

Authority cited: Section 14680, Welfare and Institutions Code. Reference: Sections 5775, 5777, 5778 and 14684, Welfare and Institutions Code; and Title 42, Code of Federal Regulations, Sections 438.204, 438.230 and 438.6.
HISTORY

1. New section filed 10-31-97 as an emergency; operative 11-1-97 (Register 97, No. 44). A Certificate of Compliance must be transmitted to OAL by 3-2-98 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 3-2-98 as an emergency; operative 3-2-98 (Register 98, No. 10). A Certificate of Compliance must be transmitted to OAL by 6-30-98 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 6-17-98 as an emergency; operative 6-30-98 (Register 98, No. 25). Pursuant to Chapter 324 (Statutes of 1998) Item 4440-103-0001(4), a Certificate of Compliance must be transmitted to OAL by 7-1-99 or emergency language will be repealed by operation of law on the following day.
4. Editorial correction of History 3 (Register 98, No. 39).
5. Editorial correction extending Certificate of Compliance date to 7-1-2001 pursuant to Chapter 50 (Statutes of 1999) Item 4440-103-0001(4) (Register 99, No. 33). Notwithstanding any other provision of law, emergency regulations adopted pursuant to Welfare and Institutions Code section 14680 to implement the second phase of mental health managed care as provided in this part shall remain in effect until permanent regulations are adopted, or June 30, 2006, whichever occurs first.
6. Editorial correction of History 5 (Register 2000, No. 42). 
7. Editorial correction of History 5 and repealer and new section filed 5-19-2006; operative 6-18-2006 (Register 2006, No. 20). 
8. Amendment of subsection (a)(2), new subsections (a)(2)(A)-(C), amendment of subsection (a)(5) and amendment of Note filed 10-18-2010; operative 11-17-2010 (Register 2010, No. 43).
§1810.385. Civil Penalties.
Note     •     History

(a) The Department may impose one or more of the civil penalties specified in Subsection (b) upon an MHP that fails to comply with the provisions of Sections 5775 through 5780 and 14680 through 14685 of the Welfare and Institutions Code, the provisions of this Chapter, or the terms of the MHP's contract with the Department. 
(b) Civil penalties imposed by the Department shall be in the amounts specified below with respect to violation of: 
(1) The provisions of Sections 1810.360, 1850.205, 1850.210, and 1850.215. 
(A) First violation: $1,000. 
(B) Second and each subsequent violation: $5,000. 
(2) The provisions of Section 1810.375 and any other regulation or contract provision establishing a time frame for action. 
(A) First violation: $500, plus $25 per day for each day that the item to be submitted is late. 
(B) Second and each subsequent violation: $500, plus $25 per day for each day that the item to be submitted is late. 
(3) Any provision of this Chapter that is not specifically addressed in this Section. 
(A) First violation: $500. 
(B) Second violation: $1,000. 
(C) Third and each subsequent violation: $5,000. 
(4) Any provision of the contract between the MHP and the Department that is not specifically governed by this Chapter. 
(A) First violation: $500. 
(B) Second and subsequent violations: $1,000. 
(5) Any provision of Sections 5775 through 5780 and 14680 through 14685 of the Welfare and Institutions Code, which is not specifically addressed in this Chapter. 
(A) First violation: $1,000. 
(B) Second and subsequent violations: $1,000. 
(c) When the Department issues a notice of noncompliance as described in Section 1810.380 to an MHP found by the Department to be in violation of any provision of law, regulation or the contract, failure to comply with corrective actions in the notice within the time limits given shall be deemed to be a subsequent violation under this Section. 
NOTE

Authority cited: Sections 5775(e)(1) and 14680, Welfare and Institutions Code. Reference: Sections 5775(e)(1) and 5777, Welfare and Institutions Code.
HISTORY

1. New section filed 10-31-97 as an emergency; operative 11-1-97 (Register 97, No. 44). A Certificate of Compliance must be transmitted to OAL by 3-2-98 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 3-2-98 as an emergency; operative 3-2-98 (Register 98, No. 10). A Certificate of Compliance must be transmitted to OAL by 6-30-98 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 6-17-98 as an emergency; operative 6-30-98 (Register 98, No. 25). Pursuant to Chapter 324 (Statutes of 1998) Item 4440-103-0001(4), a Certificate of Compliance must be transmitted to OAL by 7-1-99 or emergency language will be repealed by operation of law on the following day.
4. Editorial correction of History 3 (Register 98, No. 39).
5. Editorial correction extending Certificate of Compliance date to 7-1-2001 pursuant to Chapter 50 (Statutes of 1999) Item 4440-103-0001(4) (Register 99, No. 33). Notwithstanding any other provision of law, emergency regulations adopted pursuant to Welfare and Institutions Code section 14680 to implement the second phase of mental health managed care as provided in this part shall remain in effect until permanent regulations are adopted, or June 30, 2006, whichever occurs first.
6. Editorial correction of History 5 (Register 2000, No. 42). 
7. Editorial correction of History 5 and repealer and new section filed 5-19-2006; operative 6-18-2006 (Register 2006, No. 20). 
Article 4. Standards
§1810.405. Access Standards for Specialty Mental Health Services.
Note     •     History

(a) The MHP of the beneficiary shall be responsible for assuring that the beneficiary has access to specialty mental health services as provided in Section 1810.345 and Section 1810.350. 
(b) Referrals to the MHP for Specialty Mental Health Services may be received through beneficiary self-referral or through referral by another person or organization, including but not limited to: 
(1) Physical health care providers 
(2) Schools 
(3) County welfare departments 
(4) Other MHPs 
(5) Conservators, guardians, or family members 
(6) Law enforcement agencies. 
(c) To treat a beneficiary's urgent condition, each MHP shall make specialty mental health services available 24 hours a day, seven days a week. If the MHP requires that a provider obtain approval of an MHP payment authorization request prior to the delivery of a specialty mental health service to treat a beneficiary's urgent condition as a condition of payment to the provider, the MHP shall have a statewide, toll-free telephone number available 24 hours a day, seven days per week, to act on MHP payment authorization requests for specialty mental health services to treat a beneficiary's urgent condition. Under these circumstances, the MHP shall act on the MHP payment authorization request within one hour of the request. 
(d) Each MHP shall provide a statewide, toll-free telephone number 24 hours a day, seven days per week, with language capability in all languages spoken by beneficiaries of the county, that will provide information to beneficiaries about how to access specialty mental health services, including specialty mental health services required to assess whether medical necessity criteria are met and services needed to treat a beneficiary's urgent condition, and how to use the beneficiary problem resolution and fair hearing processes. 
(e) At the request of a beneficiary, the MHP of the beneficiary shall provide for a second opinion by a licensed mental health professional, other than a psychiatric technician or a licensed vocational nurse, employed by, contracting with or otherwise made available by the MHP when the MHP or its providers determine that the medical necessity criteria in Section 1830.205(b)(1), (b)(2) or (b)(3)(C) or Section 1830.210(a) have not been met and that the beneficiary is, therefore, not entitled to any specialty mental health services from the MHP. The MHP shall determine whether the second opinion requires a face-to-face encounter with the beneficiary. 
(f) The MHP shall maintain a written log of the initial requests for specialty mental health services from beneficiaries of the MHP. The requests shall be recorded whether they are made via telephone, in writing, or in person. The log shall contain the name of the beneficiary, the date of the request, and the initial disposition of the request. An MHP may submit requests to the Department for approval of alternative mechanisms that will track initial requests for specialty mental health services. The alternative mechanism shall include the information required of the written log. The data in the alternative mechanism shall be accessible to review by the Department. Requests for approval for alternative mechanisms shall be submitted as components of or changes to the MHP's Implementation Plan pursuant to Section 1810.310. 
NOTE

Authority cited: Section 14680, Welfare and Institutions Code. Reference: Section 5778, Welfare and Institutions Code.
HISTORY

1. New article 4 (sections 1810.405-1810.440) and section filed 10-31-97 as an emergency; operative 11-1-97 (Register 97, No. 44). A Certificate of Compliance must be transmitted to OAL by 3-2-98 or emergency language will be repealed by operation of law on the following day.
2. New article 4 (sections 1810.405-1810.440) and section refiled 3-2-98 as an emergency; operative 3-2-98 (Register 98, No. 10). A Certificate of Compliance must be transmitted to OAL by 6-30-98 or emergency language will be repealed by operation of law on the following day.
3. New article 4 (sections 1810.405-1810.440) and section refiled 6-17-98 as an emergency; operative 6-30-98 (Register 98, No. 25). Pursuant to Chapter 324 (Statutes of 1998) Item 4440-103-0001(4), a Certificate of Compliance must be transmitted to OAL by 7-1-99 or emergency language will be repealed by operation of law on the following day.
4. Editorial correction of History 3 (Register 98, No. 39).
5. Editorial correction extending Certificate of Compliance date to 7-1-2001 pursuant to Chapter 50 (Statutes of 1999) Item 4440-103-0001(4) (Register 99, No. 33). Notwithstanding any other provision of law, emergency regulations adopted pursuant to Welfare and Institutions Code section 14680 to implement the second phase of mental health managed care as provided in this part shall remain in effect until permanent regulations are adopted, or June 30, 2006, whichever occurs first.
6. Editorial correction of History 5 (Register 2000, No. 42). 
7. Editorial correction of History 5 and repealer and new section filed 5-19-2006; operative 6-18-2006 (Register 2006, No. 20). 
§1810.410. Cultural and Linguistic Requirements.
Note     •     History

(a) Definitions: 
(1) “Key points of contact” means common points of access to specialty mental health services from the MHP, including but not limited to the MHP's beneficiary problem resolution process, county owned or operated or contract hospitals, and any other central access locations established by the MHP. 
(2) “Primary language” means that language, including sign language, which must be used by the beneficiary to communicate effectively and which is so identified by the beneficiary. 
(3) “Threshold Language” means a language that has been identified as the primary language, as indicated on the MEDS, of 3,000 beneficiaries or five percent of the beneficiary population, whichever is lower, in an identified geographic area. 
(b) Each MHP shall comply with the cultural competence and linguistic requirements included in this Section, the terms of the contract between the MHP and the Department, and the MHP's Cultural Competence Plan established pursuant to Subsection (c). The terms of the contract between the MHP and the Department may provide additional requirements for the Cultural Competence Plan, including a description of the acceptable data sources and requirements for arraying data for the components of the Cultural Competence Plan. 
(c) Each MHP shall develop and implement a Cultural Competence Plan that includes the following components: 
(1) Objectives and strategies for improving the MHP's cultural competence based on the assessments required in Subsection (c)(2) and the MHP's performance on the standards in Subsection (d). 
(2) A population assessment and an organizational and service provider assessment focusing on issues of cultural competence and linguistic capability. 
(3) A listing of specialty mental health services and other MHP services available for beneficiaries in their primary language by location of the services, pursuant to Section 1810.360 (f)(1). 
(4) A plan for cultural competency training for the administrative and management staff of the MHP, the persons providing specialty mental health services employed by or contracting with the MHP or with contractors of the MHP, and the persons employed by or contracting with the MHP or with contractors of the MHP to provide interpreter or other support services to beneficiaries. 
(d) The Department shall establish timelines for the submission and review of the Cultural Competence Plan described in Subsection (b) either as a component of the Implementation Plan process described in Section 1810.310 or as a term of the contract between the MHP and the Department. The MHP shall submit the Cultural Competence Plan to the Department for review and approval in accordance with these timelines. The MHP shall update the Cultural Competence Plan and submit these updates to the Department for review and approval annually. 
(e) Each MHP shall have: 
(1) A statewide, toll-free telephone number as required by Section 1810.405(d). 
(2) Oral interpreter services in threshold languages at key points of contact available to assist beneficiaries whose primary language is a threshold language to access the specialty mental health services or related services available through that key point of contact. The threshold languages shall be determined on a countywide basis. MHPs may limit the key points of contact at which interpreter services in a threshold language are available to a specific geographic area within the county when: 
(A) The MHP has determined, for a language that is a threshold language on a countywide basis, that there are geographic areas of the county where that language is a threshold language, and other areas where it is not; and 
(B) The MHP provides referrals for beneficiaries who prefer to receive services in that threshold language, but who initially access services outside the specified geographic area, to a key point of contact that does have interpreter services in that threshold language. 
(3) Policies and procedures to assist beneficiaries who need oral interpreter services in languages other than threshold languages to access the specialty mental health services or related services available through that key point of contact. 
(4) General program literature used by the MHP to assist beneficiaries in accessing services including, but not limited to, the beneficiary brochure required by Section 1810.360(c), materials explaining the beneficiary problem resolution and fair hearing processes required by Section 1850.205(c)(1), and mental health education materials used by the MHP, in threshold languages, based on the threshold languages in the county as a whole. 
NOTE

Authority cited: Section 14680, Welfare and Institutions Code. Reference: Sections 5777, 5778 and 14684, Welfare and Institutions Code.
HISTORY

1. New section filed 10-31-97 as an emergency; operative 11-1-97 (Register 97, No. 44). A Certificate of Compliance must be transmitted to OAL by 3-2-98 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 3-2-98 as an emergency; operative 3-2-98 (Register 98, No. 10). A Certificate of Compliance must be transmitted to OAL by 6-30-98 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 6-17-98 as an emergency; operative 6-30-98 (Register 98, No. 25). Pursuant to Chapter 324 (Statutes of 1998) Item 4440-103-0001(4), a Certificate of Compliance must be transmitted to OAL by 7-1-99 or emergency language will be repealed by operation of law on the following day.
4. Editorial correction of History 3 (Register 98, No. 39).
5. Editorial correction extending Certificate of Compliance date to 7-1-2001 pursuant to Chapter 50 (Statutes of 1999) Item 4440-103-0001(4) (Register 99, No. 33). Notwithstanding any other provision of law, emergency regulations adopted pursuant to Welfare and Institutions Code section 14680 to implement the second phase of mental health managed care as provided in this part shall remain in effect until permanent regulations are adopted, or June 30, 2006, whichever occurs first.
6. Editorial correction of History 5 (Register 2000, No. 42). 
7. Editorial correction of History 5 and repealer and new section filed 5-19-2006; operative 6-18-2006 (Register 2006, No. 20). 
§1810.415. Coordination of Physical and Mental Health Care.
Note     •     History

(a) The MHP shall make clinical consultation and training, including consultation and training on medications, available to a beneficiary's health care provider for beneficiaries whose mental illness is not being treated by the MHP or for beneficiaries who are receiving treatment from another health care provider in addition to receiving specialty mental health services from the MHP. 
(b) The MHP shall arrange appropriate management of a beneficiary's care, including the exchange of medical information, with a beneficiary's other health care providers or providers of specialty mental health services. The MHP shall maintain the confidentiality of medical records in accordance with State and federal laws and regulations governing the confidentiality of personal or medical information, including mental health information, relating to beneficiaries. 
(c) The MHP shall coordinate with pharmacies and Medi-Cal managed care plans as appropriate to assist beneficiaries to receive prescription drugs and laboratory services prescribed through the MHP, including ensuring that any medical justification of the services required for approval of payment to the pharmacy or laboratory is provided to the authorizing entity in accordance with the authorizing entity's procedures. 
(d) When the MHP determines that the beneficiary's diagnosis is not included in Section 1830.205(b)(1) or is included but would be responsive to physical health care based treatment, the MHP of the beneficiary shall refer the beneficiary to: 
(1) A provider outside the MHP, which may include: 
(A) Whenever possible, a provider with whom the beneficiary already has a patient-provider relationship; 
(B) The Medi-Cal managed care plan in which the beneficiary is enrolled; 
(C) A provider in the area who has indicated to the MHP a willingness to accept MHP referrals, including federally qualified health centers, rural health clinics, and Indian health clinics; or 
(2) An entity that provides assistance in identifying providers willing to accept Medi-Cal beneficiaries, which may include, where appropriate: 
(A) The health care options program described in Section 14016.5 of the Welfare and Institutions Code; 
(B) The local Child Health and Disability Prevention program as described in Title 17, Section 6800 et seq.; 
(C) Provider organizations; 
(D) Other community resources available in the county of the MHP. 
The MHP of the beneficiary shall not be required to ensure the beneficiary's access to physical health care based treatment or to ensure the beneficiary's access to treatment from licensed mental health professionals for diagnoses not covered in Section 1830.205(b)(1). When the situation generating a referral under this Subsection meets the criteria established in Section 1850.210(i), a notice of action will be provided in accordance with that Section. 
NOTE

Authority cited: Section 14680, Welfare and Institutions Code. Reference: Sections 14681, 14683 and 14684, Welfare and Institutions Code.
HISTORY

1. New section filed 10-31-97 as an emergency; operative 11-1-97 (Register 97, No. 44). A Certificate of Compliance must be transmitted to OAL by 3-2-98 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 3-2-98 as an emergency; operative 3-2-98 (Register 98, No. 10). A Certificate of Compliance must be transmitted to OAL by 6-30-98 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 6-17-98 as an emergency; operative 6-30-98 (Register 98, No. 25). Pursuant to Chapter 324 (Statutes of 1998) Item 4440-103-0001(4), a Certificate of Compliance must be transmitted to OAL by 7-1-99 or emergency language will be repealed by operation of law on the following day.
4. Editorial correction of History 3 (Register 98, No. 39).
5. Editorial correction extending Certificate of Compliance date to 7-1-2001 pursuant to Chapter 50 (Statutes of 1999) Item 4440-103-0001(4) (Register 99, No. 33). Notwithstanding any other provision of law, emergency regulations adopted pursuant to Welfare and Institutions Code section 14680 to implement the second phase of mental health managed care as provided in this part shall remain in effect until permanent regulations are adopted, or June 30, 2006, whichever occurs first.
6. Editorial correction of History 5 (Register 2000, No. 42). 
7. Editorial correction of History 5 and repealer and new section filed 5-19-2006; operative 6-18-2006 (Register 2006, No. 20). 
§1810.425. Hospital Selection Criteria.
Note     •     History

An MHP shall establish a hospital selection process that meets the following criteria: 
(a) The MHP shall require that each hospital: 
(1) Comply with federal Medicaid laws, regulations and guidelines and State statutes and regulations and not violate the terms of the contract between the MHP and the Department. 
(2) Sign a provider agreement with the State Department of Health Services. 
(3) Provide psychiatric inpatient hospital services, within its scope of licensure, to all beneficiaries who are referred by the MHP, unless compelling clinical circumstances exist that contraindicate admission, or the MHP negotiates a different arrangement with the hospital. 
(4) Refer beneficiaries for other services when necessary. 
(5) Not refuse an admission solely on the basis of age, sex, race, religion, physical or mental disability, or national origin. 
(b) In addition to the specified conditions in Subsection (a), an MHP may consider but is not limited to any or all of the following in selecting hospitals: 
(1) History of Medi-Cal certification, licensure and accreditation. 
(2) Circumstances and outcomes of any current or previous litigation against the hospital. 
(3) The geographic location(s) that would maximize beneficiary participation. 
(4) Ability of the hospital to: 
(A) Offer services at competitive rates. 
(B) Demonstrate positive outcomes and cost effectiveness. 
(C) Address the needs of beneficiaries based on factors including age, language, culture, physical disability, and specified clinical interventions. 
(D) Serve beneficiaries with severe mental illness and serious emotional disturbances. 
(E) Meet the quality improvement, authorization, clinical and administrative requirements of the MHP. 
(F) Work with beneficiaries, their families and other providers in a collaborative and supportive manner. 
NOTE

Authority cited: Section 14680, Welfare and Institutions Code. Reference: Sections 5777, 5778 and 14684, Welfare and Institutions Code.
HISTORY

1. New section filed 10-31-97 as an emergency; operative 11-1-97 (Register 97, No. 44). A Certificate of Compliance must be transmitted to OAL by 3-2-98 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 3-2-98 as an emergency; operative 3-2-98 (Register 98, No. 10). A Certificate of Compliance must be transmitted to OAL by 6-30-98 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 6-17-98 as an emergency; operative 6-30-98 (Register 98, No. 25). Pursuant to Chapter 324 (Statutes of 1998) Item 4440-103-0001(4), a Certificate of Compliance must be transmitted to OAL by 7-1-99 or emergency language will be repealed by operation of law on the following day.
4. Editorial correction of History 3 (Register 98, No. 39).
5. Editorial correction extending Certificate of Compliance date to 7-1-2001 pursuant to Chapter 50 (Statutes of 1999) Item 4440-103-0001(4) (Register 99, No. 33). Notwithstanding any other provision of law, emergency regulations adopted pursuant to Welfare and Institutions Code section 14680 to implement the second phase of mental health managed care as provided in this part shall remain in effect until permanent regulations are adopted, or June 30, 2006, whichever occurs first.
6. Editorial correction of History 5 (Register 2000, No. 42). 
7. Editorial correction of History 5 and repealer and new section filed 5-19-2006; operative 6-18-2006 (Register 2006, No. 20). 
8. Amendment of subsection (a)(1) filed 10-18-2010; operative 11-17-2010 (Register 2010, No. 43).
§1810.430. Contracting for Psychiatric Inpatient Hospital Service Availability.
Note     •     History

(a) An MHP shall contract with DSH and Traditional Hospitals when: 
(1) The DSH or Traditional Hospital meets the hospital selection criteria described in the MHP's Implementation Plan as required by Section 1810.310(a)(4). 
(2) The DSH is located: 
(A) In the same county as the MHP, or 
(B) In a different county than the MHP and according to the latest historical Medi-Cal paid claims data, the DSH provides services to beneficiaries of the MHP that account for five percent or twenty thousand dollars, whichever is more, of the total fiscal year Fee-For-Service/Medi-Cal psychiatric inpatient hospital service payments for beneficiaries of the MHP. 
(b) Prior to the beginning of each State fiscal year, the Department shall notify all MHPs of the DSH and Traditional Hospitals for that fiscal year. 
(c)(1) If an MHP determines not to contract with a DSH or Traditional Hospital, it shall submit a Request for Exemption from Contracting to the Department with its Implementation Plan. The MHP shall submit Requests for Exemption initiated after the submission of the Implementation Plan to the Department as a separate submission. The Request for Exemption from Contracting shall address the projected effect on beneficiaries. At a minimum, the Request for Exemption from Contracting shall include: 
(A) The name of the hospital for which the Request for Exemption from Contracting is requested. 
(B) An analysis of the most recently available data from the Office of Statewide Health Planning and Development (OSHPD) on the availability, within an accessible geographic area, of hospital beds for psychiatric inpatient hospital services with and without a contract. Other data may be substituted if OSHPD data are not available or if equally reliable data are more comprehensive. 
(C) The estimated impact on maximum and average travel time and distances for beneficiaries to obtain psychiatric inpatient hospital services, from hospitals either with or without a contract. 
(2) An MHP shall notify the DSH or Traditional Hospital of the Request for Exemption from Contracting at the same time that the Request for Exemption is sent to the Department. 
(3) The Department shall approve or deny in writing the MHP's Request for Exemption from Contracting within 30 calendar days of its receipt and shall notify both the MHP and the DSH or Traditional Hospital of its decision. The Department shall deny any Request for Exemption from Contracting when failure to contract is likely to result in hardship to beneficiaries as measured by local community standards. 
(d) At a minimum, a contract between an MHP and a provider of psychiatric inpatient hospital services shall meet federal contracting requirements as provided in Title 42, Code of Federal Regulations, Section 438.6(l), and shall include the following provisions: 
(1) Treatment requirements, as a condition for reimbursement for psychiatric inpatient hospital services, that ensure beneficiaries will receive the same level of services as provided to all other patients served. 
(2) Assurances that beneficiaries will not be discriminated against in any manner, including admission practices, placement in special wings or rooms, or provision of special or separate meals. 
(3) Specifics of how the hospital shall make records available for authorized review for fiscal audits, program compliance and beneficiary complaints. 
(4) Language specifying that the per diem rate included in the contract is considered to be payment in full, subject to third party liability and patient share of costs, for psychiatric inpatient hospital services to a beneficiary. 
(5) Language specifying that the rate structure in the contract includes all services defined as psychiatric inpatient hospital services in this Chapter and that the rate structure does not include psychiatric inpatient hospital professional services rendered to a beneficiary covered under the contract unless the hospital is a Short-Doyle/Medi-Cal Hospital. 
(6) Requirements that a hospital adheres to Title XIX of the Social Security Act and conforms to federal and State statutes and regulations. 
(7) If the contract is in excess of $10,000 and utilizes State funds, a provision that: “The contracting parties shall be subject to the examination and audit of the Auditor General for a period of three years after the final payment under contract (Government Code section 8546.7).” The MHP shall also be subject to the examination and audit of the State Auditor General for a period of three years after final payment under contract (Government Code section 8546.7). 
(e) For providers of Psychiatric Inpatient Hospital services that conduct utilization management activities, the MHP must ensure that the compensation arrangements in the contract are not structured so as to provide incentives for the provider of Psychiatric Inpatient Hospital services to deny, limit, or discontinue medically necessary services to any beneficiary.
(f) Written policies that address a beneficiary's rights as required by title 42 CFR section 438.100 shall be included in the contracts.
(g) No provision of a contract shall be construed to replace or conflict with the duties of county patients' rights advocates described in Section 5520 of the Welfare and Institutions Code. 
(h) A formal contract between an MHP and a hospital is not required when the MHP owns or operates the hospital. 
NOTE

Authority cited: Section 14680, Welfare and Institutions Code. Reference: Section 8546.7, Government Code; Sections 5777, 5778 and 14684, Welfare and Institutions Code; and Title 42, Code of Federal Regulations, Sections 438.6 and 438.100.
HISTORY

1. New section filed 10-31-97 as an emergency; operative 11-1-97 (Register 97, No. 44). A Certificate of Compliance must be transmitted to OAL by 3-2-98 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 3-2-98 as an emergency; operative 3-2-98 (Register 98, No. 10). A Certificate of Compliance must be transmitted to OAL by 6-30-98 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 6-17-98 as an emergency; operative 6-30-98 (Register 98, No. 25). Pursuant to Chapter 324 (Statutes of 1998) Item 4440-103-0001(4), a Certificate of Compliance must be transmitted to OAL by 7-1-99 or emergency language will be repealed by operation of law on the following day.
4. Editorial correction of History 3 (Register 98, No. 39).
5. Editorial correction extending Certificate of Compliance date to 7-1-2001 pursuant to Chapter 50 (Statutes of 1999) Item 4440-103-0001(4) (Register 99, No. 33). Notwithstanding any other provision of law, emergency regulations adopted pursuant to Welfare and Institutions Code section 14680 to implement the second phase of mental health managed care as provided in this part shall remain in effect until permanent regulations are adopted, or June 30, 2006, whichever occurs first.
6. Editorial correction of History 5 (Register 2000, No. 42). 
7. Editorial correction of History 5 and repealer and new section filed 5-19-2006; operative 6-18-2006 (Register 2006, No. 20). 
8. New subsections (d)(7)-(f), subsection relettering and amendment of Note filed 10-18-2010; operative 11-17-2010 (Register 2010, No. 43).
§1810.435. MHP Individual, Group and Organizational Provider Selection Criteria.
Note     •     History

(a) Each MHP shall establish individual, group, and organizational provider selection criteria that comply with the requirements of this Section, the terms of the contract between the MHP and the Department, and the MHP's Implementation Plan pursuant to Section 1810.310. 
(b) In selecting individual or group providers with which to contract, the MHP shall require that each individual or group provider: 
(1) Possess the necessary license or certification to practice psychotherapy independently. Each individual practicing as part of a group provider shall possess the necessary license or certification. 
(2) Maintain a safe facility. 
(3) Store and dispense medications in compliance with State and federal laws and regulations. 
(4) Maintain client records in a manner that meets state and federal standards. 
(5) Meet the MHP's Quality Management Program standards. 
(6) Meet any additional requirements established by the MHP as part of a credentialing or other evaluation process. 
(c) In selecting organizational providers with which to contract, the MHP shall require that each provider: 
(1) Possess the necessary license to operate. 
(2) Provide for appropriate supervision of staff. 
(3) Have as head of service a licensed mental health professional or mental health rehabilitation specialist as described in Sections 622 through 630. 
(4) Possess appropriate liability insurance. 
(5) Maintain a safe facility. 
(6) Store and dispense medications in compliance with all pertinent State and federal standards. 
(7) Maintain client records in a manner that meets State and federal standards. 
(8) Meet the MHP's Quality Management Program standards and requirements. 
(9) Have accounting and fiscal practices that are sufficient to comply with its obligations pursuant to Section 1840.105. 
(10) Meet any additional requirements established by the MHP as part of a credentialing or other evaluation process. 
(d) The MHP shall certify that a provider other than the MHP meets the criteria in subsections (b) or (c) prior to the provision of specialty mental health services under this Chapter, unless another time frame is provided in the contract between the Department and the MHP. For organizational providers, the MHP's certification process shall include an on site review in addition to a review of relevant documentation. The MHP may accept the certification of a provider by another MHP or by the Department. 
(e) When an organizational provider is the MHP, the Department shall certify that each specific office or facility owned or operated by the MHP meets the criteria in Subsections (b) and (c), of the contract between the Department and the MHP. Unless another time frame is provided in the contract between the Department and the MHP, the Department's certification shall be obtained by the MHP prior to use of the provider for the provision of specialty mental health services under this Chapter. The Department's certification process shall include an on-site review of the office or facility in addition to a review of relevant documentation. 
NOTE

Authority cited: Section 14680, Welfare and Institutions Code. Reference: Sections 5777 and 14684, Welfare and Institutions Code.
HISTORY

1. New section filed 10-31-97 as an emergency; operative 11-1-97 (Register 97, No. 44). A Certificate of Compliance must be transmitted to OAL by 3-2-98 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 3-2-98 as an emergency; operative 3-2-98 (Register 98, No. 10). A Certificate of Compliance must be transmitted to OAL by 6-30-98 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 6-17-98 as an emergency; operative 6-30-98 (Register 98, No. 25). Pursuant to Chapter 324 (Statutes of 1998) Item 4440-103-0001(4), a Certificate of Compliance must be transmitted to OAL by 7-1-99 or emergency language will be repealed by operation of law on the following day.
4. Editorial correction of History 3 (Register 98, No. 39).
5. Editorial correction extending Certificate of Compliance date to 7-1-2001 pursuant to Chapter 50 (Statutes of 1999) Item 4440-103-0001(4) (Register 99, No. 33). Notwithstanding any other provision of law, emergency regulations adopted pursuant to Welfare and Institutions Code section 14680 to implement the second phase of mental health managed care as provided in this part shall remain in effect until permanent regulations are adopted, or June 30, 2006, whichever occurs first.
6. Editorial correction of History 5 (Register 2000, No. 42). 
7. Editorial correction of History 5 and repealer and new section filed 5-19-2006; operative 6-18-2006 (Register 2006, No. 20). 
8. Amendment of subsection (d) filed 10-18-2010; operative 11-17-2010 (Register 2010, No. 43).
§1810.436. MHP Individual, Group and Organizational Provider Contracting Requirements.
Note     •     History

(a) At a minimum, a contract between an MHP and a provider shall meet federal contracting requirements as provided in Title 42, Code of Federal Regulations, Section 438.6(l), and shall include the following provisions: 
(1) Treatment requirements, as a condition for reimbursement, that ensure beneficiaries will receive the same level of services as provided to all other patients served. 
(2) Assurances that beneficiaries will not be discriminated against in any manner. 
(3) Specifics of how the provider shall make records available for authorized review for fiscal audits, program compliance and beneficiary complaints. 
(4) Language specifying that the rate included in the contract is considered to be payment in full, subject to third party liability and beneficiary share of cost, for the specialty mental health services provided to a beneficiary. 
(5) Requirements that the provider adhere to Title XIX of the Social Security Act and conform to other federal and State statutes and regulations. 
(6) If the contract is in excess of $10,000 and utilizes State funds, a provision that: “The contracting parties shall be subject to the examination and audit of the Auditor General for a period of three years after final payment under contract (Government Code section 8546.7).” The MHP shall also be subject to the examination and audit of the State Auditor General for a period of three years after final payment under contract (Government Code section 8546.7).
(b) For Individual, Group and Organizational Providers that conduct utilization management activities, the MHP must ensure that the compensation arrangements in the contract are not structured so as to provide incentives for the individual or entity to deny, limit or discontinue medically necessary services to any beneficiary.
(c) No provision of a contract shall be construed to replace or conflict with the duties of county patients' rights advocates described in Section 5520 of the Welfare and Institutions Code. 
(d) Written policies that address a beneficiary's rights as required by title 42 CFR section 438.100 shall be included in the contracts.
NOTE

Authority cited: Section 14680, Welfare and Institutions Code. Reference: Section 8546.7, Government Code; Sections 5777, 5778 and 14684, Welfare and Institutions Code; and Title 42, Code of Federal Regulations, Sections 438.6 and 438.100.
HISTORY

1. New section filed 10-31-97 as an emergency; operative 11-1-97 (Register 97, No. 44). A Certificate of Compliance must be transmitted to OAL by 3-2-98 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 3-2-98 as an emergency; operative 3-2-98 (Register 98, No. 10). A Certificate of Compliance must be transmitted to OAL by 6-30-98 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 6-17-98 as an emergency; operative 6-30-98 (Register 98, No. 25). Pursuant to Chapter 324 (Statutes of 1998) Item 4440-103-0001(4), a Certificate of Compliance must be transmitted to OAL by 7-1-99 or emergency language will be repealed by operation of law on the following day.
4. Editorial correction of History 3 (Register 98, No. 39).
5. Editorial correction extending Certificate of Compliance date to 7-1-2001 pursuant to Chapter 50 (Statutes of 1999) Item 4440-103-0001(4) (Register 99, No. 33). Notwithstanding any other provision of law, emergency regulations adopted pursuant to Welfare and Institutions Code section 14680 to implement the second phase of mental health managed care as provided in this part shall remain in effect until permanent regulations are adopted, or June 30, 2006, whichever occurs first.
6. Editorial correction of History 5 (Register 2000, No. 42). 
7. Editorial correction of History 5 and repealer and new section filed 5-19-2006; operative 6-18-2006 (Register 2006, No. 20). 
8. New subsections (a)(6)-(b) and (d), subsection relettering and amendment of Note filed 10-18-2010; operative 11-17-2010 (Register 2010, No. 43).
§1810.438. Alternative Contracts and Payment Arrangements Between MHPs and Providers.
Note     •     History

(a) Except as provided in Subsection (d), the MHP shall request approval from the Department to establish a contract with a provider for specialty mental health services where that provider is held financially responsible for specialty mental health services provided to beneficiaries by one or more other providers or to establish a payment arrangement with contract or non-contract providers that would not be allowed under this Chapter absent approval under this Section. 
(b) The MHP may request approval from the Department under this Section by submitting a written request to the Department containing a description of: 
(1) The proposed contract terms concerning reimbursement or the proposed payment arrangement. For providers that will conduct utilization management activities, the MHP must ensure that the compensation arrangements in the contract are not structured so as to provide incentives for the provider to deny, limit, or discontinue medically necessary services to any beneficiary.
(2) A complete description of the administrative system of the provider and the MHP that will ensure proper payment to the provider, claiming of the FFP available for services provided to Medi-Cal beneficiaries under the Medi-Cal program, and MHP and provider cost reporting. If the contract is in excess of $10,000 and utilizes State funds, a provision that: “The contracting parties shall be subject to the examination and audit of the Auditor General for a period of three years after final payment under contract (Government Code section 8546.7).” The MHP shall also be subject to the examination and audit of the State Auditor General for a period of three years after final payment under contract (Government Code section 8546.7).
(c) The MHP shall not implement the proposed contract terms or payment arrangement until written approval by the Department is received. The Department shall review the proposal and approve the request only if the following conditions are met: 
(1) The proposed contract or payment arrangement complies with federal and state requirements for reimbursement for specialty mental health services. 
(2) The MHP has established appropriate systems to prevent duplicate claiming of FFP. 
(3) The MHP has established appropriate procedures to assure that services provided under the contract or payment arrangement are reported by only one provider in cost and data reporting to the Department. 
(d) Written policies that address beneficiary's rights as required by title 42 CFR section 438.100 shall be included in the contracts.
(e) Contracts between the MHP and a Fee-for-Service/Medi-Cal hospital that include psychiatric inpatient hospital professional services pursuant to Section 5781 of the Welfare and Institutions Code shall not require approval from the Department. 
(f) Nothing in this Section shall exclude or exempt a provider from compliance with licensing requirements for health care service plans and specialized health care service plans under Section 1340 et seq. of the Health and Safety Code. 
(g) A negotiated case rate or capitation rate of payment between an MHP and a provider pursuant to this Section shall not be the basis for finding a violation of the requirements of Title 22, Sections 51501(a) or 51480 and shall not be the basis for otherwise reducing the provider's reimbursement pursuant to Title 22, Division 3, Subdivision 1, Chapter 3, Article 7. A case rate is a payment method that reimburses the provider a set rate per time period per patient who receives at least one service during the time period, regardless of the actual number of services provided. A capitation rate is a payment method that reimburses the provider a set rate per time period, usually per month, per identified patient for all services needed by the patient, whether or not any services are received. 
(h) The MHP shall obtain approval from the Department prior to implementing a Physician Incentive Plan as described at title 42 CFR section 438.6(h). The Department shall approve the MHP's request only if the proposed Physician Incentive Plan complies with all applicable federal and State regulations. 
NOTE

Authority cited: Section 14680, Welfare and Institutions Code. Reference: Section 8546.7, Government Code; Section 1340 et seq., Health and Safety Code; Sections 5777, 5778, 5781 and 14684, Welfare and Institutions Code; and 42 Code of Federal Regulations, Sections 438.6(h) and 438.100.
HISTORY

1. New section filed 10-31-97 as an emergency; operative 11-1-97 (Register 97, No. 44). A Certificate of Compliance must be transmitted to OAL by 3-2-98 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 3-2-98 as an emergency; operative 3-2-98 (Register 98, No. 10). A Certificate of Compliance must be transmitted to OAL by 6-30-98 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 6-17-98 as an emergency; operative 6-30-98 (Register 98, No. 25). Pursuant to Chapter 324 (Statutes of 1998) Item 4440-103-0001(4), a Certificate of Compliance must be transmitted to OAL by 7-1-99 or emergency language will be repealed by operation of law on the following day.
4. Editorial correction of History 3 (Register 98, No. 39).
5. Editorial correction extending Certificate of Compliance date to 7-1-2001 pursuant to Chapter 50 (Statutes of 1999) Item 4440-103-0001(4) (Register 99, No. 33). Notwithstanding any other provision of law, emergency regulations adopted pursuant to Welfare and Institutions Code section 14680 to implement the second phase of mental health managed care as provided in this part shall remain in effect until permanent regulations are adopted, or June 30, 2006, whichever occurs first.
6. Editorial correction of History 5 (Register 2000, No. 42). 
7. Editorial correction of History 5 and repealer and new section filed 5-19-2006; operative 6-18-2006 (Register 2006, No. 20). 
8. Amendment of subsections (b)(1)-(2), new subsections (d) and (h), subsection relettering and amendment of Note filed 10-18-2010; operative 11-17-2010 (Register 2010, No. 43).
§1810.439. Provider-Beneficiary Communications.
Note     •     History

In compliance with title 42 CFR section 438.102(a)(1), the MHP shall not prohibit, or otherwise restrict, a licensed, waivered or registered professional as defined in sections 1810.223 and 1810.254 acting within the lawful scope of practice, from advising or advocating on behalf of a beneficiary for whom the provider is providing mental health services.
NOTE

Authority cited: Section 14680, Welfare and Institutions Code. Reference: Sections 5777, 5778 and 14684, Welfare and Institutions Code, and Title 42 Code of Federal Regulations, Section 438.102(a)(1).
HISTORY

1. New section filed 10-18-2010; operative 11-17-2010 (Register 2010, No. 43).
§1810.440. MHP Quality Management Programs.
Note     •     History

The MHP shall establish a Quality Management Program in accordance with the terms of the contract between the MHP and the Department that includes at least the following elements: 
(a) A Quality Improvement Program responsible for reviewing the quality of specialty mental health services provided to beneficiaries by the MHP that: 
(1) Is accountable to the director of the MHP. 
(2) Has active involvement in planning, design and execution from: 
(A) Providers; 
(B) Beneficiaries who have accessed specialty mental health services through the MHP; and 
(C) Parents, spouses, relatives, legal representatives, or other persons similarly involved with beneficiaries who have accessed specialty mental health services. 
(3) Ensures that the persons participating in the Quality Improvement Program under Subsection (a)(2) shall not be subject to discrimination or any other penalty in their other relationships with the MHP as a result of their role in representing themselves and their constituencies in the Quality Improvement Program. 
(4) Includes substantial involvement of a licensed mental health professional. 
(5) Conducts monitoring activities including but not limited to review of beneficiary grievances, appeals, expedited appeals, fair hearings, expedited fair hearings, provider appeals, and clinical records review. 
(6) Is reviewed by the MHP and revised as appropriate annually. 
(b) A Utilization Management Program responsible for assuring that beneficiaries have appropriate access to specialty mental health services from the MHP that: 
(1) Assures that the access and authorization criteria established in this Chapter are met. 
(2) Conducts monitoring activities to ensure that the MHP meets the established standards for authorization decision making and takes action to improve performance if necessary. 
(3) Is reviewed by the MHP and revised as appropriate annually. 
(c) A beneficiary documentation and medical records system that meets the requirements of the contract between the MHP and the Department and requirements of State and federal law and regulation governing beneficiary documentation and medical records systems, including the following: 
(1) Client plans signed (or electronic equivalent) by: 
(A) The person providing the service(s), or 
(B) A person representing a team or program providing services, or 
(C) A person representing the MHP providing services. 
(2) Documentation of the beneficiaries' participation in and agreement with their client plans. Documentation of participation in and agreement with the client plan may include, but is not limited to reference in the client plan to the beneficiary's participation in and agreement with the client plan, the beneficiary's signature on the client plan, or a description in the medical record of the beneficiary's participation and agreement with the client plan, except as follows: 
(A) The MHP shall obtain the beneficiary's signature or the signature of the beneficiary's legal representative on the client plan when: 
1. The beneficiary is expected to be in long term treatment as determined by the MHP and 
2. The client plan provides that the beneficiary will be receiving more than one type of specialty mental health service. 
(B) When the beneficiary's signature or the signature of the beneficiary's legal representative is required on the client plan under Subsection (d)(1) and the beneficiary refuses to sign the client plan or is unavailable for signature, the client plan shall include a written explanation of the refusal or unavailability. 
NOTE

Authority cited: Section 14680, Welfare and Institutions Code. Reference: Sections 5777, 14683 and 14684, Welfare and Institutions Code.
HISTORY

1. New section filed 10-31-97 as an emergency; operative 11-1-97 (Register 97, No. 44). A Certificate of Compliance must be transmitted to OAL by 3-2-98 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 3-2-98 as an emergency; operative 3-2-98 (Register 98, No. 10). A Certificate of Compliance must be transmitted to OAL by 6-30-98 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 6-17-98 as an emergency; operative 6-30-98 (Register 98, No. 25). Pursuant to Chapter 324 (Statutes of 1998) Item 4440-103-0001(4), a Certificate of Compliance must be transmitted to OAL by 7-1-99 or emergency language will be repealed by operation of law on the following day.
4. Editorial correction of History 3 (Register 98, No. 39).
5. Editorial correction extending Certificate of Compliance date to 7-1-2001 pursuant to Chapter 50 (Statutes of 1999) Item 4440-103-0001(4) (Register 99, No. 33). Notwithstanding any other provision of law, emergency regulations adopted pursuant to Welfare and Institutions Code section 14680 to implement the second phase of mental health managed care as provided in this part shall remain in effect until permanent regulations are adopted, or June 30, 2006, whichever occurs first.
6. Editorial correction of History 5 (Register 2000, No. 42). 
7. Editorial correction of History 5 and repealer and new section filed 5-19-2006; operative 6-18-2006 (Register 2006, No. 20). 
Subchapter 2. Medi-Cal Psychiatric Inpatient Hospital Services
Article 1. Fiscal Provisions
§1820.100. Definitions.
Note     •     History

(a) “Allowable Psychiatric Accommodation Code” means a code that may be used by Fee-For-Service/Medi-Cal hospitals and MHPs to establish negotiated rates for psychiatric inpatient hospital services provided to beneficiaries. The allowable codes are: 
097 Psychiatric Acute (Adolescent and Child) 
114 Room and Board, Private, Psychiatric 
124 Room and Board, Semi-Private 2 Bed, Psychiatric 
134 Room and Board, Semi-Private 3 or 4 Bed, Psychiatric 
154 Room and Board -- Ward (Medical or General), Psychiatric 
169 Administrative Days 
204 Intensive Care, Psychiatric 
(b) “Located” means the actual physical location of a hospital, and unless otherwise specified, refers to the specific county within the geographic boundaries of which the hospital exists. 
(c) “Per Diem Rate” means a daily rate paid for reimbursable psychiatric inpatient hospital services for a beneficiary for the day of admission and each day that services are provided excluding the day of discharge. 
NOTE

Authority cited: Section 14680, Welfare and Institutions Code. Reference: Sections 5777, 5778 and 14684, Welfare and Institutions Code.
HISTORY

1. New subchapter 2, article 1 (sections 1820.100-1820.120) and section filed 10-31-97 as an emergency; operative 11-1-97 (Register 97, No. 44). A Certificate of Compliance must be transmitted to OAL by 3-2-98 or emergency language will be repealed by operation of law on the following day.
2. New subchapter 2, article 1 (sections 1820.100-1820.120) and section refiled 3-2-98 as an emergency; operative 3-2-98 (Register 98, No. 10). A Certificate of Compliance must be transmitted to OAL by 6-30-98 or emergency language will be repealed by operation of law on the following day.
3. New subchapter 2, article 1 (sections 1820.100-1820.120) and section refiled 6-17-98 as an emergency; operative 6-30-98 (Register 98, No. 25). Pursuant to Chapter 324 (Statutes of 1998) Item 4440-103-0001(4), a Certificate of Compliance must be transmitted to OAL by 7-1-99 or emergency language will be repealed by operation of law on the following day.
4. Editorial correction of History 3 (Register 98, No. 39).
5. Editorial correction extending Certificate of Compliance date to 7-1-2001 pursuant to Chapter 50 (Statutes of 1999) Item 4440-103-0001(4) (Register 99, No. 33). Notwithstanding any other provision of law, emergency regulations adopted pursuant to Welfare and Institutions Code section 14680 to implement the second phase of mental health managed care as provided in this part shall remain in effect until permanent regulations are adopted, or June 30, 2006, whichever occurs first.
6. Editorial correction of History 5 (Register 2000, No. 42). 
7. Editorial correction of History 5 and repealer and new section filed 5-19-2006; operative 6-18-2006 (Register 2006, No. 20). 
§1820.110. Rate Setting for Psychiatric Inpatient Hospital Services for Negotiated Rate, Fee-for-Service/Medi-Cal Hospitals.
Note     •     History

(a) Except as approved by the Department pursuant to Section 1810.438, reimbursement for acute psychiatric inpatient hospital services for each Fee-for-Service/Medi-Cal hospital with a contract with any MHP, shall be based on a per diem rate established through negotiations between the hospital and the MHP in the county in which the hospital is located except when: 
(1) The MHP from the county in which the hospital is located delegates the rate negotiation responsibilities to an MHP in another county with the agreement of that MHP. 
(2) The MHP from the county in which the hospital is located declines to contract with the hospital or is otherwise exempt from contracting under this Subchapter and another MHP wants to negotiate rates. The MHP shall request approval from the Department to be designated as the negotiator. The Department shall approve the request unless approval has already been given to another MHP. 
(3) The hospital is located in a border community and an MHP wants to negotiate rates. The MHP shall request approval from the Department to be designated as the negotiator. 
(4) A hospital is owned or operated by the same organizational entity as the MHP. The per diem rate must be submitted by the MHP and approved by the Department. The Department shall approve a per diem rate submitted by the MHP if it is not greater than the highest per diem rate within the State, negotiated by a different MHP for a different hospital. 
(b) Except as approved by the Department pursuant to Section 1810.438, the per diem rate shall include routine hospital services and all hospital-based ancillary services. 
(c) Except as approved by the Department pursuant to Section 1810.438, only one rate for each allowable psychiatric accommodation code for each negotiated rate Fee-for-Service/Medi-Cal hospital may be established and shall be used by all MHPs with that hospital. The negotiated rate shall not be subject to retrospective adjustment to cost. 
(d) Except as approved by the Department pursuant to Section 1810.438, reimbursement for administrative day services shall be the rate established in accordance with Title 22, Section 51542 except for facility-specific reimbursements determined by the State Department of Health Services in accordance with Title 22, Section 51511(a)(2)(B) plus an allowance for hospital-based ancillary services equal to 25 percent of the maximum rate established under Title 22, Section 51542(a)(3). 
(e) For both acute psychiatric inpatient hospital services and administrative day services, reimbursement to the hospital shall be based on the per diem rate, less third party liability and patient share of cost. 
(f) Except as approved by the Department pursuant to Section 1810.438, the hospital shall submit reimbursement claims for Medi-Cal psychiatric inpatient hospital services to the fiscal intermediary based on its usual and customary charges. 
(g) Except as approved by the Department pursuant to Section 1810.438, at the end of each fiscal year, the Department shall compare, in aggregate, usual and customary charges to per diem rate for each hospital. Future claims shall be offset by the amount that the per diem rate exceeds the usual and customary charges for that fiscal year. 
(h) Except as approved by the Department pursuant to Section 1810.438, the per diem rate included in the contract less third party liability and patient share of costs shall be considered to be payment in full for acute psychiatric inpatient hospital services to a beneficiary. The per diem rate established pursuant to Subsection (d) less third party liability and patient share of costs shall be considered to be payment in full for administrative day services to a beneficiary. 
(i) The MHP shall not be responsible to reimburse Fee-for-Service/Medi-Cal hospitals that deliver Medicare covered services to a beneficiary for any Medicare coinsurance and deductible payments due to the provider from the Medi-Cal program pursuant to Title 42, United States Code, Section 1396a(a)(n). 
NOTE

Authority cited: Section 14680, Welfare and Institutions Code. Reference: Sections 5777, 5778 and 14684, Welfare and Institutions Code; and Title 42, United States Code, Section 1396a(a)(n).
HISTORY

1. New section filed 10-31-97 as an emergency; operative 11-1-97 (Register 97, No. 44). A Certificate of Compliance must be transmitted to OAL by 3-2-98 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 3-2-98 as an emergency; operative 3-2-98 (Register 98, No. 10). A Certificate of Compliance must be transmitted to OAL by 6-30-98 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 6-17-98 as an emergency; operative 6-30-98 (Register 98, No. 25). Pursuant to Chapter 324 (Statutes of 1998) Item 4440-103-0001(4), a Certificate of Compliance must be transmitted to OAL by 7-1-99 or emergency language will be repealed by operation of law on the following day.
4. Editorial correction of History 3 (Register 98, No. 39).
5. Editorial correction extending Certificate of Compliance date to 7-1-2001 pursuant to Chapter 50 (Statutes of 1999) Item 4440-103-0001(4) (Register 99, No. 33). Notwithstanding any other provision of law, emergency regulations adopted pursuant to Welfare and Institutions Code section 14680 to implement the second phase of mental health managed care as provided in this part shall remain in effect until permanent regulations are adopted, or June 30, 2006, whichever occurs first.
6. Editorial correction of History 5 (Register 2000, No. 42). 
7. Editorial correction of History 5 and repealer and new section filed 5-19-2006; operative 6-18-2006 (Register 2006, No. 20). 
§1820.115. Rate Setting for Psychiatric Inpatient Hospital Services for Non-Negotiated Rate, Fee-for-Service/Medi-Cal Hospitals.
Note     •     History

(a) Reimbursement rates for acute psychiatric inpatient hospital services for each Fee-for-Service/Medi-Cal hospital with no contract with any MHP shall be determined by the Department. 
(1) The reimbursement rates in Subsection (a) shall be calculated by the Department prior to the beginning of each fiscal year and shall not be modified for subsequent rate changes among Fee-for-Service/Medi-Cal contract hospitals or the addition of new Fee-for Service/Medi-Cal contract hospitals. 
(2) One rate per allowable psychiatric accommodation code per non-negotiated rate, Fee-for-Service/Medi-Cal hospital per Rate Region listed in Subsection (i) shall be established and shall be used by all MHPs. 
(3) The rates shall not be subject to retrospective adjustment to cost. 
(b) The per diem rate includes routine hospital services and all hospital-based ancillary services. 
(c) The per diem rate by accommodation code shall equal the weighted average per diem rates by accommodation code negotiated for all Fee-for-Service/Medi-Cal hospitals within the Rate Region listed in Subsection (i) where the non-negotiated rate Fee-for-Service/Medi-Cal hospital is located or, if there are no Fee-for-Service/Medi-Cal hospitals with a negotiated rate by accommodation code within the Rate Region, the weighted average per diem rates by accommodation code negotiated for all Fee-for-Service/Medi-Cal hospitals statewide. The per diem rate shall be based on the following information from each Fee-for-Service/Medi-Cal hospital with a contract in the Rate Region where the non-negotiated rate Fee-for-Service/Medi-Cal hospital is located or statewide, if there are no Fee-for-Service/Medi-Cal hospitals with a negotiated rate by accommodation code within the Rate Region: 
(1) The latest available fiscal year Medi-Cal paid claims data for Fee-for-Service/Medi-Cal acute psychiatric inpatient hospital services patient days. 
(2) The negotiated per diem rates by accommodation code for Fee-for-Service/Medi-Cal hospitals for the subsequent fiscal year. 
(d) Reimbursement for administrative day services shall be the rate established in accordance with Title 22, Section 51542, except for facility-specific reimbursements determined by the State Department of Health Services in accordance with Title 22, Section 51511(a)(2)(B), plus an allowance for hospital-based ancillary services equal to 25 percent of the maximum rate established under Title 22, Section 51542(a)(3). 
(e) For both acute psychiatric inpatient hospital services and administrative day services, interim reimbursement to the non-negotiated rate Fee-for-Service/Medi-Cal hospital shall be based on the calculated per diem rate less third party liability and patient share of cost. 
(f) The hospital shall bill its usual and customary charges. 
(g) At the end of each fiscal year, the Department shall compare, in aggregate, the usual and customary charges to the per diem rate for each hospital. Future claims shall be offset by the amount that the per diem rate exceeds the usual and customary charges for that fiscal year. 
(h) The per diem rates established by this Section less third party liability and patient share of costs shall be considered to be payment in full for psychiatric inpatient hospital services to a beneficiary. 
(i) The Rate Regions, including specified border communities, are: 
(1) Superior -- Butte, Colusa, Del Norte, Glenn, Humboldt, Inyo, Lake, Lassen, Mendocino, Modoc, Nevada, Plumas, Shasta, Sierra, Siskiyou, Tehama, and Trinity Counties, and Ashland, Brookings, Cave Junction, Grants Pass, Jacksonville, Klamath Falls, Lakeview, Medford, and Merrill, Oregon. 
(2) Central Valley -- Alpine, Amador, Calaveras, El Dorado, Fresno, Kings, Madera, Mariposa, Merced, Mono, Placer, Sacramento, San Joaquin, Stanislaus, Sutter, Tulare, Tuolumne, Yolo, and Yuba Counties, and Carson City, Incline Village, Minden, Reno, Sparks, and Zephyr Cove, Nevada. 
(3) Bay Area -- Alameda, Contra Costa, Marin, Monterey, Napa, San Benito, San Francisco, San Mateo, Santa Clara, Santa Cruz, Solano, and Sonoma Counties. 
(4) Southern California -- Imperial, Kern, Orange, Riverside, San Bernardino, San Diego, San Luis Obispo, Santa Barbara, and Ventura Counties, and Las Vegas and Henderson, Nevada; and Bullhead City, Kingman, Lake Havasu City, Parker and Yuma, Arizona. 
(5) Los Angeles County. 
(j) The MHP shall not be responsible to reimburse Fee-for-Service/Medi-Cal hospitals that deliver Medicare covered services to a beneficiary for any Medicare coinsurance and deductible payments due to the provider from the Medi-Cal program pursuant to Title 42, United States Code, Section 1396a(a)(n). 
NOTE

Authority cited: Section 14680, Welfare and Institutions Code. Reference: Sections 5777, 5778 and 14684, Welfare and Institutions Code; and Title 42, United States Code, Section 1396a(a)(n).
HISTORY

1. New section filed 10-31-97 as an emergency; operative 11-1-97 (Register 97, No. 44). A Certificate of Compliance must be transmitted to OAL by 3-2-98 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 3-2-98 as an emergency; operative 3-2-98 (Register 98, No. 10). A Certificate of Compliance must be transmitted to OAL by 6-30-98 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 6-17-98 as an emergency; operative 6-30-98 (Register 98, No. 25). Pursuant to Chapter 324 (Statutes of 1998) Item 4440-103-0001(4), a Certificate of Compliance must be transmitted to OAL by 7-1-99 or emergency language will be repealed by operation of law on the following day.
4. Editorial correction of History 3 (Register 98, No. 39).
5. Editorial correction extending Certificate of Compliance date to 7-1-2001 pursuant to Chapter 50 (Statutes of 1999) Item 4440-103-0001(4) (Register 99, No. 33). Notwithstanding any other provision of law, emergency regulations adopted pursuant to Welfare and Institutions Code section 14680 to implement the second phase of mental health managed care as provided in this part shall remain in effect until permanent regulations are adopted, or June 30, 2006, whichever occurs first.
6. Editorial correction of History 5 (Register 2000, No. 42). 
7. Editorial correction of History 5 and repealer and new section filed 5-19-2006; operative 6-18-2006 (Register 2006, No. 20). 
§1820.120. Rate Setting for Psychiatric Inpatient Hospital Services for Short-Doyle/Medi-Cal Hospitals.
Note     •     History

(a) Except as approved by the Department pursuant to Section 1810.438, reimbursement for acute psychiatric inpatient hospital services for Short-Doyle/Medi-Cal hospitals shall be established in accordance with Section 1840.105. 
(b) Except as approved by the Department pursuant to Section 1810.438, reimbursement for administrative day services for Short-Doyle/Medi-Cal hospitals shall be established in accordance with Title 22, Section 51542. 
NOTE

Authority cited: Section 14680, Welfare and Institutions Code. Reference: Sections 5720 and 5724, Welfare and Institutions Code.
HISTORY

1. New section filed 10-31-97 as an emergency; operative 11-1-97 (Register 97, No. 44). A Certificate of Compliance must be transmitted to OAL by 3-2-98 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 3-2-98 as an emergency; operative 3-2-98 (Register 98, No. 10). A Certificate of Compliance must be transmitted to OAL by 6-30-98 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 6-17-98 as an emergency; operative 6-30-98 (Register 98, No. 25). Pursuant to Chapter 324 (Statutes of 1998) Item 4440-103-0001(4), a Certificate of Compliance must be transmitted to OAL by 7-1-99 or emergency language will be repealed by operation of law on the following day.
4. Editorial correction of History 3 (Register 98, No. 39).
5. Editorial correction extending Certificate of Compliance date to 7-1-2001 pursuant to Chapter 50 (Statutes of 1999) Item 4440-103-0001(4) (Register 99, No. 33). Notwithstanding any other provision of law, emergency regulations adopted pursuant to Welfare and Institutions Code section 14680 to implement the second phase of mental health managed care as provided in this part shall remain in effect until permanent regulations are adopted, or June 30, 2006, whichever occurs first.
6. Editorial correction of History 5 (Register 2000, No. 42). 
7. Editorial correction of History 5 and repealer and new section filed 5-19-2006; operative 6-18-2006 (Register 2006, No. 20). 
Article 2. Provision of Services
§1820.200. Definitions.
Note     •     History

(a) “Adverse Decision” means denial or termination of an MHP payment authorization by the MHP's Point of Authorization or by a Short-Doyle/Medi-Cal hospital's Utilization Review Committee that determines the MHP's authorization for payment. 
(b) “Continued Stay Services” means psychiatric inpatient hospital services for beneficiaries that occur after admission. 
(c) “County Medical Services Program” means the service delivery and payment system for health care for low-income persons who are not eligible for Medi-Cal and which is administered by the State Department of Health Services for counties. 
(d) “Emergency Admission” means an admission of a beneficiary to a hospital due to an emergency psychiatric condition for psychiatric inpatient hospital services. 
(e) “Planned Admission” means an admission of a beneficiary to a hospital with a contract with an MHP for the purpose of providing medically necessary treatment that cannot be provided in another setting or a lower level of care and is not an emergency admission. Planned admissions may occur in a non-contract hospital pursuant to the MHP's Implementation Plan, as provided in Section 1810.310(a)(7) of this Chapter. 
(f) “Utilization Review Committee” means a committee that reviews services provided to determine appropriateness for psychiatric inpatient hospital services, identifies problems with quality of care, and meets the requirements of Title 42, Code of Federal Regulations, Chapter IV, Subchapter C, Part 456, Subpart D. 
NOTE

Authority cited: Section 14680, Welfare and Institutions Code. Reference: Section 5777, Welfare and Institutions Code.
HISTORY

1. New article 2 (sections 1820.200-1820.230) and section filed 10-31-97 as an emergency; operative 11-1-97 (Register 97, No. 44). A Certificate of Compliance must be transmitted to OAL by 3-2-98 or emergency language will be repealed by operation of law on the following day.
2. New article 2 (sections 1820.200-1820.230) and section refiled 3-2-98 as an emergency; operative 3-2-98 (Register 98, No. 10). A Certificate of Compliance must be transmitted to OAL by 6-30-98 or emergency language will be repealed by operation of law on the following day.
3. New article 2 (sections 1820.200-1820.230) and section refiled 6-17-98 as an emergency; operative 6-30-98 (Register 98, No. 25). Pursuant to Chapter 324 (Statutes of 1998) Item 4440-103-0001(4), a Certificate of Compliance must be transmitted to OAL by 7-1-99 or emergency language will be repealed by operation of law on the following day.
4. Editorial correction of History 3 (Register 98, No. 39).
5. Editorial correction extending Certificate of Compliance date to 7-1-2001 pursuant to Chapter 50 (Statutes of 1999) Item 4440-103-0001(4) (Register 99, No. 33). Notwithstanding any other provision of law, emergency regulations adopted pursuant to Welfare and Institutions Code section 14680 to implement the second phase of mental health managed care as provided in this part shall remain in effect until permanent regulations are adopted, or June 30, 2006, whichever occurs first.
6. Editorial correction of History 5 (Register 2000, No. 42). 
7. Editorial correction of History 5 and repealer and new section filed 5-19-2006; operative 6-18-2006 (Register 2006, No. 20). 
§1820.205. Medical Necessity Criteria for Reimbursement of Psychiatric Inpatient Hospital Services.
Note     •     History

(a) For Medi-Cal reimbursement for an admission to a hospital for psychiatric inpatient hospital services, the beneficiary shall meet medical necessity criteria set forth in Subsections (a)(1)-(2) below: 
(1) One of the following diagnoses in the Diagnostic and Statistical Manual of Mental Disorders, Fourth Edition, DSM-IVE (1994), published by the American Psychiatric Association: 
(A) Pervasive Developmental Disorders 
(B) Disruptive Behavior and Attention Deficit Disorders 
(C) Feeding and Eating Disorders of Infancy or Early Childhood 
(D) Tic Disorders 
(E) Elimination Disorders 
(F) Other Disorders of Infancy, Childhood, or Adolescence 
(G) Cognitive Disorders (only Dementias with Delusions, or Depressed Mood) 
(H) Substance Induced Disorders, only with Psychotic, Mood, or Anxiety Disorder 
(I) Schizophrenia and Other Psychotic Disorders 
(J) Mood Disorders 
(K) Anxiety Disorders 
(L) Somatoform Disorders 
(M) Dissociative Disorders 
(N) Eating Disorders 
(O) Intermittent Explosive Disorder 
(P) Pyromania 
(Q) Adjustment Disorders 
(R) Personality Disorders 
(2) Both the following criteria: 
(A) Cannot be safely treated at a lower level of care, except that a beneficiary who can be safely treated with crisis residential treatment services or psychiatric health facility services for an acute psychiatric episode shall be considered to have met this criterion; and 
(B) Requires psychiatric inpatient hospital services, as the result of a mental disorder, due to the indications in either Subsection (a)(2)(B)1. or 2. below: 
1. Has symptoms or behaviors due to a mental disorder that (one of the following): 
a. Represent a current danger to self or others, or significant property destruction. 
b. Prevent the beneficiary from providing for, or utilizing, food, clothing or shelter. 
c. Present a severe risk to the beneficiary's physical health. 
d. Represent a recent, significant deterioration in ability to function. 
2. Require admission for one of the following: 
a. Further psychiatric evaluation. 
b. Medication treatment. 
c. Other treatment that can reasonably be provided only if the patient is hospitalized. 
(b) Continued stay services in a hospital shall only be reimbursed when a beneficiary experiences one of the following: 
(1) Continued presence of indications that meet the medical necessity criteria as specified in (a). 
(2) Serious adverse reaction to medications, procedures or therapies requiring continued hospitalization. 
(3) Presence of new indications that meet medical necessity criteria specified in (a). 
(4) Need for continued medical evaluation or treatment that can only be provided if the beneficiary remains in a hospital. 
NOTE

Authority cited: Section 14680, Welfare and Institutions Code. Reference: Sections 5777, 5778 and 14684, Welfare and Institutions Code.
HISTORY

1. New section filed 10-31-97 as an emergency; operative 11-1-97 (Register 97, No. 44). A Certificate of Compliance must be transmitted to OAL by 3-2-98 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 3-2-98 as an emergency; operative 3-2-98 (Register 98, No. 10). A Certificate of Compliance must be transmitted to OAL by 6-30-98 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 6-17-98 as an emergency; operative 6-30-98 (Register 98, No. 25). Pursuant to Chapter 324 (Statutes of 1998) Item 4440-103-0001(4), a Certificate of Compliance must be transmitted to OAL by 7-1-99 or emergency language will be repealed by operation of law on the following day.
4. Editorial correction of History 3 (Register 98, No. 39).
5. Editorial correction extending Certificate of Compliance date to 7-1-2001 pursuant to Chapter 50 (Statutes of 1999) Item 4440-103-0001(4) (Register 99, No. 33). Notwithstanding any other provision of law, emergency regulations adopted pursuant to Welfare and Institutions Code section 14680 to implement the second phase of mental health managed care as provided in this part shall remain in effect until permanent regulations are adopted, or June 30, 2006, whichever occurs first.
6. Editorial correction of History 5 (Register 2000, No. 42). 
7. Editorial correction of History 5 and repealer and new section filed 5-19-2006; operative 6-18-2006 (Register 2006, No. 20). 
§1820.210. Hospital Utilization Control.
Note     •     History

All hospitals shall comply with Federal requirements for utilization control pursuant to Title 42, Code of Federal Regulations, Chapter IV, Subchapter C, Part 456, Subpart D. These requirements include certification of need for care, evaluation and medical review, plans of care and utilization review plan. Each hospital shall establish a Utilization Review Committee to determine whether admission and length of stay are appropriate to level of care and to identify problems with quality of care. Composition of the committee shall meet the requirements of Title 42, Code of Federal Regulations, Chapter IV, Subchapter C, Part 456, Subpart D. 
NOTE

Authority cited: Section 14680, Welfare and Institutions Code. Reference: Sections 5777 and 5778, Welfare and Institutions Code.
HISTORY

1. New section filed 10-31-97 as an emergency; operative 11-1-97 (Register 97, No. 44). A Certificate of Compliance must be transmitted to OAL by 3-2-98 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 3-2-98 as an emergency; operative 3-2-98 (Register 98, No. 10). A Certificate of Compliance must be transmitted to OAL by 6-30-98 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 6-17-98 as an emergency; operative 6-30-98 (Register 98, No. 25). Pursuant to Chapter 324 (Statutes of 1998) Item 4440-103-0001(4), a Certificate of Compliance must be transmitted to OAL by 7-1-99 or emergency language will be repealed by operation of law on the following day.
4. Editorial correction of History 3 (Register 98, No. 39).
5. Editorial correction extending Certificate of Compliance date to 7-1-2001 pursuant to Chapter 50 (Statutes of 1999) Item 4440-103-0001(4) (Register 99, No. 33). Notwithstanding any other provision of law, emergency regulations adopted pursuant to Welfare and Institutions Code section 14680 to implement the second phase of mental health managed care as provided in this part shall remain in effect until permanent regulations are adopted, or June 30, 2006, whichever occurs first.
6. Editorial correction of History 5 (Register 2000, No. 42). 
7. Editorial correction of subsection (a) (Register 2000, No. 44). 
8. Editorial correction of History 5 and repealer and new section filed 5-19-2006; operative 6-18-2006 (Register 2006, No. 20). 
§1820.215. MHP Payment Authorization--General Provisions.
Note     •     History

(a) The MHP payment authorization shall be determined for: 
(1) Fee-for-Service/Medi-Cal hospitals, by an MHP's Point of Authorization. 
(2) Short-Doyle/Medi-Cal hospitals contracting with the MHP, by either: 
(A) An MHP's Point of Authorization, or 
(B) The hospital's Utilization Review Committee, as agreed to in the contract. 
(3) Short-Doyle/Medi-Cal hospitals that do not have a contract with the MHP, by an MHP's Point of Authorization. 
(b) The MHP that approves the MHP payment authorization shall have financial responsibility as described in this Chapter for the services authorized, unless financial responsibility is assigned to another entity pursuant to Sections 1850.405 and 1850.505 or unless the services are provided to individuals eligible for the County Medical Services Program (CMSP). Services provided to individuals eligible for the CMSP shall be authorized by the MHP for that county, but the MHP will not be responsible for payment of those services. 
(c) MHP payment authorization requests presented for authorization beyond the timelines specified in this Subchapter shall be accepted for consideration by the MHP when the MHP determines that the hospital was prevented from submitting a timely request because of a reason that meets one of the criteria specified below. The MHP may accept MHP payment authorization requests presented beyond the timelines specified in the Subchapter for other acceptable reasons as determined by the MHP. The hospital shall submit factual documentation deemed necessary by the MHP with the MHP payment authorization request. Any additional documentation requested by the MHP shall be submitted within 60 calendar days of the MHP's request. The documentation shall verify that the late submission was due to: 
(1) A natural disaster that has: 
(A) Destroyed or damaged the hospital's business office or records; or 
(B) Substantially interfered with the hospital's agent's processing of requests for MHP payment authorization; or 
(2) Delays caused by other circumstances beyond the hospital's control. Documentation shall include evidence that the circumstance causing the delay was reported to a law enforcement or fire agency, if the circumstance is required to be reported. Circumstances not considered beyond the control of the hospital include but are not limited to: 
(A) Negligence by employees. 
(B) Misunderstanding of program requirements. 
(C) Illness or absence of any employee trained to prepare MHP payment authorizations. 
(D) Delays caused by the United States Postal Service or any private delivery service. 
NOTE

Authority cited: Section 14680, Welfare and Institutions Code. Reference: Sections 5777, 5778 and 14684, Welfare and Institutions Code.
HISTORY

1. New section filed 10-31-97 as an emergency; operative 11-1-97 (Register 97, No. 44). A Certificate of Compliance must be transmitted to OAL by 3-2-98 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 3-2-98 as an emergency; operative 3-2-98 (Register 98, No. 10). A Certificate of Compliance must be transmitted to OAL by 6-30-98 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 6-17-98 as an emergency; operative 6-30-98 (Register 98, No. 25). Pursuant to Chapter 324 (Statutes of 1998) Item 4440-103-0001(4), a Certificate of Compliance must be transmitted to OAL by 7-1-99 or emergency language will be repealed by operation of law on the following day.
4. Editorial correction of History 3 (Register 98, No. 39).
5. Editorial correction extending Certificate of Compliance date to 7-1-2001 pursuant to Chapter 50 (Statutes of 1999) Item 4440-103-0001(4) (Register 99, No. 33). Notwithstanding any other provision of law, emergency regulations adopted pursuant to Welfare and Institutions Code section 14680 to implement the second phase of mental health managed care as provided in this part shall remain in effect until permanent regulations are adopted, or June 30, 2006, whichever occurs first.
6. Editorial correction of History 5 (Register 2000, No. 42). 
7. Editorial correction of History 5 and repealer and new section filed 5-19-2006; operative 6-18-2006 (Register 2006, No. 20). 
§1820.220. MHP Payment Authorization by a Point of Authorization.
Note     •     History

(a) A hospital shall submit a separate written request for MHP payment authorization of psychiatric inpatient hospital services to the Point of Authorization of the beneficiary's MHP for each of the following: 
(1) The planned admission of a beneficiary. 
(2) Ninety-nine calendar days of continuous service to a beneficiary, if the hospital stay exceeds that period of time. 
(3) Upon discharge. 
(4) Services that qualify for Medical Assistance Pending Fair Hearing (Aid Paid Pending). 
(5) Administrative day services that are requested for a beneficiary. 
(b) A hospital shall submit the request for MHP payment authorization for psychiatric inpatient hospital services to the Point of Authorization of the beneficiary's MHP not later than: 
(1) Prior to a planned admission. 
(2) Within 14 calendar days after: 
(A) Ninety-nine calendar days of continuous service to a beneficiary if the hospital stay exceeds that period of time. 
(B) Discharge. 
(C) The date that a beneficiary qualifies for Medical Assistance Pending Fair Hearing (Aid Paid Pending). 
(c) Except as approved by the Department pursuant to Section 1810.438, a written request for MHP payment authorization to the Point of Authorization shall be in the form of: 
(1) A Treatment Authorization Request (TAR) for Fee-for-Service/Medi-Cal hospitals; or 
(2) As specified by the MHP for Short-Doyle/Medi-Cal hospitals. 
(d) The Point of Authorization staff that approve or deny payment shall be licensed mental health or waivered/registered professionals of the beneficiary's MHP. 
(e) Except as approved by the Department pursuant to Section 1810.438, approval or disapproval for each MHP payment authorization shall be documented by the Point of Authorization in writing: 
(1) On the same TAR on which the Fee-for-Service/ Medi-Cal hospital requested MHP payment authorization or 
(2) In an MHP payment authorization log maintained by the MHP for Short-Doyle/Medi-Cal hospitals. 
(f) In accordance with title 42 CFR section 438.210(b)(2)(ii), the MHP shall consult with a hospital requesting authorization when appropriate.
(g) The MHP shall document that all adverse decisions regarding hospital requests for MHP payment authorization based on medical necessity criteria or the criteria for emergency admission were reviewed and approved: 
(1) by a physician, or 
(2) at the discretion of the MHP, by a psychologist for patients admitted by a psychologist and who received services under the psychologist's scope of practice. 
(h) A request for an MHP payment authorization may be denied by a Point of Authorization if the request is not submitted in accordance with timelines in this Subchapter or does not meet medical necessity reimbursement criteria in Section 1820.205 or emergency psychiatric condition criteria in Section 1820.225(b) on an emergency admission or if the hospital has failed to meet any other mandatory requirements of the contract negotiated between the hospital and the MHP. 
(i) A Point of Authorization shall approve or deny the request for MHP payment authorization within 14 calendar days of the receipt of the request and, for a request from a Fee-for-Service Medi-Cal hospital, shall submit the TAR to the fiscal intermediary within 14 calendar days of approval or denial. The MHP shall consider a possible extension in accordance with timelines of title 42 CFR section 438.210(d)(1). If the MHP extends the timeframe, the MHP shall provide the beneficiary with written notice of the decision on the date the decision to extend is made. The notice to the beneficiary shall advise the beneficiary of the reason for the decision and the beneficiary's right to file a grievance if the beneficiary disagrees with the decision. The Point of Authorization shall provide for an expedited review of an MHP payment authorization request in accordance with title 42, Code of Federal Regulations, Section 438.210(d)(2), when the MHP determines or the hospital certifies that following the 14 calendar day time frame would seriously jeopardize the beneficiary's life, health or ability to attain, maintain or regain maximum function. 
(j) Point of Authorization staff may authorize payments for up to seven calendar days in advance of service provision. 
(k) In accordance with title 42 CFR section 438.210(c), the MHP shall notify the requesting provider of any decision to deny an MHP payment authorization request, or to authorize a service in an amount, duration or scope that is less than requested. The notice to the provider need not be in writing. 
(l) Approval of the MHP payment authorization by a Point of Authorization requires that: 
(1) Planned admission requests for an MHP's payment authorization shall be approved when written documentation provided indicates that the beneficiary meets medical necessity criteria for reimbursement of psychiatric inpatient hospital services, as specified in Section 1820.205, any other requirements of this Subchapter that apply to the admission, and any mandatory requirements of the contract negotiated between the hospital and the MHP. The request shall be submitted and approved prior to admission. 
(2) Emergency admissions shall not be subject to prior MHP payment authorization. 
(3) A request for MHP payment authorization for continued stay services shall be submitted to the Point of Authorization as follows: 
(A) A contract hospital's request shall be submitted within the timelines specified in the contract. If the contract does not specify timelines, the contract hospital shall be subject to the same timeline requirements as the non-contract hospitals. 
(B) A non-contract hospital's request shall be submitted to the Point of Authorization not later than: 
1. Within 14 calendar days after the beneficiary is discharged from the hospital, or 
2. Within 14 calendar days after a beneficiary has received 99 continuous calendar days of psychiatric inpatient hospital services. 
(4) Requests for MHP payment authorization for continued stay services shall be approved if written documentation has been provided to the MHP indicating that the beneficiary met the medical necessity reimbursement criteria for acute psychiatric inpatient hospital services for each day of service in addition to requirements for timeliness of notification and any mandatory requirements of the contract negotiated between the hospital and the MHP. 
(5) Requests for MHP payment authorization for administrative day services shall be approved by an MHP when the following conditions are met in addition to requirements for timeliness of notification and any mandatory requirements of the contract negotiated between the hospital and the MHP: 
(A) During the hospital stay, a beneficiary previously has met medical necessity criteria for reimbursement of acute psychiatric inpatient hospital services. 
(B) There is no appropriate, non-acute residential treatment facility in a reasonable geographic area and a hospital documents contacts with a minimum of five appropriate, non-acute residential treatment facilities per week subject to the following requirements: 
1. Point of Authorization staff may waive the requirements of five contacts per week if there are fewer than five appropriate, non-acute residential treatment facilities available as placement options for the beneficiary. In no case shall there be less than one contact per week. 
2. The lack of placement options at appropriate, non-acute residential treatment facilities and the contacts made at appropriate facilities shall be documented to include but not be limited to: 
a. The status of the placement option. 
b. Date of the contact. 
c. Signature of the person making the contact. 
(C) An MHP may submit a request to the Department for approval to use an alternative to the procedures described in Subsection (j)(5)(B). The Department shall approve the request if the MHP establishes to the satisfaction of the Department that the alternative ensures that placement options for beneficiaries who are receiving administrative days are being considered in a timely manner. 
(D) For beneficiaries also eligible under Medicare (Part A) who have received acute psychiatric inpatient hospital services which were approved for Medicare (Part A) coverage, the hospital has notified the Point of Authorization within 24 hours or as specified in the contract, prior to beginning administrative day services. 
(6) Medical Assistance Pending Fair Hearing Decision requests for MHP payment authorization by a hospital shall be approved by an MHP when necessary documentation, as specified in Section 1850.215, is submitted. 
NOTE

Authority cited: Section 14680, Welfare and Institutions Code. Reference: Sections 5777, 5778 and 14684, Welfare and Institutions Code; and Title 42, Code of Federal Regulations, Section 438.210.
HISTORY

1. New section filed 10-31-97 as an emergency; operative 11-1-97 (Register 97, No. 44). A Certificate of Compliance must be transmitted to OAL by 3-2-98 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 3-2-98 as an emergency; operative 3-2-98 (Register 98, No. 10). A Certificate of Compliance must be transmitted to OAL by 6-30-98 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 6-17-98 as an emergency; operative 6-30-98 (Register 98, No. 25). Pursuant to Chapter 324 (Statutes of 1998) Item 4440-103-0001(4), a Certificate of Compliance must be transmitted to OAL by 7-1-99 or emergency language will be repealed by operation of law on the following day.
4. Editorial correction of History 3 (Register 98, No. 39).
5. Editorial correction extending Certificate of Compliance date to 7-1-2001 pursuant to Chapter 50 (Statutes of 1999) Item 4440-103-0001(4) (Register 99, No. 33). Notwithstanding any other provision of law, emergency regulations adopted pursuant to Welfare and Institutions Code section 14680 to implement the second phase of mental health managed care as provided in this part shall remain in effect until permanent regulations are adopted, or June 30, 2006, whichever occurs first.
6. Editorial correction of History 5 (Register 2000, No. 42). 
7. Editorial correction of History 5 and repealer and new section filed 5-19-2006; operative 6-18-2006 (Register 2006, No. 20). 
8. New subsections (f) and (k), subsection relettering and amendment of newly designated subsection (i) filed 10-18-2010; operative 11-17-2010 (Register 2010, No. 43).
§1820.225. MHP Payment Authorization for Emergency Admissions by a Point of Authorization.
Note     •     History

(a) The MHP shall not require a hospital to obtain prior MHP payment authorization for an emergency admission, whether voluntary or involuntary. 
(b) The hospital providing emergency psychiatric inpatient hospital services shall assure that the beneficiary meets the criteria for medical necessity in Section 1820.205, and due to a mental disorder, is: 
(1) A current danger to self or others, or 
(2) Immediately unable to provide for, or utilize, food, shelter or clothing. 
(c) The hospital providing emergency psychiatric inpatient hospital services shall notify the MHP of the county of the beneficiary within ten calendar days of the time of presentation for emergency services, or within the timelines specified in the contract, if a time requirement is included as a term of the contract between the hospital and MHP. 
(1) If the hospital cannot determine the MHP of the beneficiary, the hospital shall notify the MHP of the county where the hospital is located, within ten calendar days of the date of presentation for emergency services.
(2) The MHP for the county where the hospital is located shall assist the hospital to determine the MHP of the beneficiary. The hospital shall notify the MHP of the beneficiary within ten calendar days of the date of presentation for emergency services of determination of the appropriate MHP. 
(d) Requests for MHP payment authorization for an emergency admission shall be approved by an MHP when: 
(1) A hospital notified the Point of Authorization within ten calendar days of the date of presentation for emergency services or within the time required by contract, if a time requirement is included as a term of the contract between the hospital and MHP. 
(2) Written documentation has been provided to the MHP that certifies that a beneficiary met the criteria in Subsection (b) at the time of admission. 
(3) Written documentation has been provided to the MHP that certifies a beneficiary met the criteria in Subsection (b) for the day of admission. 
(4) A non-contract hospital includes documentation that the beneficiary could not be safely transferred to a contract hospital or a hospital owned or operated by the MHP of the beneficiary, if the transfer was requested by the MHP. 
(5) Any mandatory requirements of the contract negotiated between the hospital and the MHP are met. 
(e) In accordance with title 42 CFR section 438.210(c),the MHP shall notify the requesting provider of any decision to deny an MHP payment authorization request, or to authorize a service in an amount, duration or scope that is less than requested. The notice to the provider need not be in writing.
(f) After an emergency admission, the MHP of the beneficiary may: 
(1) Transfer the beneficiary from a non-contract to a contract hospital or a hospital owned or operated by the MHP of the beneficiary as soon the patient is stable. An acute patient shall be considered stable when no deterioration of the patient's condition is likely, within reasonable medical probability, to result from or occur during the transfer of the patient from the hospital. 
(2) Choose to authorize continued stay with a non-contract hospital. 
(g) In accordance with title 42 CFR section 438.210(b)(2)(ii), the MHP shall consult with a hospital requesting authorization when appropriate.
NOTE

Authority cited: Section 14680, Welfare and Institutions Code. Reference: Sections 5777, 5778 and 14684, Welfare and Institutions Code; and Title 42, Code of Federal Regulations, Sections 438.114(d)(ii) and 438.210.
HISTORY

1. New section filed 10-31-97 as an emergency; operative 11-1-97 (Register 97, No. 44). A Certificate of Compliance must be transmitted to OAL by 3-2-98 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 3-2-98 as an emergency; operative 3-2-98 (Register 98, No. 10). A Certificate of Compliance must be transmitted to OAL by 6-30-98 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 6-17-98 as an emergency; operative 6-30-98 (Register 98, No. 25). Pursuant to Chapter 324 (Statutes of 1998) Item 4440-103-0001(4), a Certificate of Compliance must be transmitted to OAL by 7-1-99 or emergency language will be repealed by operation of law on the following day.
4. Editorial correction of History 3 (Register 98, No. 39).
5. Editorial correction extending Certificate of Compliance date to 7-1-2001 pursuant to Chapter 50 (Statutes of 1999) Item 4440-103-0001(4) (Register 99, No. 33). Notwithstanding any other provision of law, emergency regulations adopted pursuant to Welfare and Institutions Code section 14680 to implement the second phase of mental health managed care as provided in this part shall remain in effect until permanent regulations are adopted, or June 30, 2006, whichever occurs first.
6. Editorial correction of History 5 (Register 2000, No. 42). 
7. Editorial correction of History 5 and repealer and new section filed 5-19-2006; operative 6-18-2006 (Register 2006, No. 20). 
8. New subsections (e) and (g), subsection relettering and amendment of Note filed 10-18-2010; operative 11-17-2010 (Register 2010, No. 43).
§1820.230. MHP Payment Authorization by a Utilization Review Committee.
Note     •     History

(a) MHP payment authorization for psychiatric inpatient hospital services provided by a Short-Doyle/Medi-Cal hospital, if not made by an MHP's Point of Authorization pursuant to Section 1820.220, shall be made by the hospital's Utilization Review Committee. 
(1) The hospital's Utilization Review Committee shall meet the Federal requirements for participants pursuant to Title 42, Code of Federal Regulations, Chapter IV, Subchapter C, Part 456, Subpart D. 
(2) The decision regarding MHP payment authorization shall be documented in writing by the hospital's Utilization Review Committee. 
(b) The hospital's Utilization Review Committee or its designee shall approve or deny the initial MHP payment authorization no later than the third working day from the day of admission. 
(c) At the time of the initial MHP payment authorization, the hospital's Utilization Review Committee or its designee shall specify the date for the subsequent MHP payment authorization determination. 
(d) Approval of MHP payment authorization by a hospital's Utilization Review Committee requires that: 
(1) When documentation in the clinical record substantiates that the beneficiary met the medical necessity criteria, the hospital's Utilization Review Committee shall authorize payment for each day that services are provided. 
(2) Requests for MHP payment authorization for administrative day services shall be approved by the hospital's Utilization Review Committee when both of the following conditions are met: 
(A) During the hospital stay, a beneficiary previously had met medical necessity criteria for acute psychiatric inpatient hospital services. 
(B) There is no appropriate, non-acute residential treatment facility within a reasonable geographic area and the hospital documents contacts with a minimum of five appropriate, non-acute residential treatment facilities per week for placement of the beneficiary subject to the following requirements. 
1. The MHP or its designee can waive the requirement of five contacts per week if there are fewer than five appropriate, non-acute residential treatment facilities available as placement options for the beneficiary. In no case shall there be less than one contact per week. 
2. The lack of placement options at appropriate, residential treatment facilities and the contacts made at appropriate treatment facilities shall be documented to include but not be limited to: 
a. The status of the placement option. 
b. Date of the contact. 
c. Signature of the person making the contact. 
NOTE

Authority cited: Section 14680, Welfare and Institutions Code. Reference: Sections 5777, 5778 and 14684, Welfare and Institutions Code.
HISTORY

1. New section filed 10-31-97 as an emergency; operative 11-1-97 (Register 97, No. 44). A Certificate of Compliance must be transmitted to OAL by 3-2-98 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 3-2-98 as an emergency; operative 3-2-98 (Register 98, No. 10). A Certificate of Compliance must be transmitted to OAL by 6-30-98 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 6-17-98 as an emergency; operative 6-30-98 (Register 98, No. 25). Pursuant to Chapter 324 (Statutes of 1998) Item 4440-103-0001(4), a Certificate of Compliance must be transmitted to OAL by 7-1-99 or emergency language will be repealed by operation of law on the following day.
4. Editorial correction of History 3 (Register 98, No. 39).
5. Editorial correction extending Certificate of Compliance date to 7-1-2001 pursuant to Chapter 50 (Statutes of 1999) Item 4440-103-0001(4) (Register 99, No. 33). Notwithstanding any other provision of law, emergency regulations adopted pursuant to Welfare and Institutions Code section 14680 to implement the second phase of mental health managed care as provided in this part shall remain in effect until permanent regulations are adopted, or June 30, 2006, whichever occurs first.
6. Editorial correction of History 5 (Register 2000, No. 42). 
7. Editorial correction of History 5 and repealer and new section filed 5-19-2006; operative 6-18-2006 (Register 2006, No. 20). 
Subchapter 3. Specialty Mental Health Services Other than Psychiatric Inpatient Hospital Services
§1830.100. General Provisions.
Note     •     History

This Subchapter applies to specialty mental health services other than psychiatric inpatient hospital services. 
NOTE

Authority cited: Section 14680, Welfare and Institutions Code. Reference: Sections 5777 and 14684, Welfare and Institutions Code.
HISTORY

1. New subchapter 3 and section filed 10-31-97 as an emergency; operative 11-1-97 (Register 97, No. 44). A Certificate of Compliance must be transmitted to OAL by 3-2-98 or emergency language will be repealed by operation of law on the following day.
2. New subchapter 3 and section refiled 3-2-98 as an emergency; operative 3-2-98 (Register 98, No. 10). A Certificate of Compliance must be transmitted to OAL by 6-30-98 or emergency language will be repealed by operation of law on the following day.
3. New subchapter 3 and section refiled 6-17-98 as an emergency; operative 6-30-98 (Register 98, No. 25). Pursuant to Chapter 324 (Statutes of 1998) Item 4440-103-0001(4), a Certificate of Compliance must be transmitted to OAL by 7-1-99 or emergency language will be repealed by operation of law on the following day.
4. Editorial correction of History 3 (Register 98, No. 39).
5. Editorial correction extending Certificate of Compliance date to 7-1-2001 pursuant to Chapter 50 (Statutes of 1999) Item 4440-103-0001(4) (Register 99, No. 33). Notwithstanding any other provision of law, emergency regulations adopted pursuant to Welfare and Institutions Code section 14680 to implement the second phase of mental health managed care as provided in this part shall remain in effect until permanent regulations are adopted, or June 30, 2006, whichever occurs first.
6. Editorial correction of History 5 (Register 2000, No. 42). 
7. Editorial correction of History 5 and repealer and new section filed 5-19-2006; operative 6-18-2006 (Register 2006, No. 20). 
Article 1. Fiscal Provisions
§1830.105. Provider Rate Setting Standards and Requirements.
Note     •     History

(a) Except as approved by the Department pursuant to Section 1810.438, the MHP shall reimburse organizational providers that provide services to beneficiaries of the MHP in accordance with Section 1840.105. 
(b) The MHP shall reimburse individual and group providers that contract with the MHP in accordance with the terms of the contract. 
(c) The MHP shall reimburse individual or group providers that provide services to beneficiaries of the MHP and that do not have a contract with the MHP at the rates established by the Medi-Cal program in Title 22, Division 3, Subdivision 1, Chapter 3, Article 7, unless a different rate is agreed to between the MHP and the provider, except as provided in Subsection (d). 
(d) The MHP shall reimburse individual or group providers that provide psychiatric inpatient hospital professional services to a beneficiary of the MHP with an emergency medical condition and that do not have a contract with the MHP at the rates established by the Medi-Cal program in Title 22, Division 3, Subdivision 1, Chapter 3, Article 7. 
(e) Individual and group providers shall bill the MHP the provider's usual and customary charges for the specialty mental health service rendered to the beneficiary. The rate paid by the MHP to individual and group providers less third party liability and beneficiary share of cost shall be considered payment in full for the specialty mental health services provided to the beneficiary. 
(f) Organizational providers shall bill the MHP in accordance with the cost settlement requirements described in Section 1840.105 that apply to the provider. 
(g) The MHP shall not be responsible to reimburse providers who deliver Medicare covered services to a beneficiary for any Medicare coinsurance and deductible payments due to the provider from the Medi-Cal program pursuant to Title 42, United States Code, Section 1396a(a)(n), unless the provider is an organizational provider contracting with or otherwise authorized by the MHP of the beneficiary. 
NOTE

Authority cited: Section 14680, Welfare and Institutions Code. Reference: Sections 5777, 5778 and 14684, Welfare and Institutions Code; and Title 42, United States Code, Section 1396a(a)(n).
HISTORY

1. New article 1 (sections 1830.105-1830.115) and section filed 10-31-97 as an emergency; operative 11-1-97 (Register 97, No. 44). A Certificate of Compliance must be transmitted to OAL by 3-2-98 or emergency language will be repealed by operation of law on the following day.
2. New article 1 (sections 1830.105-1830.115) and section refiled 3-2-98 as an emergency; operative 3-2-98 (Register 98, No. 10). A Certificate of Compliance must be transmitted to OAL by 6-30-98 or emergency language will be repealed by operation of law on the following day.
3. New article 1 (sections 1830.105-1830.115) and section refiled 6-17-98 as an emergency; operative 6-30-98 (Register 98, No. 25). Pursuant to Chapter 324 (Statutes of 1998) Item 4440-103-0001(4), a Certificate of Compliance must be transmitted to OAL by 7-1-99 or emergency language will be repealed by operation of law on the following day.
4. Editorial correction of History 3 (Register 98, No. 39).
5. Editorial correction extending Certificate of Compliance date to 7-1-2001 pursuant to Chapter 50 (Statutes of 1999) Item 4440-103-0001(4) (Register 99, No. 33). Notwithstanding any other provision of law, emergency regulations adopted pursuant to Welfare and Institutions Code section 14680 to implement the second phase of mental health managed care as provided in this part shall remain in effect until permanent regulations are adopted, or June 30, 2006, whichever occurs first.
6. Editorial correction of History 5 (Register 2000, No. 42). 
7. Editorial correction of History 5 and repealer and new section filed 5-19-2006; operative 6-18-2006 (Register 2006, No. 20). 
§1830.115. Psychiatric Nursing Facility Services Rates.
Note     •     History

Except as approved by the Department pursuant to Section 1810.438, the rate for psychiatric nursing facility services shall be the rate established by the State Department of Health Services in accordance with Title 22, Sections 51510, 51511, 51511.1, 51535, and 51535.1. The nursing facility shall bill its usual and customary charges. The rate established by this Section less third party liability and beneficiary share of cost shall be considered payment in full for the scope of services described in those Sections provided to the beneficiary. 
NOTE

Authority cited: Section 14680, Welfare and Institutions Code. Reference: Sections 5777, 5778 and 14684, Welfare and Institutions Code.
HISTORY

1. New section filed 10-31-97 as an emergency; operative 11-1-97 (Register 97, No. 44). A Certificate of Compliance must be transmitted to OAL by 3-2-98 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 3-2-98 as an emergency; operative 3-2-98 (Register 98, No. 10). A Certificate of Compliance must be transmitted to OAL by 6-30-98 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 6-17-98 as an emergency; operative 6-30-98 (Register 98, No. 25). Pursuant to Chapter 324 (Statutes of 1998) Item 4440-103-0001(4), a Certificate of Compliance must be transmitted to OAL by 7-1-99 or emergency language will be repealed by operation of law on the following day.
4. Editorial correction of History 3 (Register 98, No. 39).
5. Editorial correction extending Certificate of Compliance date to 7-1-2001 pursuant to Chapter 50 (Statutes of 1999) Item 4440-103-0001(4) (Register 99, No. 33). Notwithstanding any other provision of law, emergency regulations adopted pursuant to Welfare and Institutions Code section 14680 to implement the second phase of mental health managed care as provided in this part shall remain in effect until permanent regulations are adopted, or June 30, 2006, whichever occurs first.
6. Editorial correction of History 5 (Register 2000, No. 42). 
7. Editorial correction of History 5 and repealer and new section filed 5-19-2006; operative 6-18-2006 (Register 2006, No. 20). 
Article 2. Provision of Services
§1830.205. Medical Necessity Criteria for MHP Reimbursement of Speciality Mental Health Services.
Note     •     History

(a) The following medical necessity criteria determine Medi-Cal reimbursement for specialty mental health services that are the responsibility of the MHP under this Subchapter, except as specifically provided. 
(b) The beneficiary must meet criteria outlined in Subsections (1)-(3) below to be eligible for services: 
(1) Have one of the following diagnoses in the Diagnostic and Statistical Manual of Mental Disorders, DSM-IVE, Fourth Edition (1994), published by the American Psychiatric Association: 
(A) Pervasive Developmental Disorders, except Autistic Disorders 
(B) Disruptive Behavior and Attention Deficit Disorders 
(C) Feeding and Eating Disorders of Infancy and Early Childhood 
(D) Elimination Disorders 
(E) Other Disorders of Infancy, Childhood, or Adolescence 
(F) Schizophrenia and other Psychotic Disorders, except Psychotic Disorders due to a General Medical Condition 
(G) Mood Disorders, except Mood Disorders due to a General Medical Condition 
(H) Anxiety Disorders, except Anxiety Disorders due to a General Medical Condition 
(I) Somatoform Disorders 
(J) Factitious Disorders 
(K) Dissociative Disorders 
(L) Paraphilias 
(M) Gender Identity Disorder 
(N) Eating Disorders 
(O) Impulse Control Disorders Not Elsewhere Classified 
(P) Adjustment Disorders 
(Q) Personality Disorders, excluding Antisocial Personality Disorder 
(R) Medication-Induced Movement Disorders related to other included diagnoses. 
(2) Have at least one of the following impairments as a result of the mental disorder(s) listed in Subsection (b)(1) above: 
(A) A significant impairment in an important area of life functioning. 
(B) A reasonable probability of significant deterioration in an important area of life functioning. 
(C) Except as provided in Section 1830.210, a reasonable probability a child will not progress developmentally as individually appropriate. For the purpose of this Section, a child is a person under the age of 21 years. 
(3) Meet each of the intervention criteria listed below: 
(A) The focus of the proposed intervention is to address the condition identified in Subsection (b)(2) above. 
(B) The expectation is that the proposed intervention will: 
1. Significantly diminish the impairment, or 
2. Prevent significant deterioration in an important area of life functioning, or 
3. Except as provided in Section 1830.210, allow the child to progress developmentally as individually appropriate. 
4. For a child who meets the criteria of Section 1830.210(1), meet the criteria of Section 1830.210(b) and (c). 
(C) The condition would not be responsive to physical health care based treatment. 
(c) When the requirements of this Section or Section 1830.210 are met, beneficiaries shall receive specialty mental health services for a diagnosis included in Subsection (b)(1) even if a diagnosis that is not included in Subsection (b)(1) is also present. 
NOTE

Authority cited: Section 14680, Welfare and Institutions Code. Reference: Sections 5777 and 14684, Welfare and Institutions Code.
HISTORY

1. New article 2 (sections 1830.205-1830.250) and section filed 10-31-97 as an emergency; operative 11-1-97 (Register 97, No. 44). A Certificate of Compliance must be transmitted to OAL by 3-2-98 or emergency language will be repealed by operation of law on the following day.
2. New article 2 (sections 1830.205-1830.250) and section refiled 3-2-98 as an emergency; operative 3-2-98 (Register 98, No. 10). A Certificate of Compliance must be transmitted to OAL by 6-30-98 or emergency language will be repealed by operation of law on the following day.
3. New article 2 (sections 1830.205-1830.250) and section refiled 6-17-98 as an emergency; operative 6-30-98 (Register 98, No. 25). Pursuant to Chapter 324 (Statutes of 1998) Item 4440-103-0001(4), a Certificate of Compliance must be transmitted to OAL by 7-1-99 or emergency language will be repealed by operation of law on the following day.
4. Editorial correction of History 3 (Register 98, No. 39).
5. Editorial correction extending Certificate of Compliance date to 7-1-2001 pursuant to Chapter 50 (Statutes of 1999) Item 4440-103-0001(4) (Register 99, No. 33). Notwithstanding any other provision of law, emergency regulations adopted pursuant to Welfare and Institutions Code section 14680 to implement the second phase of mental health managed care as provided in this part shall remain in effect until permanent regulations are adopted, or June 30, 2006, whichever occurs first.
6. Editorial correction of History 5 (Register 2000, No. 42). 
7. Editorial correction of History 5 and repealer and new section filed 5-19-2006; operative 6-18-2006 (Register 2006, No. 20). 
§1830.210. Medical Necessity Criteria for MHP Reimbursement for Specialty Mental Health Services for Eligible Beneficiaries Under 21 Years of Age.
Note     •     History

(a) For beneficiaries under 21 years of age who are eligible for EPSDT supplemental specialty mental health services, and who do not meet the medical necessity requirements of Section 1830.205(b)(2)-(3), medical necessity criteria for specialty mental health services covered by this Subchapter shall be met when all of the following exist: 
(1) The beneficiary meets the diagnosis criteria in Section 1830.205(b)(1), 
(2) The beneficiary has a condition that would not be responsive to physical health care based treatment, and 
(3) The requirements of Title 22, Section 51340(e)(3)(A) are met with respect to the mental disorder; or, for targeted case management services, the service to which access is to be gained through case management is medically necessary for the beneficiary under Section 1830.205 or under Title 22, Section 51340(e)(3)(A) with respect to the mental disorder and the requirements of Title 22, Section 51340(f) are met. 
(b) The MHP shall not approve a request for an EPSDT supplemental specialty mental health service under this Section or Section 1830.205 if the MHP determines that the service to be provided is accessible and available in an appropriate and timely manner as another specialty mental health service covered by this Subchapter and the MHP provides or arranges and pays for such a specialty mental health service. 
(c) The MHP shall not approve a request for specialty mental health services under this Section in home and community based settings if the MHP determines that the total cost incurred by the Medi-Cal program for providing such services to the beneficiary is greater than the total cost to the Medi-Cal program in providing medically equivalent services at the beneficiary's otherwise appropriate institutional level of care, where medically equivalent services at the appropriate level are available in a timely manner, and the MHP provides or arranges and pays for the institutional level of care if the institutional level of care is covered by the MHP under Section 1810.345, or arranges for the institutional level of care, if the institutional level of care is not covered by the MHP under Section 1810.345. For the purpose of this Subsection, the determination of the availability of an appropriate institutional level of care shall be made in accordance with the stipulated settlement in T.L. v. Belshé. 
NOTE

Authority cited: Section 14680, Welfare and Institutions Code. Reference: Sections 5777, 14132 and 14684, Welfare and Institutions Code; Title 42, Section 1396d(r), United States Code; and T.L. v. Belshé, United States District Court, Eastern District of California, Case No. CV-S-93-1782 LKK PAN.
HISTORY

1. New section filed 10-31-97 as an emergency; operative 11-1-97 (Register 97, No. 44). A Certificate of Compliance must be transmitted to OAL by 3-2-98 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 3-2-98 as an emergency; operative 3-2-98 (Register 98, No. 10). A Certificate of Compliance must be transmitted to OAL by 6-30-98 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 6-17-98 as an emergency; operative 6-30-98 (Register 98, No. 25). Pursuant to Chapter 324 (Statutes of 1998) Item 4440-103-0001(4), a Certificate of Compliance must be transmitted to OAL by 7-1-99 or emergency language will be repealed by operation of law on the following day.
4. Editorial correction of History 3 (Register 98, No. 39).
5. Editorial correction extending Certificate of Compliance date to 7-1-2001 pursuant to Chapter 50 (Statutes of 1999) Item 4440-103-0001(4) (Register 99, No. 33). Notwithstanding any other provision of law, emergency regulations adopted pursuant to Welfare and Institutions Code section 14680 to implement the second phase of mental health managed care as provided in this part shall remain in effect until permanent regulations are adopted, or June 30, 2006, whichever occurs first.
6. Editorial correction of History 5 (Register 2000, No. 42). 
7. Editorial correction of subsection (a) (Register 2000, No. 44). 
8. Editorial correction of History 5 and repealer and new section filed 5-19-2006; operative 6-18-2006 (Register 2006, No. 20). 
§1830.215. MHP Payment Authorization.
Note     •     History

(a) The MHP may require that providers obtain MHP payment authorization of any or all specialty mental health services covered by this Subchapter as a condition of reimbursement for the service in accordance with the provisions of this Section. MHP payment authorization under this Section shall be provided in compliance with timelines and other provisions in title 42, Code of Federal Regulations, Section 438.210. 
(b) The MHP's authorization function may be assigned to a person, an identified staffing unit, a committee, or an organizational executive who may delegate the authorization function; including any such persons or entities affiliated with a contracting provider to which the MHP has delegated the authorization function. 
(c) The individuals who review and approve or deny requests from providers for MHP payment authorization shall be licensed mental health professionals or waivered/registered professionals of the MHP of the beneficiary. Licensed psychiatric technicians and licensed vocational nurses may approve or deny such requests only when the provider indicates that the beneficiary to whom the specialty mental health services will be delivered has an urgent condition as defined in Section 1810.253. 
(d) The MHP may require that providers obtain MHP payment authorization prior to rendering any specialty mental health service covered by this Subchapter as a condition of reimbursement for the service, except for those services provided to beneficiaries with emergency psychiatric conditions as provided in Sections 1830.230 and 1830.245. 
(e) Notwithstanding the provisions of Subsections (a) and (d), the MHP shall require that providers obtain MHP payment authorization for day rehabilitation, day treatment intensive and EPSDT supplemental specialty mental health services as required in the MHP contract with the Department. 
(f) Notwithstanding the discretion given to MHPs in Subsections (a) and the requirements of Subsection (c), the MHP shall comply with the specific MHP payment authorization requirements of Sections 1830.230, 1830.245, and 1830.250. 
(g) Whether or not the MHP payment authorization of a specialty mental health service is required pursuant to this Section, the MHP may require that providers notify the MHP of their intent to provide the service prior to the delivery of the service. 
(1) If the MHP does not require notice or has not informed providers of the notice requirement, MHP payment authorization requests presented for authorization beyond the timelines established by the MHP shall be accepted for consideration by the MHP when the MHP determines that the provider was prevented from submitting a timely request because of a reason that meets one of the criteria specified in Subsections (g)(1)(A)-(B). The MHP may accept MHP payment authorizations requests presented beyond the timelines specified in the Subchapter for other acceptable reasons as determined by the MHP. The provider shall submit factual documentation deemed necessary by the MHP with the MHP payment authorization request. Any additional documentation requested by the MHP shall be submitted within 60 calendar days of the MHP's request. The documentation shall verify that the late submission was due to: 
(A) A natural disaster that has: 
1. Destroyed or damaged the provider's business office or records, or 
2. Substantially interfered with the provider's agent's processing of requests for MHP payment authorization; or 
(B) Delays caused by other circumstances beyond the provider's control. Documentation shall include evidence that the circumstance causing the delay was reported to a law enforcement or fire agency, if the circumstance is required to be reported. Circumstances that shall not be considered beyond the control of the provider include but are not limited to: 
1. Negligence by employees. 
2. Misunderstanding of program requirements. 
3. Illness or absence of any employee trained to prepare MHP payment authorizations. 
4. Delays caused by the United States Postal Service or any private delivery service. 
(2) If the MHP does require such notice, the MHP shall inform providers of this requirement by including the MHP requirement in a publication commonly available to all providers serving beneficiaries. If notice is required and given by the provider, the MHP shall consider requests for MHP payment authorization submitted beyond the timelines for submission established by the MHP in accordance with the provisions of Subsection (g)(1). If notice is required and not given by the provider, the MHP may deny requests for MHP payment authorization submitted beyond the timelines for submission established by the MHP, regardless of the reason for the late submission. 
(h) In accordance with title 42 CFR section 438.210(b)(2)(ii), the MHP shall consult with a provider requesting authorization when appropriate.
NOTE

Authority cited: Section 14680, Welfare and Institutions Code. Reference: Sections 5777, 5778 and 14684, Welfare and Institutions Code; and 42 Code of Federal Regulations, Section 438.210.
HISTORY

1. New section filed 10-31-97 as an emergency; operative 11-1-97 (Register 97, No. 44). A Certificate of Compliance must be transmitted to OAL by 3-2-98 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 3-2-98 as an emergency; operative 3-2-98 (Register 98, No. 10). A Certificate of Compliance must be transmitted to OAL by 6-30-98 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 6-17-98 as an emergency; operative 6-30-98 (Register 98, No. 25). Pursuant to Chapter 324 (Statutes of 1998) Item 4440-103-0001(4), a Certificate of Compliance must be transmitted to OAL by 7-1-99 or emergency language will be repealed by operation of law on the following day.
4. Editorial correction of History 3 (Register 98, No. 39).
5. Editorial correction extending Certificate of Compliance date to 7-1-2001 pursuant to Chapter 50 (Statutes of 1999) Item 4440-103-0001(4) (Register 99, No. 33). Notwithstanding any other provision of law, emergency regulations adopted pursuant to Welfare and Institutions Code section 14680 to implement the second phase of mental health managed care as provided in this part shall remain in effect until permanent regulations are adopted, or June 30, 2006, whichever occurs first.
6. Editorial correction of History 5 (Register 2000, No. 42).
7. New subsection (c), subsection relettering and amendment of Note filed 6-19-2003 as an emergency; operative 7-1-2003 (Register 2003, No. 25). A Certificate of Compliance must be transmitted to OAL by 10-29-2003 or emergency language will be repealed by operation of law on the following day.
8. Certificate of Compliance as to 7-1-2003 order transmitted to OAL 10-6-2003 and filed 11-18-2003 (Register 2003, No. 47).
9. Editorial correction of History 5 and repealer and new section filed 5-19-2006; operative 6-18-2006 (Register 2006, No. 20). 
10. Amendment of subsection (a) and new subsection (h) filed 10-18-2010; operative 11-17-2010 (Register 2010, No. 43).
§1830.220. Authorization of Out-of-Plan Services.
Note     •     History

(a) “Out-of-Plan Services” means specialty mental health services covered by this Subchapter, other than psychiatric nursing facility services, provided to a beneficiary by providers other than the MHP of the beneficiary or a provider contracting with the MHP of the beneficiary. 
(b) The MHP shall be required to provide out-of-plan services, when the services are also available through the MHP of the beneficiary or a provider contracting with the MHP of the beneficiary, only under the following circumstances: 
(1) When a beneficiary with an emergency psychiatric condition is admitted for psychiatric inpatient hospital services as described in Section 1820.225 to the extent provided in Section 1830.230. 
(2) When a beneficiary with an emergency psychiatric condition is admitted for psychiatric health facility services under the conditions described in Section 1830.245. 
(3) When a beneficiary is out of county and develops an urgent condition and there are no providers contracting with the MHP reasonably available to the beneficiary based on the MHP's evaluation of the needs of the beneficiary, especially in terms of timeliness of service. 
(4) When there are no providers contracting with the MHP reasonably available to the beneficiary based on the MHP's evaluation of the needs of the beneficiary, the geographic availability of providers, and community standards for availability of providers in the county in which the beneficiary is placed and the beneficiary is placed out of county by: 
(A) The Foster Care Program as described in Article 5 (commencing with Section 11400), Chapter 2, Part 3, Division 9 of the Welfare and Institutions Code, the Adoption Assistance Program as described in Chapter 2.1 (commencing with Section 16115), Part 4, Division 9 of the Welfare and Institutions Code, or other foster care arrangement.
(1) If the beneficiary is a child or youth of either the Foster Care Program, Adoption Assistance Program, or other type of foster care arrangement such as Kin-GAP, and is placed outside his/her county of origin, the MHP of the county of origin must make an authorization decision and notify the host county and the requesting provider, if applicable of that decision within three working days following the date of receipt of the request for service by the MHP of origin. If the MHP of the county of origin documents a need for additional information to evaluate the beneficiary's need for the service, an extension may be granted up to three working days from the date the additional information is received, or 14 calendar days from the receipt of the original Treatment Authorization Request, whichever is less.
(2) Within 30 calendar days of the date of authorization of service, the MHP of the county of origin shall arrange for reimbursement for the service provided to the child or youth through the host county or the requesting provider.
(3) If there is a disagreement between the MHP of the county of origin and the MHP of the host county, the MHPs shall resolve their differences through the arbitration process provided in Section 1850.405.
(B) A Lanterman-Petris-Short or Probate Conservator or other legal involuntary placement. 
NOTE

Authority cited: Sections 14680 and 14684, Welfare and Institutions Code. Reference: Sections 5777, 5777.6, 11400, 14684 and 16115, Welfare and Institutions Code; and Section 438.210, Title 42, Code of Federal Regulations.
HISTORY

1. New section filed 10-31-97 as an emergency; operative 11-1-97 (Register 97, No. 44). A Certificate of Compliance must be transmitted to OAL by 3-2-98 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 3-2-98 as an emergency; operative 3-2-98 (Register 98, No. 10). A Certificate of Compliance must be transmitted to OAL by 6-30-98 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 6-17-98 as an emergency; operative 6-30-98 (Register 98, No. 25). Pursuant to Chapter 324 (Statutes of 1998) Item 4440-103-0001(4), a Certificate of Compliance must be transmitted to OAL by 7-1-99 or emergency language will be repealed by operation of law on the following day.
4. Editorial correction of History 3 (Register 98, No. 39).
5. Editorial correction extending Certificate of Compliance date to 7-1-2001 pursuant to Chapter 50 (Statutes of 1999) Item 4440-103-0001(4) (Register 99, No. 33). Notwithstanding any other provision of law, emergency regulations adopted pursuant to Welfare and Institutions Code section 14680 to implement the second phase of mental health managed care as provided in this part shall remain in effect until permanent regulations are adopted, or June 30, 2006, whichever occurs first.
6. Editorial correction of History 5 (Register 2000, No. 42). 
7. Editorial correction of History 5 and repealer and new section filed 5-19-2006; operative 6-18-2006 (Register 2006, No. 20). 
8. New subsections (b)(4)(A)(1)-(3) and amendment of Note filed 7-11-2008; operative 8-10-2008 (Register 2008, No. 28).
§1830.225. Initial Selection and Change of Person Providing Services.
Note     •     History

(a) Whenever feasible, the MHP of the beneficiary, at the request of the beneficiary, shall provide a beneficiary who has been determined by the MHP to meet the medical necessity criteria for outpatient psychiatrist, psychologist, EPSDT supplemental specialty mental health, rehabilitative or targeted case management services an initial choice of the person who will provide the service to the beneficiary. At the election of the MHP, the MHP may limit the beneficiary's choice to either a choice between two of the individual providers contracting with the MHP, or a choice between two of the persons providing services who are employed by, contracting with or otherwise made available by the group or organizational provider to whom the MHP has assigned the beneficiary. 
(b) Whenever feasible, the MHP of the beneficiary, at the request of the beneficiary, shall provide beneficiaries an opportunity to change persons providing outpatient psychiatrist, psychologist, EPSDT supplemental specialty mental health, rehabilitative, or targeted case management services. At the election of the MHP, the MHP may limit the beneficiary's choice of another person to provide services, to either an individual provider contracting with the MHP, or to another person providing services who is employed by, contracting with or otherwise made available by the group or organizational provider to whom the MHP has assigned the beneficiary. 
NOTE

Authority cited: Section 14680, Welfare and Institutions Code. Reference: Sections 5777, 14681, 14683 and 14684, Welfare and Institutions Code.
HISTORY

1. New section filed 10-31-97 as an emergency; operative 11-1-97 (Register 97, No. 44). A Certificate of Compliance must be transmitted to OAL by 3-2-98 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 3-2-98 as an emergency; operative 3-2-98 (Register 98, No. 10). A Certificate of Compliance must be transmitted to OAL by 6-30-98 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 6-17-98 as an emergency; operative 6-30-98 (Register 98, No. 25). Pursuant to Chapter 324 (Statutes of 1998) Item 4440-103-0001(4), a Certificate of Compliance must be transmitted to OAL by 7-1-99 or emergency language will be repealed by operation of law on the following day.
4. Editorial correction of History 3 (Register 98, No. 39).
5. Editorial correction extending Certificate of Compliance date to 7-1-2001 pursuant to Chapter 50 (Statutes of 1999) Item 4440-103-0001(4) (Register 99, No. 33). Notwithstanding any other provision of law, emergency regulations adopted pursuant to Welfare and Institutions Code section 14680 to implement the second phase of mental health managed care as provided in this part shall remain in effect until permanent regulations are adopted, or June 30, 2006, whichever occurs first.
6. Editorial correction of History 5 (Register 2000, No. 42). 
7. Editorial correction of History 5 and repealer and new section filed 5-19-2006; operative 6-18-2006 (Register 2006, No. 20). 
§1830.230. Psychiatric Inpatient Hospital Professional Services.
Note     •     History

(a) Notwithstanding any other provisions of this Chapter, the medical necessity criteria that apply to psychiatric inpatient hospital professional services are the medical necessity criteria in Section 1820.205. 
(b) When the beneficiary is admitted to a Fee-for-Service/Medi-Cal hospital, the MHP shall not require prior authorization of psychiatric inpatient hospital professional services that do not exceed one service per day of acute psychiatric inpatient hospital services. On the day of admission, the MHP shall not require prior authorization of a psychiatrist service or a mental health or medication support service by a physician in addition to a service by an admitting licensed mental health professional who is not a physician. 
NOTE

Authority cited: Section 14680, Welfare and Institutions Code. Reference: Sections 5777 and 14684, Welfare and Institutions Code.
HISTORY

1. New section filed 10-31-97 as an emergency; operative 11-1-97 (Register 97, No. 44). A Certificate of Compliance must be transmitted to OAL by 3-2-98 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 3-2-98 as an emergency; operative 3-2-98 (Register 98, No. 10). A Certificate of Compliance must be transmitted to OAL by 6-30-98 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 6-17-98 as an emergency; operative 6-30-98 (Register 98, No. 25). Pursuant to Chapter 324 (Statutes of 1998) Item 4440-103-0001(4), a Certificate of Compliance must be transmitted to OAL by 7-1-99 or emergency language will be repealed by operation of law on the following day.
4. Editorial correction of History 3 (Register 98, No. 39).
5. Editorial correction extending Certificate of Compliance date to 7-1-2001 pursuant to Chapter 50 (Statutes of 1999) Item 4440-103-0001(4) (Register 99, No. 33). Notwithstanding any other provision of law, emergency regulations adopted pursuant to Welfare and Institutions Code section 14680 to implement the second phase of mental health managed care as provided in this part shall remain in effect until permanent regulations are adopted, or June 30, 2006, whichever occurs first.
6. Editorial correction of History 5 (Register 2000, No. 42). 
7. Editorial correction of History 5 and repealer and new section filed 5-19-2006; operative 6-18-2006 (Register 2006, No. 20). 
§1830.245. Psychiatric Health Facility Services.
Note     •     History

(a) Notwithstanding any other provision of this Chapter, the medical necessity criteria that apply to psychiatric health facility services are the medical necessity criteria of Section 1820.205. 
(b) The MHP may not require a psychiatric health facility to obtain prior authorization for an admission when the beneficiary has an emergency psychiatric condition. 
(c) If the MHP requires MHP payment authorization for psychiatric health facility services, MHP payment authorization for the admission of a beneficiary with an emergency psychiatric condition shall be made in accordance with the terms of the contract between the MHP and the psychiatric health facility or with the terms of the contract between another MHP and the psychiatric health facility, if the MHP does not have a contract with the psychiatric health facility and the contract between another MHP and the psychiatric health facility covers the admission. Where there is no contract between an MHP and the psychiatric health facility that covers the admission, the MHP payment authorization shall be approved by the MHP when: 
(1) The psychiatric health facility notified the MHP's Point of Authorization within 24 hours of admission of a beneficiary to the facility. 
(2) Written documentation that certifies that a beneficiary met the criteria in Section 1820.225(b) at the time of admission, for the day of admission, and for any additional days prior to discharge during which the beneficiary received psychiatric health facility services, has been provided to the MHP within 14 calendar days of discharge or after the beneficiary has received 99 continuous calendar days of psychiatric health facility services, whichever is sooner. 
(3) If, after the emergency admission, the MHP of the beneficiary requests transfer of the beneficiary to a psychiatric health facility contracting with the MHP, a contract hospital, or a psychiatric health facility or hospital owned or operated by the MHP of the beneficiary and the psychiatric health facility does not transfer the beneficiary, documentation shall include evidence that the beneficiary could not be safely transferred. An acute patient shall be considered stable when no deterioration of the patient's condition is likely, within reasonable medical probability, to result from or occur during the transfer of the patient from the psychiatric health facility. 
NOTE

Authority cited: Section 14680, Welfare and Institutions Code. Reference: Sections 5777 and 14684, Welfare and Institutions Code.
HISTORY

1. New section filed 10-31-97 as an emergency; operative 11-1-97 (Register 97, No. 44). A Certificate of Compliance must be transmitted to OAL by 3-2-98 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 3-2-98 as an emergency; operative 3-2-98 (Register 98, No. 10). A Certificate of Compliance must be transmitted to OAL by 6-30-98 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 6-17-98 as an emergency; operative 6-30-98 (Register 98, No. 25). Pursuant to Chapter 324 (Statutes of 1998) Item 4440-103-0001(4), a Certificate of Compliance must be transmitted to OAL by 7-1-99 or emergency language will be repealed by operation of law on the following day.
4. Editorial correction of History 3 (Register 98, No. 39).
5. Editorial correction extending Certificate of Compliance date to 7-1-2001 pursuant to Chapter 50 (Statutes of 1999) Item 4440-103-0001(4) (Register 99, No. 33). Notwithstanding any other provision of law, emergency regulations adopted pursuant to Welfare and Institutions Code section 14680 to implement the second phase of mental health managed care as provided in this part shall remain in effect until permanent regulations are adopted, or June 30, 2006, whichever occurs first.
6. Editorial correction of History 5 (Register 2000, No. 42). 
7. Editorial correction of History 5 and repealer and new section filed 5-19-2006; operative 6-18-2006 (Register 2006, No. 20). 
§1830.250. MHP Payment Authorization for Psychiatric Nursing Facility Services.
Note     •     History

(a) The following conditions apply to the provisions of psychiatric nursing facility services by the MHP: 
(1) The MHP of the beneficiary shall not exclude any nursing facility that is licensed and certified to provide psychiatric nursing facility services and is in good standing with the Medi-Cal program from providing services to the beneficiary on the grounds that the facility would be providing out-of-plan services pursuant to Section 1830.220. 
(2) Psychiatric nursing facility services shall be billed by the psychiatric nursing facility to the fiscal intermediary, rather than the MHP. 
(b) A psychiatric nursing facility shall submit a separate written request for MHP payment authorization of psychiatric nursing facility services to the Point of Authorization of the MHP of the beneficiary for each of the following: 
(1) The planned admission of a beneficiary. 
(2) Services the psychiatric nursing facility believes are medically necessary that exceed the days previously authorized by the MHP. 
(3) Services that qualify for Medical Assistance Pending Fair Hearing pursuant to Section 1850.215. 
(c) Unless there is a contract between the psychiatric nursing facility and the MHP that provides for different time frames, a psychiatric nursing facility shall submit the request for MHP payment authorization for psychiatric nursing facility services to the Point of Authorization of the beneficiary's MHP not later than: 
(1) Prior to a planned admission; 
(2) Ten working days prior to the expiration date of a previous MHP payment authorization; or 
(3) The date that a beneficiary qualifies for Medical Assistance Pending Fair Hearing pursuant to Section 1850.215. 
(d) A written request for MHP payment authorization to the Point of Authorization shall be in the form of a Treatment Authorization Request (TAR). 
(e) Approval or disapproval for each MHP payment authorization shall be documented by the Point of Authorization in writing on the same TAR on which the psychiatric nursing facility requested MHP payment authorization. 
(f) A Point of Authorization shall approve, deny or defer the request for MHP payment authorization within three working days of the receipt of the request. If the request is deferred, the MHP shall advise the psychiatric nursing facility of the additional documentation required by the MHP. The Point of Authorization shall send an approved or denied TAR to the fiscal intermediary within 14 calendar days of the approval or denial. 
(g) MHP payment authorizations shall be approved by the MHP's Point of Authorization as follows: 
(1) Requests for MHP payment authorization for planned admissions and continued stays shall be approved when written documentation provided indicates that the beneficiary meets medical necessity criteria for reimbursement of psychiatric nursing facility services, as specified in Section 1830.205, in addition to any other requirements of this Chapter that apply to the admission. 
(2) An MHP payment authorization approved by the MHP for a specific time period shall not be terminated or reduced because the beneficiary receiving the psychiatric nursing facility services: 
(A) Is on leave of absence from the facility, subject to the limitations described in Title 22, Section 51535, or 
(B) Has exercised the bed hold option provided by Title 22, Sections 72520, 73504, 76506, and 76709.1, subject to the limitations of Title 22, Section 51535.1. 
(3) Medical Assistance Pending Fair Hearing Decision requests for MHP payment authorization by a psychiatric nursing facility shall be approved by the MHP when necessary documentation, as specified in Section 1850.215, is submitted. 
(h) The MHP that approves the MHP payment authorization shall have financial responsibility as described in this Chapter for the services authorized, unless financial responsibility is assigned to another entity pursuant to Sections 1850.405 and 1850.505. 
NOTE

Authority cited: Section 14680, Welfare and Institutions Code. Reference: Sections 5777, 5778 and 14684, Welfare and Institutions Code; and Title 42, Code of Federal Regulations, Section 438.210.
HISTORY

1. New section filed 10-31-97 as an emergency; operative 11-1-97 (Register 97, No. 44). A Certificate of Compliance must be transmitted to OAL by 3-2-98 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 3-2-98 as an emergency; operative 3-2-98 (Register 98, No. 10). A Certificate of Compliance must be transmitted to OAL by 6-30-98 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 6-17-98 as an emergency; operative 6-30-98 (Register 98, No. 25). Pursuant to Chapter 324 (Statutes of 1998) Item 4440-103-0001(4), a Certificate of Compliance must be transmitted to OAL by 7-1-99 or emergency language will be repealed by operation of law on the following day.
4. Editorial correction of History 3 (Register 98, No. 39).
5. Editorial correction extending Certificate of Compliance date to 7-1-2001 pursuant to Chapter 50 (Statutes of 1999) Item 4440-103-0001(4) (Register 99, No. 33). Notwithstanding any other provision of law, emergency regulations adopted pursuant to Welfare and Institutions Code section 14680 to implement the second phase of mental health managed care as provided in this part shall remain in effect until permanent regulations are adopted, or June 30, 2006, whichever occurs first.
6. Editorial correction of History 5 (Register 2000, No. 42). 
7. Editorial correction of History 5 and repealer and new section filed 5-19-2006; operative 6-18-2006 (Register 2006, No. 20). 
Subchapter 4. Federal Financial Participation
Article 1. General
§1840.100. Definitions.
Note     •     History

(a) “Claiming” means the process by which MHPs may obtain FFP for the expenditures they have made for specialty mental health services to Medi-Cal beneficiaries. 
(b) “Health Care Procedure Coding System (HCPCS)” means a coded listing and description of health care services and items as defined in Title 22, Section 51050, which is prepared and updated annually by the Centers for Medicare and Medicaid Services. HCPCS consists of the Current Procedural Terminology (CPT) Standard Edition, American Medical Association, Fourth Edition, 2001, and each of its subsequent revisions, and other codes and descriptions authorized by the Centers for Medicare and Medicaid Services to describe services and items not contained in the CPT. Unless a different definition is adopted by the State Department of Health Services in Title 22, Division 3, Subdivision 1, Chapter 3, beginning with Section 51000, the definitions of individual HCPCS codes used in this Subchapter are the definitions provided in HCPCS in accordance with Title 22, Section 51050. 
(c) “Legal entity” means each MHP and each of the corporations, partnerships, agencies, or individuals providing specialty mental health services under contract with the MHP, except that legal entity does not include individual or group providers, Fee-For-Service/Medi-Cal hospitals or psychiatric nursing facilities. 
(d) “Lockout” means a situation or circumstance under which FFP is not available for a specific specialty mental health service. Lockout as used in this Subchapter does not address whether or not the provider of a specific specialty mental health service is entitled to payment for that service from the MHP. 
(e) “Reimbursement” means a payment of FFP. 
(f) “Service functions” mean mental health services, medication support services, day treatment intensive, day rehabilitation, crisis intervention, crisis stabilization, psychiatric health facility services, and targeted case management in the context of claiming FFP. 
(g) “Short-Doyle/Medi-Cal system” means the system operated by the State Department of Health Services for the purpose of claiming FFP for specialty mental health services covered by the MHP other than psychiatric inpatient hospital services in a Fee-For-Service/Medi-Cal hospital or psychiatric nursing facility services. 
NOTE

Authority cited: Section 14680, Welfare and Institutions Code. Reference: Section 5778, Welfare and Institutions Code.
HISTORY

1. New subchapter 4, article 1 (sections 1840.100-1840.115) and section filed 10-31-97 as an emergency; operative 11-1-97 (Register 97, No. 44). A Certificate of Compliance must be transmitted to OAL by 3-2-98 or emergency language will be repealed by operation of law on the following day.
2. New subchapter 4, article 1 (sections 1840.100-1840.115) and section refiled 3-2-98 as an emergency; operative 3-2-98 (Register 98, No. 10). A Certificate of Compliance must be transmitted to OAL by 6-30-98 or emergency language will be repealed by operation of law on the following day.
3. New subchapter 4, article 1 (sections 1840.100-1840.115) and section refiled 6-17-98 as an emergency; operative 6-30-98 (Register 98, No. 25). Pursuant to Chapter 324 (Statutes of 1998) Item 4440-103-0001(4), a Certificate of Compliance must be transmitted to OAL by 7-1-99 or emergency language will be repealed by operation of law on the following day.
4. Editorial correction of History 3 (Register 98, No. 39).
5. Editorial correction extending Certificate of Compliance date to 7-1-2001 pursuant to Chapter 50 (Statutes of 1999) Item 4440-103-0001(4) (Register 99, No. 33). Notwithstanding any other provision of law, emergency regulations adopted pursuant to Welfare and Institutions Code section 14680 to implement the second phase of mental health managed care as provided in this part shall remain in effect until permanent regulations are adopted, or June 30, 2006, whichever occurs first.
6. Editorial correction of History 5 (Register 2000, No. 42). 
7. Editorial correction of History 5 and repealer and new section filed 5-19-2006; operative 6-18-2006 (Register 2006, No. 20). 
§1840.105. General.
Note     •     History

(a) Except as provided in this Subchapter, FFP for specialty mental health services shall be based on the lowest of the following: 
(1) The provider's usual and customary charge to the general public for the same or similar services, unless the provider is a nominal charge provider pursuant to Medicare rules at Title 42, Code of Federal Regulations, Section 413.13. 
(2) The provider's reasonable and allowable cost of rendering the services, based on year-end cost reports and Medicare principles of reimbursement pursuant to Title 42, Code of Federal Regulations, Part 413 and as described in HCFA Publication 15-1, for providers not contracting on a negotiated rate basis. 
(3) The negotiated rates for providers, including the MHP, contracting on a negotiated rate basis pursuant to Subchapter 2, Article 1, beginning with Section 1820.100; Subchapter 3, Article 1, beginning with Section 1830.100; or Sections 5705 or 5716 of the Welfare and Institutions Code. 
(4) The maximum allowances established by Title 22, Section 51516, except that the definitions of individual specialty mental health services shall be the definitions in this Chapter. When crisis stabilization is claimed under this Subchapter, the maximum allowance provided in Title 22, Section 51516, for “crisis stabilization-emergency room” shall apply when the service is provided in a 24-hour facility, including a hospital outpatient department. The maximum allowance for “crisis stabilization-urgent care” shall apply when the service is provided in any other appropriate site. 
(b) Reimbursement to the MHP, Short-Doyle/Medi-Cal hospitals, or organizational providers based on negotiated rates shall be subject to retrospective cost settlement that shares equally between the federal government and the legal entity the portion of the federal reimbursement that exceeds actual cost in the aggregate by the legal entity. In no case will payments exceed the established maximum allowances. 
NOTE

Authority cited: Section 14680, Welfare and Institutions Code. Reference: Sections 5705, 5716, 5718, 5720, 5724 and 5778, Welfare and Institutions Code.
HISTORY

1. New section filed 10-31-97 as an emergency; operative 11-1-97 (Register 97, No. 44). A Certificate of Compliance must be transmitted to OAL by 3-2-98 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 3-2-98 as an emergency; operative 3-2-98 (Register 98, No. 10). A Certificate of Compliance must be transmitted to OAL by 6-30-98 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 6-17-98 as an emergency; operative 6-30-98 (Register 98, No. 25). Pursuant to Chapter 324 (Statutes of 1998) Item 4440-103-0001(4), a Certificate of Compliance must be transmitted to OAL by 7-1-99 or emergency language will be repealed by operation of law on the following day.
4. Editorial correction of History 3 (Register 98, No. 39).
5. Editorial correction extending Certificate of Compliance date to 7-1-2001 pursuant to Chapter 50 (Statutes of 1999) Item 4440-103-0001(4) (Register 99, No. 33). Notwithstanding any other provision of law, emergency regulations adopted pursuant to Welfare and Institutions Code section 14680 to implement the second phase of mental health managed care as provided in this part shall remain in effect until permanent regulations are adopted, or June 30, 2006, whichever occurs first.
6. Editorial correction of History 5 (Register 2000, No. 42). 
7. Editorial correction of History 5 and repealer and new section filed 5-19-2006; operative 6-18-2006 (Register 2006, No. 20). 
§1840.110. Claims Submission.
Note     •     History

(a) Except as otherwise provided in this Subchapter, the MHP shall submit all claims for specialty mental health services provided to Medi-Cal beneficiaries by the MHP through the Short-Doyle/Medi-Cal system. 
(b) Except for good cause, as specified in Title 22, Section 51008.5, and approved by the State Department of Health Services, claims for specialty mental health services shall be presented to the Department no later than six months after the month of service. The Department shall present such claims to the State Department of Health Services no later than seven months after the date of service. 
(c) The Department shall resubmit a claim, which has been returned by the State Department of Health Services for correction or additional information, no later than three months after the month in which the claim was returned by the State Department of Health Services. 
NOTE

Authority cited: Section 14680, Welfare and Institutions Code. Reference: Sections 5778 and 14021.5, Welfare and Institutions Code.
HISTORY

1. New section filed 10-31-97 as an emergency; operative 11-1-97 (Register 97, No. 44). A Certificate of Compliance must be transmitted to OAL by 3-2-98 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 3-2-98 as an emergency; operative 3-2-98 (Register 98, No. 10). A Certificate of Compliance must be transmitted to OAL by 6-30-98 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 6-17-98 as an emergency; operative 6-30-98 (Register 98, No. 25). Pursuant to Chapter 324 (Statutes of 1998) Item 4440-103-0001(4), a Certificate of Compliance must be transmitted to OAL by 7-1-99 or emergency language will be repealed by operation of law on the following day.
4. Editorial correction of History 3 (Register 98, No. 39).
5. Editorial correction extending Certificate of Compliance date to 7-1-2001 pursuant to Chapter 50 (Statutes of 1999) Item 4440-103-0001(4) (Register 99, No. 33). Notwithstanding any other provision of law, emergency regulations adopted pursuant to Welfare and Institutions Code section 14680 to implement the second phase of mental health managed care as provided in this part shall remain in effect until permanent regulations are adopted, or June 30, 2006, whichever occurs first.
6. Editorial correction of History 5 (Register 2000, No. 42). 
7. Editorial correction of History 5 and repealer and new section filed 5-19-2006; operative 6-18-2006 (Register 2006, No. 20). 
§1840.112. MHP Claims Certification and Program Integrity.
Note     •     History

(a) Each MHP shall comply with all state and federal statutory and regulatory requirements for certification of claims, including Title 42, Code of Federal Regulations Sections 438.604, 438.606, and Section 438.608, which are hereby incorporated by reference. 
(b) Each MHP shall certify to the Department, in writing, each monthly claim prior to submission to the State for reimbursement. The certification shall attest to the following for each beneficiary with services included in the claim: 
(1) An assessment of the beneficiary was conducted in compliance with the requirements established in the MHP contract with the Department. 
(2) The beneficiary was eligible to receive Medi-Cal services at the time the services were provided to the beneficiary. 
(3) The services included in the claim were actually provided to the beneficiary. 
(4) Medical necessity was established for the beneficiary as defined under this chapter for the service or services provided, for the timeframe in which the services were provided. 
(5) A client plan was developed and maintained for the beneficiary that met all client plan requirements established in the MHP contract with the Department 
(6) For each beneficiary with day rehabilitation, day treatment intensive or EPSDT supplemental specialty mental health services included in the claim, all requirements for MHP payment authorization in the MHP contract for day rehabilitation, day treatment intensive and EPSDT supplemental specialty mental health services were met, and any reviews for such service or services were conducted prior to the initial authorization and any re-authorization periods as established in the MHP contract with the Department. 
(c) In compliance with title 42 CFR sections 433.15 and 455.18, the MHP's chief financial officer or equivalent or an individual with authority delegated by the chief financial officer shall sign the certification under penalty of perjury that the State share of payment for services covered by the claim has been provided in order to satisfy the matching requirement for federal financial participation.
(d) The MHP shall have mechanisms that support the certification, including the certification that the services for which claims were submitted were actually provided to the beneficiary.
NOTE

Authority cited: Sections 5775, 14043.75 and 14680, Welfare and Institutions Code. Reference: Sections 5718, 5719, 5724, 5767, 5776, 5777, 5778 and 14684, Welfare and Institutions Code; 42 CFR Part 433, Section 433.51, Part 438, Sections 438.604, 438.606 and 438.608; and Part 455, Section 455.18.
HISTORY

1. New section filed 6-19-2003 as an emergency; operative 7-1-2003 (Register 2003, No. 25). A Certificate of Compliance must be transmitted to OAL by 10-29-2003 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 7-1-2003 order transmitted to OAL 10-6-2003 and filed 11-18-2003 (Register 2003, No. 47).
3. Repealer and new section filed 5-19-2006; operative 6-18-2006 (Register 2006, No. 20). 
4. New subsection (c) filed 10-18-2010; operative 11-17-2010 (Register 2010, No. 43).
§1840.115. Alternative Contract Provider Rates.
Note     •     History

FFP for payments to providers by the MHP based on Section 1810.438 shall be claimed on the basis of actual services provided in accordance with articles 2 and 3 of this Subchapter. 
NOTE

Authority cited: Section 14680, Welfare and Institutions Code. Reference: Section 5778, Welfare and Institutions Code.
HISTORY

1. New section filed 10-31-97 as an emergency; operative 11-1-97 (Register 97, No. 44). A Certificate of Compliance must be transmitted to OAL by 3-2-98 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 3-2-98 as an emergency; operative 3-2-98 (Register 98, No. 10). A Certificate of Compliance must be transmitted to OAL by 6-30-98 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 6-17-98 as an emergency; operative 6-30-98 (Register 98, No. 25). Pursuant to Chapter 324 (Statutes of 1998) Item 4440-103-0001(4), a Certificate of Compliance must be transmitted to OAL by 7-1-99 or emergency language will be repealed by operation of law on the following day.
4. Editorial correction of History 3 (Register 98, No. 39).
5. Editorial correction extending Certificate of Compliance date to 7-1-2001 pursuant to Chapter 50 (Statutes of 1999) Item 4440-103-0001(4) (Register 99, No. 33). Notwithstanding any other provision of law, emergency regulations adopted pursuant to Welfare and Institutions Code section 14680 to implement the second phase of mental health managed care as provided in this part shall remain in effect until permanent regulations are adopted, or June 30, 2006, whichever occurs first.
6. Editorial correction of History 5 (Register 2000, No. 42). 
7. Editorial correction of History 5 and repealer and new section filed 5-19-2006; operative 6-18-2006 (Register 2006, No. 20). 
Article 2. Psychiatric Inpatient Hospital Services
§1840.205. General.
Note     •     History

(a) FFP for Short-Doyle/Medi-Cal hospitals shall be claimed through the Short-Doyle/Medi-Cal system in accordance with Section 1840.110. 
(b) FFP for Fee-For-Service/Medi-Cal hospitals shall be claimed by the State Department of Health Services in the same manner as FFP is claimed for other Medi-Cal services billed to the fiscal intermediary. 
NOTE

Authority cited: Section 14680, Welfare and Institutions Code. Reference: Section 5778, Welfare and Institutions Code.
HISTORY

1. New article 2 (sections 1840.205-1840.215) and section filed 10-31-97 as an emergency; operative 11-1-97 (Register 97, No. 44). A Certificate of Compliance must be transmitted to OAL by 3-2-98 or emergency language will be repealed by operation of law on the following day.
2. New article 2 (sections 1840.205-1840.215) and section refiled 3-2-98 as an emergency; operative 3-2-98 (Register 98, No. 10). A Certificate of Compliance must be transmitted to OAL by 6-30-98 or emergency language will be repealed by operation of law on the following day.
3. New article 2 (sections 1840.205-1840.215) and section refiled 6-17-98 as an emergency; operative 6-30-98 (Register 98, No. 25). Pursuant to Chapter 324 (Statutes of 1998) Item 4440-103-0001(4), a Certificate of Compliance must be transmitted to OAL by 7-1-99 or emergency language will be repealed by operation of law on the following day.
4. Editorial correction of History 3 (Register 98, No. 39).
5. Editorial correction extending Certificate of Compliance date to 7-1-2001 pursuant to Chapter 50 (Statutes of 1999) Item 4440-103-0001(4) (Register 99, No. 33). Notwithstanding any other provision of law, emergency regulations adopted pursuant to Welfare and Institutions Code section 14680 to implement the second phase of mental health managed care as provided in this part shall remain in effect until permanent regulations are adopted, or June 30, 2006, whichever occurs first.
6. Editorial correction of History 5 (Register 2000, No. 42). 
7. Editorial correction of History 5 and repealer and new section filed 5-19-2006; operative 6-18-2006 (Register 2006, No. 20). 
§1840.210. Non-Reimbursable Psychiatric Inpatient Hospital Services.
Note     •     History

(a) The MHP may claim FFP for psychiatric inpatient hospital services in a psychiatric health facility that is larger than 16 beds and is certified by the State Department of Health Services as a Medi-Cal provider of inpatient hospital services or an acute psychiatric hospital that is larger than 16 beds only under the following conditions: 
(1) The beneficiary is 65 years of age or older, or 
(2) The beneficiary is under 21 years of age, or 
(3) The beneficiary was receiving such services prior to his/her twenty-first birthday and the services are rendered without interruption until no longer required or his/her twenty-second birthday, whichever is earlier. 
(b) The restrictions in Subsection (a) regarding claiming FFP for services in acute psychiatric hospitals and psychiatric health facilities shall cease to have effect if federal law changes or a federal waiver is obtained and reimbursement is subsequently approved. 
(c) The MHP may not claim FFP for psychiatric inpatient hospital services until the beneficiary has met the beneficiary's share of cost obligations under Title 22, Sections 50657 through 50659. 
NOTE

Authority cited: Section 14680, Welfare and Institutions Code. Reference: Section 5778, Welfare and Institutions Code.
HISTORY

1. New section filed 10-31-97 as an emergency; operative 11-1-97 (Register 97, No. 44). A Certificate of Compliance must be transmitted to OAL by 3-2-98 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 3-2-98 as an emergency; operative 3-2-98 (Register 98, No. 10). A Certificate of Compliance must be transmitted to OAL by 6-30-98 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 6-17-98 as an emergency; operative 6-30-98 (Register 98, No. 25). Pursuant to Chapter 324 (Statutes of 1998) Item 4440-103-0001(4), a Certificate of Compliance must be transmitted to OAL by 7-1-99 or emergency language will be repealed by operation of law on the following day.
4. Editorial correction of History 3 (Register 98, No. 39).
5. Editorial correction extending Certificate of Compliance date to 7-1-2001 pursuant to Chapter 50 (Statutes of 1999) Item 4440-103-0001(4) (Register 99, No. 33). Notwithstanding any other provision of law, emergency regulations adopted pursuant to Welfare and Institutions Code section 14680 to implement the second phase of mental health managed care as provided in this part shall remain in effect until permanent regulations are adopted, or June 30, 2006, whichever occurs first.
6. Editorial correction of History 5 (Register 2000, No. 42). 
7. Editorial correction of History 5 and repealer and new section filed 5-19-2006; operative 6-18-2006 (Register 2006, No. 20). 
§1840.215. Lockouts for Psychiatric Inpatient Hospital Services.
Note     •     History

(a) The following services are not reimbursable on days when psychiatric inpatient hospital services are reimbursed, except for the day of admission to psychiatric inpatient hospital services: 
(1) Adult Residential Treatment Services, 
(2) Crisis Residential Treatment Services, 
(3) Crisis Intervention, 
(4) Day Treatment Intensive, 
(5) Day Rehabilitation, 
(6) Psychiatric Nursing Facility Services, except as provided in Subsection (b), 
(7) Crisis Stabilization, and 
(8) Psychiatric Health Facility Services. 
(b) Psychiatric Nursing Facility Services may be claimed for the same day as a psychiatric inpatient hospital services, if the beneficiary has exercised the bed hold option provided by Title 22, Sections 72520, 73504, 76506, and 76709.1, subject to the limitations of Title 22, Section 51535.1. 
(c) When psychiatric inpatient hospital services are provided in a Short-Doyle/Medi-Cal hospital, in addition to the services listed in (a), psychiatrist services, psychologist services, mental health services, and medication support services are included in the per diem rate and not separately reimbursable, except for the day of admission. 
NOTE

Authority cited: Section 14680, Welfare and Institutions Code. Reference: Section 5778, Welfare and Institutions Code.
HISTORY

1. New section filed 10-31-97 as an emergency; operative 11-1-97 (Register 97, No. 44). A Certificate of Compliance must be transmitted to OAL by 3-2-98 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 3-2-98 as an emergency; operative 3-2-98 (Register 98, No. 10). A Certificate of Compliance must be transmitted to OAL by 6-30-98 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 6-17-98 as an emergency; operative 6-30-98 (Register 98, No. 25). Pursuant to Chapter 324 (Statutes of 1998) Item 4440-103-0001(4), a Certificate of Compliance must be transmitted to OAL by 7-1-99 or emergency language will be repealed by operation of law on the following day.
4. Editorial correction of History 3 (Register 98, No. 39).
5. Editorial correction extending Certificate of Compliance date to 7-1-2001 pursuant to Chapter 50 (Statutes of 1999) Item 4440-103-0001(4) (Register 99, No. 33). Notwithstanding any other provision of law, emergency regulations adopted pursuant to Welfare and Institutions Code section 14680 to implement the second phase of mental health managed care as provided in this part shall remain in effect until permanent regulations are adopted, or June 30, 2006, whichever occurs first.
6. Editorial correction of History 5 (Register 2000, No. 42). 
7. Editorial correction of History 5 and repealer and new section filed 5-19-2006; operative 6-18-2006 (Register 2006, No. 20). 
Article 3. Specialty Mental Health Services Other than Psychiatric Inpatient Hospital Services
§1840.302. Psychiatric Nursing Facility Services.
Note     •     History

FFP for psychiatric nursing facility services shall be claimed by the State Department of Health Services in the same manner as FFP is claimed for other Medi-Cal services billed to the fiscal intermediary. 
NOTE

Authority cited: Section 14680, Welfare and Institutions Code. Reference: Section 5778, Welfare and Institutions Code.
HISTORY

1. New article 3 (sections 1840.302-1840.374) and section filed 10-31-97 as an emergency; operative 11-1-97 (Register 97, No. 44). A Certificate of Compliance must be transmitted to OAL by 3-2-98 or emergency language will be repealed by operation of law on the following day.
2. New article 3 (sections 1840.302-1840.374) and section refiled 3-2-98 as an emergency; operative 3-2-98 (Register 98, No. 10). A Certificate of Compliance must be transmitted to OAL by 6-30-98 or emergency language will be repealed by operation of law on the following day.
3. New article 3 (sections 1840.302-1840.374) and section refiled 6-17-98 as an emergency; operative 6-30-98 (Register 98, No. 25). Pursuant to Chapter 324 (Statutes of 1998) Item 4440-103-0001(4), a Certificate of Compliance must be transmitted to OAL by 7-1-99 or emergency language will be repealed by operation of law on the following day.
4. Editorial correction of History 3 (Register 98, No. 39).
5. Editorial correction extending Certificate of Compliance date to 7-1-2001 pursuant to Chapter 50 (Statutes of 1999) Item 4440-103-0001(4) (Register 99, No. 33). Notwithstanding any other provision of law, emergency regulations adopted pursuant to Welfare and Institutions Code section 14680 to implement the second phase of mental health managed care as provided in this part shall remain in effect until permanent regulations are adopted, or June 30, 2006, whichever occurs first.
6. Editorial correction of History 5 (Register 2000, No. 42). 
7. Editorial correction of History 5 and repealer and new section filed 5-19-2006; operative 6-18-2006 (Register 2006, No. 20). 
§1840.304. Crosswalk Between Service Functions and HCPCS Codes.
Note     •     History

(a) When an individual or group provider bills and is paid by the MHP for psychiatrist, psychologist, or EPSDT supplemental specialty mental health services using CPT or other HCPCS codes, the MHP shall claim FFP by service function based on a crosswalk between allowable CPT and other HCPCS codes and service functions established by the Department pursuant to the contract between the MHP and the Department. The dollar amount claimed shall be in accordance with Section 1840.105. 
(b) When a provider that is a hospital outpatient department bills and is paid by the MHP for facility room use using the HCPCS codes Z7500 or Z7502 in addition to the CPT or other HCPCS code for the specialty mental health service provided to the beneficiary, the MHP shall claim FFP for the combined codes under the CPT or other HCPCS codes for the specialty mental health service provided to the beneficiary that are listed on the crosswalk established pursuant to the contract between the MHP and the Department as specified in Subsection (a). When a provider bills the MHP using a CPT or other HCPCS code that is not included on the crosswalk established pursuant to the contract between the MHP and the Department as specified in Subsection (a) other than Z7500 or Z7502, the MHP shall determine the appropriate service function for the service provided and shall claim FFP in accordance with Section 1840.308. 
(c) The HCPCS codes listed on the crosswalk established pursuant to the contract between the MHP and the Department as specified in Subsection (a) may be billed by any individual or group providers acting within the scope of their practice. 
(d) The lockouts described in Section 1840.215 and Sections 1840.360 through 1840.374 shall apply to claiming of FFP for services claimed under this Section. For the purpose of determining lockouts the service shall be considered to be the service function identified on the crosswalk established pursuant to the contract between the MHP and the Department as specified in Subsection (a). 
(e) The crosswalk established pursuant to the contract between the MHP and the Department as specified in Subsection (a) shall not be used to claim FFP for services provided by organizational providers. 
NOTE

Authority cited: Section 14680, Welfare and Institutions Code. Reference: Section 5778, Welfare and Institutions Code.
HISTORY

1. New section filed 10-31-97 as an emergency; operative 11-1-97 (Register 97, No. 44). A Certificate of Compliance must be transmitted to OAL by 3-2-98 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 3-2-98 as an emergency; operative 3-2-98 (Register 98, No. 10). A Certificate of Compliance must be transmitted to OAL by 6-30-98 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 6-17-98 as an emergency; operative 6-30-98 (Register 98, No. 25). Pursuant to Chapter 324 (Statutes of 1998) Item 4440-103-0001(4), a Certificate of Compliance must be transmitted to OAL by 7-1-99 or emergency language will be repealed by operation of law on the following day.
4. Editorial correction of History 3 (Register 98, No. 39).
5. Editorial correction extending Certificate of Compliance date to 7-1-2001 pursuant to Chapter 50 (Statutes of 1999) Item 4440-103-0001(4) (Register 99, No. 33). Notwithstanding any other provision of law, emergency regulations adopted pursuant to Welfare and Institutions Code section 14680 to implement the second phase of mental health managed care as provided in this part shall remain in effect until permanent regulations are adopted, or June 30, 2006, whichever occurs first.
6. Editorial correction of History 5 (Register 2000, No. 42). 
7. Editorial correction of History 5 and repealer and new section filed 5-19-2006; operative 6-18-2006 (Register 2006, No. 20). 
§1840.306. Psychiatrist, Psychologist, and EPSDT Supplemental Specialty Mental Health Services.
Note     •     History

FFP for psychiatrist, psychologist, and EPSDT supplemental specialty mental health services shall be claimed through the Short-Doyle/Medi-Cal system in accordance with Section 1840.110, based on the provisions of Section 1840.304, including the crosswalk identified in Section 1840.304(a), unless the terms of the contract between provider and the MHP require the provider to provide and bill for services in accordance with Section 1840.308. The dollar amount claimed shall be in accordance with Section 1840.105. 
NOTE

Authority cited: Section 14680, Welfare and Institutions Code. Reference: Section 5778, Welfare and Institutions Code.
HISTORY

1. New section filed 10-31-97 as an emergency; operative 11-1-97 (Register 97, No. 44). A Certificate of Compliance must be transmitted to OAL by 3-2-98 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 3-2-98 as an emergency; operative 3-2-98 (Register 98, No. 10). A Certificate of Compliance must be transmitted to OAL by 6-30-98 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 6-17-98 as an emergency; operative 6-30-98 (Register 98, No. 25). Pursuant to Chapter 324 (Statutes of 1998) Item 4440-103-0001(4), a Certificate of Compliance must be transmitted to OAL by 7-1-99 or emergency language will be repealed by operation of law on the following day.
4. Editorial correction of History 3 (Register 98, No. 39).
5. Editorial correction extending Certificate of Compliance date to 7-1-2001 pursuant to Chapter 50 (Statutes of 1999) Item 4440-103-0001(4) (Register 99, No. 33). Notwithstanding any other provision of law, emergency regulations adopted pursuant to Welfare and Institutions Code section 14680 to implement the second phase of mental health managed care as provided in this part shall remain in effect until permanent regulations are adopted, or June 30, 2006, whichever occurs first.
6. Editorial correction of History 5 (Register 2000, No. 42). 
7. Editorial correction of History 5 and repealer and new section filed 5-19-2006; operative 6-18-2006 (Register 2006, No. 20). 
§1840.308. Service Functions.
Note     •     History

FFP for service functions shall be claimed through the Short-Doyle/Medi-Cal system in accordance with Section 1840.110. To be eligible for reimbursement, each service function shall have been provided in accordance with Sections 1840.314 through 1840.372. The services may be delivered either by individual, group, or organizational providers. The dollar amount claimed shall be in accordance with Section 1840.105. 
NOTE

Authority cited: Section 14680, Welfare and Institutions Code. Reference: Section 5778, Welfare and Institutions Code.
HISTORY

1. New section filed 10-31-97 as an emergency; operative 11-1-97 (Register 97, No. 44). A Certificate of Compliance must be transmitted to OAL by 3-2-98 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 3-2-98 as an emergency; operative 3-2-98 (Register 98, No. 10). A Certificate of Compliance must be transmitted to OAL by 6-30-98 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 6-17-98 as an emergency; operative 6-30-98 (Register 98, No. 25). Pursuant to Chapter 324 (Statutes of 1998) Item 4440-103-0001(4), a Certificate of Compliance must be transmitted to OAL by 7-1-99 or emergency language will be repealed by operation of law on the following day.
4. Editorial correction of History 3 (Register 98, No. 39).
5. Editorial correction extending Certificate of Compliance date to 7-1-2001 pursuant to Chapter 50 (Statutes of 1999) Item 4440-103-0001(4) (Register 99, No. 33). Notwithstanding any other provision of law, emergency regulations adopted pursuant to Welfare and Institutions Code section 14680 to implement the second phase of mental health managed care as provided in this part shall remain in effect until permanent regulations are adopted, or June 30, 2006, whichever occurs first.
6. Editorial correction of History 5 (Register 2000, No. 42). 
7. Editorial correction of History 5 and repealer and new section filed 5-19-2006; operative 6-18-2006 (Register 2006, No. 20). 
§1840.312. Non-Reimbursable Services--General.
Note     •     History

The following services are not eligible for FFP: 
(a) Academic educational services. 
(b) Vocational services that have as a purpose actual work or work training. 
(c) Recreation. 
(d) Socialization is not reimbursable if it consists of generalized group activities that do not provide systematic individualized feedback to the specific targeted behaviors of the beneficiaries involved. 
(e) Board and care costs for Adult Residential Treatment Services, Crisis Residential Treatment Services, and Psychiatric Health Facility Services. 
(f) Medi-Cal program benefits that are excluded from coverage by the MHP as described in Section 1810.355. 
(g) Specialty mental health services covered by this Article provided during the time a beneficiary 21 years of age through 64 years of age resides in any institution for mental diseases, unless: 
(1) The beneficiary was receiving, prior to his/her twenty-first birthday, services in an institution for mental diseases and the services are rendered without interruption until no longer required or his/her twenty-second birthday, whichever is earlier; and 
(2) The facility has been accredited in accordance with Title 42, Code of Federal Regulations, Section 440.160, and complies with Title 42, Code of Federal Regulations, 441.150 through 441.156. Facilities at which FFP may be available include but are not limited to acute psychiatric hospitals and psychiatric health facilities certified by the State Department of Health Services as a Medi-Cal provider of inpatient hospital services. 
(h) Specialty mental health services covered by this Article provided during the time a beneficiary under 21 years of age resides in an institution for mental disease other than an institution for mental disease that has been accredited in accordance with Title 42, Code of Federal Regulations, Sections 440.160 and 441.150 through 441.156. Facilities at which FFP may be available include acute psychiatric hospitals and psychiatric health facilities certified by the State Department of Health Services as Medi-Cal providers of inpatient hospital services. 
(i) The restrictions in Subsections (g) and (h) regarding claiming FFP for services to beneficiaries residing in institutions for mental disease shall cease to have effect if federal law changes or a federal waiver is obtained and claiming FFP is subsequently approved. 
(j) Specialty mental health services that are minor consent services as defined in Title 22, Section 50063.5 to the extent that they are provided to beneficiaries whose Medi-Cal eligibility pursuant to Title 22, Section 50147.1 is determined to be limited to minor consent services. 
(k) The MHP may not claim FFP for specialty mental health services until the beneficiary has met the beneficiary's share of cost obligations under Title 22, Sections 50657 through 50659. 
NOTE

Authority cited: Section 14680, Welfare and Institutions Code. Reference: Section 5778, Welfare and Institutions Code.
HISTORY

1. New section filed 10-31-97 as an emergency; operative 11-1-97 (Register 97, No. 44). A Certificate of Compliance must be transmitted to OAL by 3-2-98 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 3-2-98 as an emergency; operative 3-2-98 (Register 98, No. 10). A Certificate of Compliance must be transmitted to OAL by 6-30-98 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 6-17-98 as an emergency; operative 6-30-98 (Register 98, No. 25). Pursuant to Chapter 324 (Statutes of 1998) Item 4440-103-0001(4), a Certificate of Compliance must be transmitted to OAL by 7-1-99 or emergency language will be repealed by operation of law on the following day.
4. Editorial correction of History 3 (Register 98, No. 39).
5. Editorial correction extending Certificate of Compliance date to 7-1-2001 pursuant to Chapter 50 (Statutes of 1999) Item 4440-103-0001(4) (Register 99, No. 33). Notwithstanding any other provision of law, emergency regulations adopted pursuant to Welfare and Institutions Code section 14680 to implement the second phase of mental health managed care as provided in this part shall remain in effect until permanent regulations are adopted, or June 30, 2006, whichever occurs first.
6. Editorial correction of History 5 (Register 2000, No. 42). 
7. Editorial correction of History 5 and repealer and new section filed 5-19-2006; operative 6-18-2006 (Register 2006, No. 20). 
§1840.314. Claiming for Service Functions--General.
Note     •     History

In order to receive FFP for provider payments made by the MHP or for services delivered directly by the MHP, the MPH must assure that the following requirements are met for all service functions: 
(a) The provider must meet the standards for participation in the Medi-Cal program as established under Titles XVIII and XIX of the Social Security Act. 
(b) Contacts with significant support persons in the beneficiary's life are directed exclusively to the mental health needs of the beneficiary. 
(c) When services are being provided to or on behalf of a beneficiary by two or more persons at one point in time, each person's involvement shall be documented in the context of the mental health needs of the beneficiary. 
(d) Services shall be provided within the scope of practice of the person delivering service, if professional licensure is required for the service. 
(e) Services shall be provided: 
(1) Under the direction of one or more of the following: 
(A) Physician 
(B) Psychologist 
(C) Licensed Clinical Social Worker 
(D) Marriage and Family Therapist 
(E) Registered Nurse 
(F) Waivered/Registered Professional when supervised by a licensed mental health professional in accordance with laws and regulations governing the registration or waiver. 
(2) Direction may include, but is not limited to being the person directly providing the service, acting as a clinical team leader, direct or functional supervision of service delivery, or approval of client plans. Individuals are not required to be physically present at the service site to exercise direction. 
(f) Hospital outpatient departments as defined in Title 22, Section 51112, operating under the license of a hospital may only provide service functions in compliance with licensing requirements. 
NOTE

Authority cited: Section 14680, Welfare and Institutions Code. Reference: Section 5778, Welfare and Institutions Code.
HISTORY

1. New section filed 10-31-97 as an emergency; operative 11-1-97 (Register 97, No. 44). A Certificate of Compliance must be transmitted to OAL by 3-2-98 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 3-2-98 as an emergency; operative 3-2-98 (Register 98, No. 10). A Certificate of Compliance must be transmitted to OAL by 6-30-98 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 6-17-98 as an emergency; operative 6-30-98 (Register 98, No. 25). Pursuant to Chapter 324 (Statutes of 1998) Item 4440-103-0001(4), a Certificate of Compliance must be transmitted to OAL by 7-1-99 or emergency language will be repealed by operation of law on the following day.
4. Editorial correction of History 3 (Register 98, No. 39).
5. Editorial correction extending Certificate of Compliance date to 7-1-2001 pursuant to Chapter 50 (Statutes of 1999) Item 4440-103-0001(4) (Register 99, No. 33). Notwithstanding any other provision of law, emergency regulations adopted pursuant to Welfare and Institutions Code section 14680 to implement the second phase of mental health managed care as provided in this part shall remain in effect until permanent regulations are adopted, or June 30, 2006, whichever occurs first.
6. Editorial correction of History 5 (Register 2000, No. 42). 
7. Editorial correction of History 5 and repealer and new section filed 5-19-2006; operative 6-18-2006 (Register 2006, No. 20). 
§1840.316. Claiming for Service Functions Based on Minutes of Time.
Note     •     History

(a) For the following services the billing unit is the time of the person delivering the service in minutes of time: 
(1) Mental Health Services 
(2) Medication Support Services 
(3) Crisis Intervention 
(4) Targeted Case Management 
(b) The following requirements apply for claiming of services based on minutes of time: 
(1) The exact number of minutes used by persons providing a reimbursable service shall be reported and billed. In no case shall more than 60 units of time be reported or claimed for any one person during a one-hour period. In no case shall the units of time reported or claimed for any one person exceed the hours worked. 
(2) When a person provides service to or on behalf of more than one beneficiary at the same time, the person's time must be prorated to each beneficiary. When more than one person provides a service to more than one beneficiary at the same time, the time utilized by all those providing the service shall be added together to yield the total claimable services. The total time claimed shall not exceed the actual time utilized for claimable services. 
(3) The time required for documentation and travel is reimbursable when the documentation or travel is a component of a reimbursable service activity, whether or not the time is on the same day as the reimbursable service activity. 
(4) Plan development for Mental Health Services and Medication Support Services is reimbursable. Units of time may be billed regardless of whether there is a face-to-face or phone contact with the beneficiary. 
NOTE

Authority cited: Section 14680, Welfare and Institutions Code. Reference: Section 5778, Welfare and Institutions Code.
HISTORY

1. New section filed 10-31-97 as an emergency; operative 11-1-97 (Register 97, No. 44). A Certificate of Compliance must be transmitted to OAL by 3-2-98 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 3-2-98 as an emergency; operative 3-2-98 (Register 98, No. 10). A Certificate of Compliance must be transmitted to OAL by 6-30-98 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 6-17-98 as an emergency; operative 6-30-98 (Register 98, No. 25). Pursuant to Chapter 324 (Statutes of 1998) Item 4440-103-0001(4), a Certificate of Compliance must be transmitted to OAL by 7-1-99 or emergency language will be repealed by operation of law on the following day.
4. Editorial correction of History 3 (Register 98, No. 39).
5. Editorial correction extending Certificate of Compliance date to 7-1-2001 pursuant to Chapter 50 (Statutes of 1999) Item 4440-103-0001(4) (Register 99, No. 33). Notwithstanding any other provision of law, emergency regulations adopted pursuant to Welfare and Institutions Code section 14680 to implement the second phase of mental health managed care as provided in this part shall remain in effect until permanent regulations are adopted, or June 30, 2006, whichever occurs first.
6. Editorial correction of History 5 (Register 2000, No. 42). 
7. Editorial correction of History 5 and repealer and new section filed 5-19-2006; operative 6-18-2006 (Register 2006, No. 20). 
§1840.318. Claiming for Service Functions on Half Days or Full Days of Time.
Note     •     History

(a) Day treatment intensive and day rehabilitation shall be billed as half days or full days of service. 
(b) The following requirements apply for claiming of services based on half days or full days of time: 
(1) A half-day shall be billed for each day in which the beneficiary receives face-to-face services in a program with services available four hours or less per day. Services must be available a minimum of three hours each day the program is open. 
(2) A full day shall be billed for each day in which the beneficiary receives face-to-face services in a program with services available more than four hours per day. 
(3) Although the beneficiary must receive face-to-face services on any full day or half-day claimed, all service activities during that day are not required to be face-to-face with the beneficiary. 
NOTE

Authority cited: Section 14680, Welfare and Institutions Code. Reference: Section 5778, Welfare and Institutions Code.
HISTORY

1. New section filed 10-31-97 as an emergency; operative 11-1-97 (Register 97, No. 44). A Certificate of Compliance must be transmitted to OAL by 3-2-98 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 3-2-98 as an emergency; operative 3-2-98 (Register 98, No. 10). A Certificate of Compliance must be transmitted to OAL by 6-30-98 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 6-17-98 as an emergency; operative 6-30-98 (Register 98, No. 25). Pursuant to Chapter 324 (Statutes of 1998) Item 4440-103-0001(4), a Certificate of Compliance must be transmitted to OAL by 7-1-99 or emergency language will be repealed by operation of law on the following day.
4. Editorial correction of History 3 (Register 98, No. 39).
5. Editorial correction extending Certificate of Compliance date to 7-1-2001 pursuant to Chapter 50 (Statutes of 1999) Item 4440-103-0001(4) (Register 99, No. 33). Notwithstanding any other provision of law, emergency regulations adopted pursuant to Welfare and Institutions Code section 14680 to implement the second phase of mental health managed care as provided in this part shall remain in effect until permanent regulations are adopted, or June 30, 2006, whichever occurs first.
6. Editorial correction of History 5 (Register 2000, No. 42). 
7. Editorial correction of History 5 and repealer and new section filed 5-19-2006; operative 6-18-2006 (Register 2006, No. 20). 
§1840.320. Claiming for Service Functions Based on Calendar Days.
Note     •     History

(a) The following services are reimbursed based on calendar days: 
(1) Adult Residential Treatment Services 
(2) Crisis Residential Treatment Services 
(3) Psychiatric Health Facility Services. 
(b) The following requirements apply for claiming of services based on calendar days: 
(1) A day shall be billed for each calendar day in which the beneficiary receives face-to face services and the beneficiary has been admitted to the program. Services may not be billed for days the beneficiary is not present. 
(2) Board and care costs are not included in the claiming rate. 
(3) The day of admission may be billed but not the day of discharge. 
NOTE

Authority cited: Section 14680, Welfare and Institutions Code. Reference: Section 5778, Welfare and Institutions Code.
HISTORY

1. New section filed 10-31-97 as an emergency; operative 11-1-97 (Register 97, No. 44). A Certificate of Compliance must be transmitted to OAL by 3-2-98 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 3-2-98 as an emergency; operative 3-2-98 (Register 98, No. 10). A Certificate of Compliance must be transmitted to OAL by 6-30-98 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 6-17-98 as an emergency; operative 6-30-98 (Register 98, No. 25). Pursuant to Chapter 324 (Statutes of 1998) Item 4440-103-0001(4), a Certificate of Compliance must be transmitted to OAL by 7-1-99 or emergency language will be repealed by operation of law on the following day.
4. Editorial correction of History 3 (Register 98, No. 39).
5. Editorial correction extending Certificate of Compliance date to 7-1-2001 pursuant to Chapter 50 (Statutes of 1999) Item 4440-103-0001(4) (Register 99, No. 33). Notwithstanding any other provision of law, emergency regulations adopted pursuant to Welfare and Institutions Code section 14680 to implement the second phase of mental health managed care as provided in this part shall remain in effect until permanent regulations are adopted, or June 30, 2006, whichever occurs first.
6. Editorial correction of History 5 (Register 2000, No. 42). 
7. Editorial correction of History 5 and repealer and new section filed 5-19-2006; operative 6-18-2006 (Register 2006, No. 20). 
§1840.322. Claiming for Service Functions Based on Hours of Time.
Note     •     History

(a) Crisis Stabilization shall be reimbursed based on hours of time: 
(b) The following requirements apply for claiming of services based on time: 
(1) Each one-hour block that the beneficiary receives crisis stabilization services shall be claimed. 
(2) Partial blocks of time shall be rounded up or down to the nearest one-hour increment except that services provided during the first hour shall always be rounded up. 
NOTE

Authority cited: Section 14680, Welfare and Institutions Code. Reference: Section 5778, Welfare and Institutions Code.
HISTORY

1. New section filed 10-31-97 as an emergency; operative 11-1-97 (Register 97, No. 44). A Certificate of Compliance must be transmitted to OAL by 3-2-98 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 3-2-98 as an emergency; operative 3-2-98 (Register 98, No. 10). A Certificate of Compliance must be transmitted to OAL by 6-30-98 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 6-17-98 as an emergency; operative 6-30-98 (Register 98, No. 25). Pursuant to Chapter 324 (Statutes of 1998) Item 4440-103-0001(4), a Certificate of Compliance must be transmitted to OAL by 7-1-99 or emergency language will be repealed by operation of law on the following day.
4. Editorial correction of History 3 (Register 98, No. 39).
5. Editorial correction extending Certificate of Compliance date to 7-1-2001 pursuant to Chapter 50 (Statutes of 1999) Item 4440-103-0001(4) (Register 99, No. 33). Notwithstanding any other provision of law, emergency regulations adopted pursuant to Welfare and Institutions Code section 14680 to implement the second phase of mental health managed care as provided in this part shall remain in effect until permanent regulations are adopted, or June 30, 2006, whichever occurs first.
6. Editorial correction of History 5 (Register 2000, No. 42). 
7. Editorial correction of History 5 and repealer and new section filed 5-19-2006; operative 6-18-2006 (Register 2006, No. 20). 
§1840.324. Mental Health Services Contact and Site Requirements.
Note     •     History

Mental Health Services may be either face-to-face or by telephone with the beneficiary or significant support persons and may be provided anywhere in the community. 
NOTE

Authority cited: Section 14680, Welfare and Institutions Code. Reference: Section 5778, Welfare and Institutions Code.
HISTORY

1. New section filed 10-31-97 as an emergency; operative 11-1-97 (Register 97, No. 44). A Certificate of Compliance must be transmitted to OAL by 3-2-98 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 3-2-98 as an emergency; operative 3-2-98 (Register 98, No. 10). A Certificate of Compliance must be transmitted to OAL by 6-30-98 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 6-17-98 as an emergency; operative 6-30-98 (Register 98, No. 25). Pursuant to Chapter 324 (Statutes of 1998) Item 4440-103-0001(4), a Certificate of Compliance must be transmitted to OAL by 7-1-99 or emergency language will be repealed by operation of law on the following day.
4. Editorial correction of History 3 (Register 98, No. 39).
5. Editorial correction extending Certificate of Compliance date to 7-1-2001 pursuant to Chapter 50 (Statutes of 1999) Item 4440-103-0001(4) (Register 99, No. 33). Notwithstanding any other provision of law, emergency regulations adopted pursuant to Welfare and Institutions Code section 14680 to implement the second phase of mental health managed care as provided in this part shall remain in effect until permanent regulations are adopted, or June 30, 2006, whichever occurs first.
6. Editorial correction of History 5 (Register 2000, No. 42). 
7. Editorial correction of History 5 and repealer and new section filed 5-19-2006; operative 6-18-2006 (Register 2006, No. 20). 
§1840.326. Medication Support Services Contact and Site Requirements.
Note     •     History

(a) Medication Support Services may be either face-to-face or by telephone with the beneficiary or significant support persons and may be provided anywhere in the community. 
(b) Medication Support Services that are provided within a residential or day program shall be billed as Medication Support Services separately from the residential or day program service. 
NOTE

Authority cited: Section 14680, Welfare and Institutions Code. Reference: Section 5778, Welfare and Institutions Code.
HISTORY

1. New section filed 10-31-97 as an emergency; operative 11-1-97 (Register 97, No. 44). A Certificate of Compliance must be transmitted to OAL by 3-2-98 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 3-2-98 as an emergency; operative 3-2-98 (Register 98, No. 10). A Certificate of Compliance must be transmitted to OAL by 6-30-98 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 6-17-98 as an emergency; operative 6-30-98 (Register 98, No. 25). Pursuant to Chapter 324 (Statutes of 1998) Item 4440-103-0001(4), a Certificate of Compliance must be transmitted to OAL by 7-1-99 or emergency language will be repealed by operation of law on the following day.
4. Editorial correction of History 3 (Register 98, No. 39).
5. Editorial correction extending Certificate of Compliance date to 7-1-2001 pursuant to Chapter 50 (Statutes of 1999) Item 4440-103-0001(4) (Register 99, No. 33). Notwithstanding any other provision of law, emergency regulations adopted pursuant to Welfare and Institutions Code section 14680 to implement the second phase of mental health managed care as provided in this part shall remain in effect until permanent regulations are adopted, or June 30, 2006, whichever occurs first.
6. Editorial correction of History 5 (Register 2000, No. 42). 
7. Editorial correction of History 5 and repealer and new section filed 5-19-2006; operative 6-18-2006 (Register 2006, No. 20). 
§1840.328. Day Treatment Intensive Services Contact and Site Requirements.
Note     •     History

Day Treatment Intensive Services shall have a clearly established site for services, although all services need not be delivered at that site. 
NOTE

Authority cited: Section 14680, Welfare and Institutions Code. Reference: Section 5778, Welfare and Institutions Code.
HISTORY

1. New section filed 10-31-97 as an emergency; operative 11-1-97 (Register 97, No. 44). A Certificate of Compliance must be transmitted to OAL by 3-2-98 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 3-2-98 as an emergency; operative 3-2-98 (Register 98, No. 10). A Certificate of Compliance must be transmitted to OAL by 6-30-98 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 6-17-98 as an emergency; operative 6-30-98 (Register 98, No. 25). Pursuant to Chapter 324 (Statutes of 1998) Item 4440-103-0001(4), a Certificate of Compliance must be transmitted to OAL by 7-1-99 or emergency language will be repealed by operation of law on the following day.
4. Editorial correction of History 3 (Register 98, No. 39).
5. Editorial correction extending Certificate of Compliance date to 7-1-2001 pursuant to Chapter 50 (Statutes of 1999) Item 4440-103-0001(4) (Register 99, No. 33). Notwithstanding any other provision of law, emergency regulations adopted pursuant to Welfare and Institutions Code section 14680 to implement the second phase of mental health managed care as provided in this part shall remain in effect until permanent regulations are adopted, or June 30, 2006, whichever occurs first.
6. Editorial correction of History 5 (Register 2000, No. 42). 
7. Editorial correction of History 5 and repealer and new section filed 5-19-2006; operative 6-18-2006 (Register 2006, No. 20). 
§1840.330. Day Rehabilitation Services Contact and Site Requirements.
Note     •     History

Day Rehabilitation Services shall have a clearly established site for services, although all services need not be delivered at that site. 
NOTE

Authority cited: Section 14680, Welfare and Institutions Code. Reference: Section 5778, Welfare and Institutions Code.
HISTORY

1. New section filed 10-31-97 as an emergency; operative 11-1-97 (Register 97, No. 44). A Certificate of Compliance must be transmitted to OAL by 3-2-98 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 3-2-98 as an emergency; operative 3-2-98 (Register 98, No. 10). A Certificate of Compliance must be transmitted to OAL by 6-30-98 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 6-17-98 as an emergency; operative 6-30-98 (Register 98, No. 25). Pursuant to Chapter 324 (Statutes of 1998) Item 4440-103-0001(4), a Certificate of Compliance must be transmitted to OAL by 7-1-99 or emergency language will be repealed by operation of law on the following day.
4. Editorial correction of History 3 (Register 98, No. 39).
5. Editorial correction extending Certificate of Compliance date to 7-1-2001 pursuant to Chapter 50 (Statutes of 1999) Item 4440-103-0001(4) (Register 99, No. 33). Notwithstanding any other provision of law, emergency regulations adopted pursuant to Welfare and Institutions Code section 14680 to implement the second phase of mental health managed care as provided in this part shall remain in effect until permanent regulations are adopted, or June 30, 2006, whichever occurs first.
6. Editorial correction of History 5 (Register 2000, No. 42). 
7. Editorial correction of History 5 and repealer and new section filed 5-19-2006; operative 6-18-2006 (Register 2006, No. 20). 
§1840.332. Adult Residential Treatment Services Contact and Site Requirements.
Note     •     History

(a) Adult Residential Treatment Services shall have a clearly established certified site for services, although all services need not be delivered at that site. Services shall not be claimable unless there is face-to-face contact between the beneficiary and a treatment staff person of the facility on the day of service and the beneficiary has been admitted to the program. 
(b) Programs that provide Adult Residential Treatment Services must be certified as a Social Rehabilitation Program by the Department as either a Transitional Residential Treatment Program or a Long Term Residential Treatment Program in accordance with Chapter 3, Division 1, of Title 9. Facility capacity must be limited to a maximum of 16 beds. 
(c) In addition to Social Rehabilitation Program certification, programs which provide Adult Residential Treatment Services must be licensed as a Social Rehabilitation Facility or Community Care Facility by the State Department of Social Services in accordance with Chapters 1 and 2, Division 6, of Title 22 or authorized to operate as a Mental Health Rehabilitation Center by the Department in accordance with Chapter 3.5, Division 1, of Title 9, beginning with Section 51000. 
NOTE

Authority cited: Section 14680, Welfare and Institutions Code. Reference: Section 5778, Welfare and Institutions Code.
HISTORY

1. New section filed 10-31-97 as an emergency; operative 11-1-97 (Register 97, No. 44). A Certificate of Compliance must be transmitted to OAL by 3-2-98 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 3-2-98 as an emergency; operative 3-2-98 (Register 98, No. 10). A Certificate of Compliance must be transmitted to OAL by 6-30-98 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 6-17-98 as an emergency; operative 6-30-98 (Register 98, No. 25). Pursuant to Chapter 324 (Statutes of 1998) Item 4440-103-0001(4), a Certificate of Compliance must be transmitted to OAL by 7-1-99 or emergency language will be repealed by operation of law on the following day.
4. Editorial correction of History 3 (Register 98, No. 39).
5. Editorial correction extending Certificate of Compliance date to 7-1-2001 pursuant to Chapter 50 (Statutes of 1999) Item 4440-103-0001(4) (Register 99, No. 33). Notwithstanding any other provision of law, emergency regulations adopted pursuant to Welfare and Institutions Code section 14680 to implement the second phase of mental health managed care as provided in this part shall remain in effect until permanent regulations are adopted, or June 30, 2006, whichever occurs first.
6. Editorial correction of History 5 (Register 2000, No. 42). 
7. Editorial correction of History 5 and repealer and new section filed 5-19-2006; operative 6-18-2006 (Register 2006, No. 20). 
§1840.334. Crisis Residential Treatment Services Contact and Site Requirements.
Note     •     History

(a) Crisis Residential Treatment Services shall have a clearly established certified site for services although all services need not be delivered at that site. Services shall not be claimable unless there is face-to-face contact between the beneficiary and a treatment staff person of the facility on the day of service and the beneficiary has been admitted to the program. 
(b) Programs shall have written procedures for accessing emergency psychiatric and health services on a 24-hour basis. 
(c) Programs providing Crisis Residential Treatment Services shall be certified as a Social Rehabilitation Program (Short-term Crisis Residential Treatment Program) by the Department in accordance with Chapter 3, Division 1, of Title 9. Facility capacity shall be limited to a maximum of 16 beds. 
(d) In addition to Social Rehabilitation Program certification, programs providing Crisis Residential Treatment Services shall be licensed as a Social Rehabilitation Facility or Community Care Facility by the State Department of Social Services in accordance with Chapters 1 and 2, Division 6, of Title 22 or authorized to operate as a Mental Health Rehabilitation Center by the Department in accordance with Chapter 3.5, Division 1, of Title 9, beginning with Section 51000. 
NOTE

Authority cited: Section 14680, Welfare and Institutions Code. Reference: Section 5778, Welfare and Institutions Code.
HISTORY

1. New section filed 10-31-97 as an emergency; operative 11-1-97 (Register 97, No. 44). A Certificate of Compliance must be transmitted to OAL by 3-2-98 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 3-2-98 as an emergency; operative 3-2-98 (Register 98, No. 10). A Certificate of Compliance must be transmitted to OAL by 6-30-98 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 6-17-98 as an emergency; operative 6-30-98 (Register 98, No. 25). Pursuant to Chapter 324 (Statutes of 1998) Item 4440-103-0001(4), a Certificate of Compliance must be transmitted to OAL by 7-1-99 or emergency language will be repealed by operation of law on the following day.
4. Editorial correction of History 3 (Register 98, No. 39).
5. Editorial correction extending Certificate of Compliance date to 7-1-2001 pursuant to Chapter 50 (Statutes of 1999) Item 4440-103-0001(4) (Register 99, No. 33). Notwithstanding any other provision of law, emergency regulations adopted pursuant to Welfare and Institutions Code section 14680 to implement the second phase of mental health managed care as provided in this part shall remain in effect until permanent regulations are adopted, or June 30, 2006, whichever occurs first.
6. Editorial correction of History 5 (Register 2000, No. 42). 
7. Editorial correction of History 5 and repealer and new section filed 5-19-2006; operative 6-18-2006 (Register 2006, No. 20). 
§1840.336. Crisis Intervention Contact and Site Requirements.
Note     •     History

Crisis Intervention may either be face-to-face or by telephone with the beneficiary or significant support persons and may be provided anywhere in the community. 
NOTE

Authority cited: Section 14680, Welfare and Institutions Code. Reference: Section 5778, Welfare and Institutions Code.
HISTORY

1. New section filed 10-31-97 as an emergency; operative 11-1-97 (Register 97, No. 44). A Certificate of Compliance must be transmitted to OAL by 3-2-98 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 3-2-98 as an emergency; operative 3-2-98 (Register 98, No. 10). A Certificate of Compliance must be transmitted to OAL by 6-30-98 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 6-17-98 as an emergency; operative 6-30-98 (Register 98, No. 25). Pursuant to Chapter 324 (Statutes of 1998) Item 4440-103-0001(4), a Certificate of Compliance must be transmitted to OAL by 7-1-99 or emergency language will be repealed by operation of law on the following day.
4. Editorial correction of History 3 (Register 98, No. 39).
5. Editorial correction extending Certificate of Compliance date to 7-1-2001 pursuant to Chapter 50 (Statutes of 1999) Item 4440-103-0001(4) (Register 99, No. 33). Notwithstanding any other provision of law, emergency regulations adopted pursuant to Welfare and Institutions Code section 14680 to implement the second phase of mental health managed care as provided in this part shall remain in effect until permanent regulations are adopted, or June 30, 2006, whichever occurs first.
6. Editorial correction of History 5 (Register 2000, No. 42). 
7. Editorial correction of History 5 and repealer and new section filed 5-19-2006; operative 6-18-2006 (Register 2006, No. 20). 
§1840.338. Crisis Stabilization Contact and Site Requirements.
Note     •     History

(a) Crisis Stabilization shall be provided on site at a licensed 24-hour health care facility or hospital based outpatient program or a provider site certified by the Department or an MHP to perform crisis stabilization. 
(b) Medical backup services must be available either on site or by written contract or agreement with a general acute care hospital. Medical backup means immediate access within reasonable proximity to health care for medical emergencies. Immediate access and reasonable proximity shall be defined by the Mental Health Plan. Medications must be available on an as needed basis and the staffing pattern must reflect this availability. 
(c) All beneficiaries receiving Crisis Stabilization shall receive an assessment of their physical and mental health. This may be accomplished using protocols approved by a physician. If outside services are needed, a referral that corresponds with the beneficiary's need shall be made, to the extent resources are available. 
NOTE

Authority cited: Section 14680, Welfare and Institutions Code. Reference: Section 5778, Welfare and Institutions Code.
HISTORY

1. New section filed 10-31-97 as an emergency; operative 11-1-97 (Register 97, No. 44). A Certificate of Compliance must be transmitted to OAL by 3-2-98 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 3-2-98 as an emergency; operative 3-2-98 (Register 98, No. 10). A Certificate of Compliance must be transmitted to OAL by 6-30-98 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 6-17-98 as an emergency; operative 6-30-98 (Register 98, No. 25). Pursuant to Chapter 324 (Statutes of 1998) Item 4440-103-0001(4), a Certificate of Compliance must be transmitted to OAL by 7-1-99 or emergency language will be repealed by operation of law on the following day.
4. Editorial correction of History 3 (Register 98, No. 39).
5. Editorial correction extending Certificate of Compliance date to 7-1-2001 pursuant to Chapter 50 (Statutes of 1999) Item 4440-103-0001(4) (Register 99, No. 33). Notwithstanding any other provision of law, emergency regulations adopted pursuant to Welfare and Institutions Code section 14680 to implement the second phase of mental health managed care as provided in this part shall remain in effect until permanent regulations are adopted, or June 30, 2006, whichever occurs first.
6. Editorial correction of History 5 (Register 2000, No. 42). 
7. Editorial correction of History 5 and repealer and new section filed 5-19-2006; operative 6-18-2006 (Register 2006, No. 20). 
§1840.340. Psychiatric Health Facility Services Contact and Site Requirements.
Note     •     History

(a) Psychiatric Health Facility Services shall have a clearly established certified site for services. Services shall not be claimable unless there is face-to-face contact between the beneficiary and a treatment staff person of the facility on the day of service and the beneficiary has been admitted to the program. 
(b) Programs providing Psychiatric Health Facility Services must be licensed as a Psychiatric Health Facility by the Department. 
(c) Programs shall have written procedures for accessing emergency health services on a 24-hour basis. 
NOTE

Authority cited: Section 14680, Welfare and Institutions Code. Reference: Section 5778, Welfare and Institutions Code.
HISTORY

1. New section filed 10-31-97 as an emergency; operative 11-1-97 (Register 97, No. 44). A Certificate of Compliance must be transmitted to OAL by 3-2-98 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 3-2-98 as an emergency; operative 3-2-98 (Register 98, No. 10). A Certificate of Compliance must be transmitted to OAL by 6-30-98 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 6-17-98 as an emergency; operative 6-30-98 (Register 98, No. 25). Pursuant to Chapter 324 (Statutes of 1998) Item 4440-103-0001(4), a Certificate of Compliance must be transmitted to OAL by 7-1-99 or emergency language will be repealed by operation of law on the following day.
4. Editorial correction of History 3 (Register 98, No. 39).
5. Editorial correction extending Certificate of Compliance date to 7-1-2001 pursuant to Chapter 50 (Statutes of 1999) Item 4440-103-0001(4) (Register 99, No. 33). Notwithstanding any other provision of law, emergency regulations adopted pursuant to Welfare and Institutions Code section 14680 to implement the second phase of mental health managed care as provided in this part shall remain in effect until permanent regulations are adopted, or June 30, 2006, whichever occurs first.
6. Editorial correction of History 5 (Register 2000, No. 42). 
7. Editorial correction of History 5 and repealer and new section filed 5-19-2006; operative 6-18-2006 (Register 2006, No. 20). 
§1840.342. Targeted Case Management Contact and Site Requirements.
Note     •     History

Targeted Case Management may be either face-to-face or by telephone with the beneficiary or significant support persons and may be provided anywhere in the community. 
NOTE

Authority cited: Section 14680, Welfare and Institutions Code. Reference: Section 5778, Welfare and Institutions Code.
HISTORY

1. New section filed 10-31-97 as an emergency; operative 11-1-97 (Register 97, No. 44). A Certificate of Compliance must be transmitted to OAL by 3-2-98 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 3-2-98 as an emergency; operative 3-2-98 (Register 98, No. 10). A Certificate of Compliance must be transmitted to OAL by 6-30-98 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 6-17-98 as an emergency; operative 6-30-98 (Register 98, No. 25). Pursuant to Chapter 324 (Statutes of 1998) Item 4440-103-0001(4), a Certificate of Compliance must be transmitted to OAL by 7-1-99 or emergency language will be repealed by operation of law on the following day.
4. Editorial correction of History 3 (Register 98, No. 39).
5. Editorial correction extending Certificate of Compliance date to 7-1-2001 pursuant to Chapter 50 (Statutes of 1999) Item 4440-103-0001(4) (Register 99, No. 33). Notwithstanding any other provision of law, emergency regulations adopted pursuant to Welfare and Institutions Code section 14680 to implement the second phase of mental health managed care as provided in this part shall remain in effect until permanent regulations are adopted, or June 30, 2006, whichever occurs first.
6. Editorial correction of History 5 (Register 2000, No. 42). 
7. Editorial correction of History 5 and repealer and new section filed 5-19-2006; operative 6-18-2006 (Register 2006, No. 20). 
§1840.344. Service Function Staffing Requirements--General.
Note     •     History

Mental Health Services, Day Rehabilitation Services, Day Treatment Intensive Services, Crisis Intervention Services, Targeted Case Management, and Adult Residential Treatment Services may be provided by any person determined by the MHP to be qualified to provide the service, consistent with state law. 
NOTE

Authority cited: Section 14680, Welfare and Institutions Code. Reference: Section 5778, Welfare and Institutions Code.
HISTORY

1. New section filed 10-31-97 as an emergency; operative 11-1-97 (Register 97, No. 44). A Certificate of Compliance must be transmitted to OAL by 3-2-98 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 3-2-98 as an emergency; operative 3-2-98 (Register 98, No. 10). A Certificate of Compliance must be transmitted to OAL by 6-30-98 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 6-17-98 as an emergency; operative 6-30-98 (Register 98, No. 25). Pursuant to Chapter 324 (Statutes of 1998) Item 4440-103-0001(4), a Certificate of Compliance must be transmitted to OAL by 7-1-99 or emergency language will be repealed by operation of law on the following day.
4. Editorial correction of History 3 (Register 98, No. 39).
5. Editorial correction extending Certificate of Compliance date to 7-1-2001 pursuant to Chapter 50 (Statutes of 1999) Item 4440-103-0001(4) (Register 99, No. 33). Notwithstanding any other provision of law, emergency regulations adopted pursuant to Welfare and Institutions Code section 14680 to implement the second phase of mental health managed care as provided in this part shall remain in effect until permanent regulations are adopted, or June 30, 2006, whichever occurs first.
6. Editorial correction of History 5 (Register 2000, No. 42). 
7. Editorial correction of History 5 and repealer and new section filed 5-19-2006; operative 6-18-2006 (Register 2006, No. 20). 
§1840.346. Medication Support Services Staffing Requirements.
Note     •     History

Medication Support Services shall be provided within the scope of practice by any of the following: 
(a) Physician 
(b) Registered Nurse 
(c) Licensed Vocational Nurse 
(d) Psychiatric Technician 
(e) Pharmacist 
(f) Physician Assistant 
NOTE

Authority cited: Section 14680, Welfare and Institutions Code. Reference: Section 5778, Welfare and Institutions Code.
HISTORY

1. New section filed 10-31-97 as an emergency; operative 11-1-97 (Register 97, No. 44). A Certificate of Compliance must be transmitted to OAL by 3-2-98 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 3-2-98 as an emergency; operative 3-2-98 (Register 98, No. 10). A Certificate of Compliance must be transmitted to OAL by 6-30-98 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 6-17-98 as an emergency; operative 6-30-98 (Register 98, No. 25). Pursuant to Chapter 324 (Statutes of 1998) Item 4440-103-0001(4), a Certificate of Compliance must be transmitted to OAL by 7-1-99 or emergency language will be repealed by operation of law on the following day.
4. Editorial correction of History 3 (Register 98, No. 39).
5. Editorial correction extending Certificate of Compliance date to 7-1-2001 pursuant to Chapter 50 (Statutes of 1999) Item 4440-103-0001(4) (Register 99, No. 33). Notwithstanding any other provision of law, emergency regulations adopted pursuant to Welfare and Institutions Code section 14680 to implement the second phase of mental health managed care as provided in this part shall remain in effect until permanent regulations are adopted, or June 30, 2006, whichever occurs first.
6. Editorial correction of History 5 (Register 2000, No. 42). 
7. Editorial correction of History 5 and repealer and new section filed 5-19-2006; operative 6-18-2006 (Register 2006, No. 20). 
§1840.348. Crisis Stabilization Staffing Requirements.
Note     •     History

(a) A physician shall be on call at all times for the provision of those Crisis Stabilization Services that may only be provided by a physician. 
(b) There shall be a minimum of one Registered Nurse, Psychiatric Technician, or Licensed Vocational Nurse on site at all times beneficiaries are present. 
(c) At a minimum there shall be a ratio of at least one licensed mental health or waivered/registered professional on site for each four beneficiaries or other patients receiving Crisis Stabilization at any given time. 
(d) If the beneficiary is evaluated as needing service activities that can only be provided by a specific type of licensed professional, such persons shall be available. 
(e) Other persons may be utilized by the program, according to need. 
(f) If Crisis Stabilization services are co-located with other specialty mental health services, persons providing Crisis Stabilization must be separate and distinct from persons providing other services. 
(g) Persons included in required Crisis Stabilization ratios and minimums may not be counted toward meeting ratios and minimums for other services. 
NOTE

Authority cited: Section 14680, Welfare and Institutions Code. Reference: Section 5778, Welfare and Institutions Code.
HISTORY

1. New section filed 10-31-97 as an emergency; operative 11-1-97 (Register 97, No. 44). A Certificate of Compliance must be transmitted to OAL by 3-2-98 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 3-2-98 as an emergency; operative 3-2-98 (Register 98, No. 10). A Certificate of Compliance must be transmitted to OAL by 6-30-98 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 6-17-98 as an emergency; operative 6-30-98 (Register 98, No. 25). Pursuant to Chapter 324 (Statutes of 1998) Item 4440-103-0001(4), a Certificate of Compliance must be transmitted to OAL by 7-1-99 or emergency language will be repealed by operation of law on the following day.
4. Editorial correction of History 3 (Register 98, No. 39).
5. Editorial correction extending Certificate of Compliance date to 7-1-2001 pursuant to Chapter 50 (Statutes of 1999) Item 4440-103-0001(4) (Register 99, No. 33). Notwithstanding any other provision of law, emergency regulations adopted pursuant to Welfare and Institutions Code section 14680 to implement the second phase of mental health managed care as provided in this part shall remain in effect until permanent regulations are adopted, or June 30, 2006, whichever occurs first.
6. Editorial correction of History 5 (Register 2000, No. 42). 
7. Editorial correction of History 5 and repealer and new section filed 5-19-2006; operative 6-18-2006 (Register 2006, No. 20). 
§1840.350. Day Treatment Intensive Staffing Requirements.
Note     •     History

(a) At a minimum there must be an average ratio of at least one person from the following list providing Day Treatment Intensive services to eight beneficiaries or other clients in attendance during the period the program is open: 
(1) Physicians 
(2) Psychologists or related waivered/registered professionals 
(3) Licensed Clinical Social Workers or related waivered/registered professionals 
(4) Marriage and Family Therapists or related waivered/registered professionals 
(5) Registered Nurses 
(6) Licensed Vocational Nurses 
(7) Psychiatric Technicians 
(8) Occupational Therapists 
(9) Mental Health Rehabilitation Specialists as defined in Section 630. 
(b) Persons providing Day Treatment Intensive services who do not participate in the entire Day Treatment Intensive session, whether full-day or half-day, may be utilized according to program need, but shall only be included as part of the above ratio formula on a pro rata basis based on the percentage of time in which they participated in the session. The MHP shall ensure that there is a clear audit trail of the number and identity of the persons who provide Day Treatment Intensive services and function in other capacities. 
(c) Persons providing services in Day Treatment Intensive programs serving more than 12 clients shall include at least one person from two of the following groups: 
(1) Physicians 
(2) Psychologists or related waivered/registered professionals 
(3) Licensed Clinical Social Workers or related waivered/registered professionals 
(4) Marriage and Family Therapists or related waivered/registered professionals 
(5) Registered Nurses 
(6) Licensed Vocational Nurses 
(7) Psychiatric Technicians 
(8) Occupational Therapists 
(9) Mental Health Rehabilitation Specialists as defined in Section 630. 
NOTE

Authority cited: Section 14680, Welfare and Institutions Code. Reference: Section 5778, Welfare and Institutions Code.
HISTORY

1. New section filed 10-31-97 as an emergency; operative 11-1-97 (Register 97, No. 44). A Certificate of Compliance must be transmitted to OAL by 3-2-98 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 3-2-98 as an emergency; operative 3-2-98 (Register 98, No. 10). A Certificate of Compliance must be transmitted to OAL by 6-30-98 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 6-17-98 as an emergency; operative 6-30-98 (Register 98, No. 25). Pursuant to Chapter 324 (Statutes of 1998) Item 4440-103-0001(4), a Certificate of Compliance must be transmitted to OAL by 7-1-99 or emergency language will be repealed by operation of law on the following day.
4. Editorial correction of History 3 (Register 98, No. 39).
5. Editorial correction extending Certificate of Compliance date to 7-1-2001 pursuant to Chapter 50 (Statutes of 1999) Item 4440-103-0001(4) (Register 99, No. 33). Notwithstanding any other provision of law, emergency regulations adopted pursuant to Welfare and Institutions Code section 14680 to implement the second phase of mental health managed care as provided in this part shall remain in effect until permanent regulations are adopted, or June 30, 2006, whichever occurs first.
6. Editorial correction of History 5 (Register 2000, No. 42). 
7. Editorial correction of History 5 and repealer and new section filed 5-19-2006; operative 6-18-2006 (Register 2006, No. 20). 
§1840.352. Day Rehabilitation Staffing Requirements.
Note     •     History

(a) At a minimum there must be an average ratio of at least one person from the following list providing Day Rehabilitation services to ten beneficiaries or other clients in attendance during the period the program is open: 
(1) Physicians 
(2) Psychologists or related waivered/registered professionals 
(3) Licensed Clinical Social Workers or related waivered/registered professionals 
(4) Marriage and Family Therapists or related waivered/registered professionals 
(5) Registered Nurses 
(6) Licensed Vocational Nurses 
(7) Psychiatric Technicians 
(8) Occupational Therapists 
(9) Mental Health Rehabilitation Specialists as defined in Section 630. 
(b) Persons providing Day Rehabilitation who do not participate in the entire Day Rehabilitation session, whether full-day or half-day, may be utilized according to program need, but shall only be included as part of the above ratio formula on a pro rata basis based on the percentage of time in which they participated in the session. The MHP shall ensure that there is a clear audit trail of the number and identity of the persons who provide Day Rehabilitation services and function in other capacities. 
(c) Persons providing services in Day Rehabilitation programs serving more than 12 clients shall include at least two of the following: 
(1) Physicians 
(2) Psychologists or related waivered/registered professionals 
(3) Licensed Clinical Social Workers or related waivered/registered professionals 
(4) Marriage and Family Therapists or related waivered/registered professionals 
(5) Registered Nurses 
(6) Licensed Vocational Nurses 
(7) Psychiatric Technicians 
(8) Occupational Therapists 
(9) Mental Health Rehabilitation Specialists as defined in Section 630. 
NOTE

Authority cited: Section 14680, Welfare and Institutions Code. Reference: Section 5778, Welfare and Institutions Code.
HISTORY

1. New section filed 10-31-97 as an emergency; operative 11-1-97 (Register 97, No. 44). A Certificate of Compliance must be transmitted to OAL by 3-2-98 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 3-2-98 as an emergency; operative 3-2-98 (Register 98, No. 10). A Certificate of Compliance must be transmitted to OAL by 6-30-98 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 6-17-98 as an emergency; operative 6-30-98 (Register 98, No. 25). Pursuant to Chapter 324 (Statutes of 1998) Item 4440-103-0001(4), a Certificate of Compliance must be transmitted to OAL by 7-1-99 or emergency language will be repealed by operation of law on the following day.
4. Editorial correction of History 3 (Register 98, No. 39).
5. Editorial correction extending Certificate of Compliance date to 7-1-2001 pursuant to Chapter 50 (Statutes of 1999) Item 4440-103-0001(4) (Register 99, No. 33). Notwithstanding any other provision of law, emergency regulations adopted pursuant to Welfare and Institutions Code section 14680 to implement the second phase of mental health managed care as provided in this part shall remain in effect until permanent regulations are adopted, or June 30, 2006, whichever occurs first.
6. Editorial correction of History 5 (Register 2000, No. 42). 
7. Editorial correction of History 5 and repealer and new section filed 5-19-2006; operative 6-18-2006 (Register 2006, No. 20). 
§1840.354. Adult Residential Treatment Services Staffing Requirements.
Note     •     History

(a) Staffing ratios and qualifications in Adult Residential Treatment Services shall be consistent with Section 531(b), (c). 
(b) The MHP shall ensure that there is a clear audit trail of the number and identity of the persons who provide Adult Residential Treatment Services and function in other capacities. 
NOTE

Authority cited: Section 14680, Welfare and Institutions Code. Reference: Section 5778, Welfare and Institutions Code.
HISTORY

1. New section filed 10-31-97 as an emergency; operative 11-1-97 (Register 97, No. 44). A Certificate of Compliance must be transmitted to OAL by 3-2-98 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 3-2-98 as an emergency; operative 3-2-98 (Register 98, No. 10). A Certificate of Compliance must be transmitted to OAL by 6-30-98 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 6-17-98 as an emergency; operative 6-30-98 (Register 98, No. 25). Pursuant to Chapter 324 (Statutes of 1998) Item 4440-103-0001(4), a Certificate of Compliance must be transmitted to OAL by 7-1-99 or emergency language will be repealed by operation of law on the following day.
4. Editorial correction of History 3 (Register 98, No. 39).
5. Editorial correction extending Certificate of Compliance date to 7-1-2001 pursuant to Chapter 50 (Statutes of 1999) Item 4440-103-0001(4) (Register 99, No. 33). Notwithstanding any other provision of law, emergency regulations adopted pursuant to Welfare and Institutions Code section 14680 to implement the second phase of mental health managed care as provided in this part shall remain in effect until permanent regulations are adopted, or June 30, 2006, whichever occurs first.
6. Editorial correction of History 5 (Register 2000, No. 42). 
7. Editorial correction of History 5 and repealer and new section filed 5-19-2006; operative 6-18-2006 (Register 2006, No. 20). 
§1840.356. Crisis Residential Treatment Services Staffing Requirements.
Note     •     History

(a) Staffing ratios and qualifications in Crisis Residential Treatment Services shall be consistent with Section 531(a). 
(b) The MHP shall ensure that there is a clear audit trail of the number and identity of the persons who provide Crisis Residential Treatment Services and function in other capacities. 
NOTE

Authority cited: Section 14680, Welfare and Institutions Code. Reference: Section 5778, Welfare and Institutions Code.
HISTORY

1. New section filed 10-31-97 as an emergency; operative 11-1-97 (Register 97, No. 44). A Certificate of Compliance must be transmitted to OAL by 3-2-98 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 3-2-98 as an emergency; operative 3-2-98 (Register 98, No. 10). A Certificate of Compliance must be transmitted to OAL by 6-30-98 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 6-17-98 as an emergency; operative 6-30-98 (Register 98, No. 25). Pursuant to Chapter 324 (Statutes of 1998) Item 4440-103-0001(4), a Certificate of Compliance must be transmitted to OAL by 7-1-99 or emergency language will be repealed by operation of law on the following day.
4. Editorial correction of History 3 (Register 98, No. 39).
5. Editorial correction extending Certificate of Compliance date to 7-1-2001 pursuant to Chapter 50 (Statutes of 1999) Item 4440-103-0001(4) (Register 99, No. 33). Notwithstanding any other provision of law, emergency regulations adopted pursuant to Welfare and Institutions Code section 14680 to implement the second phase of mental health managed care as provided in this part shall remain in effect until permanent regulations are adopted, or June 30, 2006, whichever occurs first.
6. Editorial correction of History 5 (Register 2000, No. 42). 
7. Editorial correction of History 5 and repealer and new section filed 5-19-2006; operative 6-18-2006 (Register 2006, No. 20). 
§1840.358. Psychiatric Health Facility Staffing Requirements.
Note     •     History

(a) Staffing ratios in Psychiatric Health Facility Services shall be consistent with Title 22, Section 77061. 
(b) Staffing qualifications shall be consistent with Title 22, Sections 77004, 77011.2, 77012, 77012.1, 77012.2, 77017, 77023, and 77079.12. 
(c) The MHP shall ensure that there is a clear audit trail of the number and identity of the persons who provide Psychiatric Health Facility Services and function in other capacities. 
NOTE

Authority cited: Section 14680, Welfare and Institutions Code. Reference: Section 5778, Welfare and Institutions Code.
HISTORY

1. New section filed 10-31-97 as an emergency; operative 11-1-97 (Register 97, No. 44). A Certificate of Compliance must be transmitted to OAL by 3-2-98 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 3-2-98 as an emergency; operative 3-2-98 (Register 98, No. 10). A Certificate of Compliance must be transmitted to OAL by 6-30-98 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 6-17-98 as an emergency; operative 6-30-98 (Register 98, No. 25). Pursuant to Chapter 324 (Statutes of 1998) Item 4440-103-0001(4), a Certificate of Compliance must be transmitted to OAL by 7-1-99 or emergency language will be repealed by operation of law on the following day.
4. Editorial correction of History 3 (Register 98, No. 39).
5. Editorial correction extending Certificate of Compliance date to 7-1-2001 pursuant to Chapter 50 (Statutes of 1999) Item 4440-103-0001(4) (Register 99, No. 33). Notwithstanding any other provision of law, emergency regulations adopted pursuant to Welfare and Institutions Code section 14680 to implement the second phase of mental health managed care as provided in this part shall remain in effect until permanent regulations are adopted, or June 30, 2006, whichever occurs first.
6. Editorial correction of History 5 (Register 2000, No. 42). 
7. Editorial correction of History 5 and repealer and new section filed 5-19-2006; operative 6-18-2006 (Register 2006, No. 20). 
§1840.360. Lockouts for Day Rehabilitation and Day Treatment Intensive.
Note     •     History

Day Rehabilitation and Day Treatment Intensive are not reimbursable under the following circumstances: 
(a) When Crisis Residential Treatment Services, Psychiatric Inpatient Hospital Services, Psychiatric Health Facility Services, or Psychiatric Nursing Facility Services are reimbursed, except for the day of admission to those services. 
(b) Mental Health Services are not reimbursable when provided by Day Rehabilitation or Day Treatment Intensive staff during the same time period that Day Rehabilitation or Day Treatment Intensive is provided. 
(c) Two full-day or one full-day and one half-day or two half-day programs may not be provided to the same beneficiary on the same day. 
NOTE

Authority cited: Section 14680, Welfare and Institutions Code. Reference: Section 5778, Welfare and Institutions Code.
HISTORY

1. New section filed 10-31-97 as an emergency; operative 11-1-97 (Register 97, No. 44). A Certificate of Compliance must be transmitted to OAL by 3-2-98 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 3-2-98 as an emergency; operative 3-2-98 (Register 98, No. 10). A Certificate of Compliance must be transmitted to OAL by 6-30-98 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 6-17-98 as an emergency; operative 6-30-98 (Register 98, No. 25). Pursuant to Chapter 324 (Statutes of 1998) Item 4440-103-0001(4), a Certificate of Compliance must be transmitted to OAL by 7-1-99 or emergency language will be repealed by operation of law on the following day.
4. Editorial correction of History 3 (Register 98, No. 39).
5. Editorial correction extending Certificate of Compliance date to 7-1-2001 pursuant to Chapter 50 (Statutes of 1999) Item 4440-103-0001(4) (Register 99, No. 33). Notwithstanding any other provision of law, emergency regulations adopted pursuant to Welfare and Institutions Code section 14680 to implement the second phase of mental health managed care as provided in this part shall remain in effect until permanent regulations are adopted, or June 30, 2006, whichever occurs first.
6. Editorial correction of History 5 (Register 2000, No. 42). 
7. Editorial correction of History 5 and repealer and new section filed 5-19-2006; operative 6-18-2006 (Register 2006, No. 20). 
§1840.362. Lockouts for Adult Residential Treatment Services.
Note     •     History

Adult Residential Treatment Services are not reimbursable under the following circumstances: 
(a) When Crisis Residential Treatment Services, Psychiatric Inpatient Hospital Services, Psychiatric Health Facility, or Psychiatric Nursing Facility Services are reimbursed, except for the day of admission. 
(b) When an organizational provider of both Mental Health Services and Adult Residential Treatment Services allocates the same staff's time under the two cost centers of Mental Health Services and Adult Residential Treatment Services for the same period of time. 
NOTE

Authority cited: Section 14680, Welfare and Institutions Code. Reference: Section 5778, Welfare and Institutions Code.
HISTORY

1. New section filed 10-31-97 as an emergency; operative 11-1-97 (Register 97, No. 44). A Certificate of Compliance must be transmitted to OAL by 3-2-98 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 3-2-98 as an emergency; operative 3-2-98 (Register 98, No. 10). A Certificate of Compliance must be transmitted to OAL by 6-30-98 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 6-17-98 as an emergency; operative 6-30-98 (Register 98, No. 25). Pursuant to Chapter 324 (Statutes of 1998) Item 4440-103-0001(4), a Certificate of Compliance must be transmitted to OAL by 7-1-99 or emergency language will be repealed by operation of law on the following day.
4. Editorial correction of History 3 (Register 98, No. 39).
5. Editorial correction extending Certificate of Compliance date to 7-1-2001 pursuant to Chapter 50 (Statutes of 1999) Item 4440-103-0001(4) (Register 99, No. 33). Notwithstanding any other provision of law, emergency regulations adopted pursuant to Welfare and Institutions Code section 14680 to implement the second phase of mental health managed care as provided in this part shall remain in effect until permanent regulations are adopted, or June 30, 2006, whichever occurs first.
6. Editorial correction of History 5 (Register 2000, No. 42). 
7. Editorial correction of History 5 and repealer and new section filed 5-19-2006; operative 6-18-2006 (Register 2006, No. 20). 
§1840.364. Lockouts for Crisis Residential Treatment Services.
Note     •     History

Crisis Residential Treatment Services are not reimbursable on days when the following services are reimbursed, except for day of admission to Crisis Residential Treatment Services: 
(a) Mental Health Services 
(b) Day Treatment Intensive 
(c) Day Rehabilitation 
(d) Psychiatric Inpatient Hospital Services 
(e) Psychiatric Health Facility Services 
(f) Psychiatric Nursing Facility Services 
(g) Adult Residential Treatment Services 
(h) Crisis Intervention 
(i) Crisis Stabilization 
NOTE

Authority cited: Section 14680, Welfare and Institutions Code. Reference: Section 5778, Welfare and Institutions Code.
HISTORY

1. New section filed 10-31-97 as an emergency; operative 11-1-97 (Register 97, No. 44). A Certificate of Compliance must be transmitted to OAL by 3-2-98 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 3-2-98 as an emergency; operative 3-2-98 (Register 98, No. 10). A Certificate of Compliance must be transmitted to OAL by 6-30-98 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 6-17-98 as an emergency; operative 6-30-98 (Register 98, No. 25). Pursuant to Chapter 324 (Statutes of 1998) Item 4440-103-0001(4), a Certificate of Compliance must be transmitted to OAL by 7-1-99 or emergency language will be repealed by operation of law on the following day.
4. Editorial correction of History 3 (Register 98, No. 39).
5. Editorial correction extending Certificate of Compliance date to 7-1-2001 pursuant to Chapter 50 (Statutes of 1999) Item 4440-103-0001(4) (Register 99, No. 33). Notwithstanding any other provision of law, emergency regulations adopted pursuant to Welfare and Institutions Code section 14680 to implement the second phase of mental health managed care as provided in this part shall remain in effect until permanent regulations are adopted, or June 30, 2006, whichever occurs first.
6. Editorial correction of History 5 (Register 2000, No. 42). 
7. Editorial correction of History 5 and repealer and new section filed 5-19-2006; operative 6-18-2006 (Register 2006, No. 20). 
§1840.366. Lockouts for Crisis Intervention.
Note     •     History

(a) Crisis Intervention is not reimbursable on days when Crisis Residential Treatment Services, Psychiatric Health Facility Services, Psychiatric Nursing Facility Services, or Psychiatric Inpatient Hospital Services are reimbursed, except for the day of admission to those services. 
(b) The maximum amount claimable for Crisis Intervention in a 24-hour period is 8 hours. 
NOTE

Authority cited: Section 14680, Welfare and Institutions Code. Reference: Section 5778, Welfare and Institutions Code.
HISTORY

1. New section filed 10-31-97 as an emergency; operative 11-1-97 (Register 97, No. 44). A Certificate of Compliance must be transmitted to OAL by 3-2-98 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 3-2-98 as an emergency; operative 3-2-98 (Register 98, No. 10). A Certificate of Compliance must be transmitted to OAL by 6-30-98 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 6-17-98 as an emergency; operative 6-30-98 (Register 98, No. 25). Pursuant to Chapter 324 (Statutes of 1998) Item 4440-103-0001(4), a Certificate of Compliance must be transmitted to OAL by 7-1-99 or emergency language will be repealed by operation of law on the following day.
4. Editorial correction of History 3 (Register 98, No. 39).
5. Editorial correction extending Certificate of Compliance date to 7-1-2001 pursuant to Chapter 50 (Statutes of 1999) Item 4440-103-0001(4) (Register 99, No. 33). Notwithstanding any other provision of law, emergency regulations adopted pursuant to Welfare and Institutions Code section 14680 to implement the second phase of mental health managed care as provided in this part shall remain in effect until permanent regulations are adopted, or June 30, 2006, whichever occurs first.
6. Editorial correction of History 5 (Register 2000, No. 42). 
7. Editorial correction of History 5 and repealer and new section filed 5-19-2006; operative 6-18-2006 (Register 2006, No. 20). 
§1840.368. Lockouts for Crisis Stabilization.
Note     •     History

(a) Crisis Stabilization is not reimbursable on days when Psychiatric Inpatient Hospital Services, Psychiatric Health Facility Services, or Psychiatric Nursing Facility Services are reimbursed, except on the day of admission to those services. 
(b) Crisis Stabilization is a package program and no other specialty mental health services are reimbursable during the same time period this service is reimbursed, except for Targeted Case Management. 
(c) The maximum number of hours claimable for Crisis Stabilization in a 24-hour period is 20 hours. 
NOTE

Authority cited: Section 14680, Welfare and Institutions Code. Reference: Section 5778, Welfare and Institutions Code.
HISTORY

1. New section filed 10-31-97 as an emergency; operative 11-1-97 (Register 97, No. 44). A Certificate of Compliance must be transmitted to OAL by 3-2-98 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 3-2-98 as an emergency; operative 3-2-98 (Register 98, No. 10). A Certificate of Compliance must be transmitted to OAL by 6-30-98 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 6-17-98 as an emergency; operative 6-30-98 (Register 98, No. 25). Pursuant to Chapter 324 (Statutes of 1998) Item 4440-103-0001(4), a Certificate of Compliance must be transmitted to OAL by 7-1-99 or emergency language will be repealed by operation of law on the following day.
4. Editorial correction of History 3 (Register 98, No. 39).
5. Editorial correction extending Certificate of Compliance date to 7-1-2001 pursuant to Chapter 50 (Statutes of 1999) Item 4440-103-0001(4) (Register 99, No. 33). Notwithstanding any other provision of law, emergency regulations adopted pursuant to Welfare and Institutions Code section 14680 to implement the second phase of mental health managed care as provided in this part shall remain in effect until permanent regulations are adopted, or June 30, 2006, whichever occurs first.
6. Editorial correction of History 5 (Register 2000, No. 42). 
7. Editorial correction of History 5 and repealer and new section filed 5-19-2006; operative 6-18-2006 (Register 2006, No. 20). 
§1840.370. Lockouts for Psychiatric Health Facility Services.
Note     •     History

Psychiatric Health Facility Services are not reimbursable on days when the following services are reimbursed, except for day of admission to Psychiatric Health Facility Services: 
(a) Adult Residential Treatment Services 
(b) Crisis Residential Treatment Services 
(c) Crisis Intervention 
(d) Day Treatment Intensive 
(e) Day Rehabilitation 
(f) Psychiatric Inpatient Hospital Services 
(g) Medication Support Services 
(h) Mental Health Services 
(i) Crisis Stabilization 
(j) Psychiatric Nursing Facility Services. 
NOTE

Authority cited: Section 14680, Welfare and Institutions Code. Reference: Section 5778, Welfare and Institutions Code.
HISTORY

1. New section filed 10-31-97 as an emergency; operative 11-1-97 (Register 97, No. 44). A Certificate of Compliance must be transmitted to OAL by 3-2-98 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 3-2-98 as an emergency; operative 3-2-98 (Register 98, No. 10). A Certificate of Compliance must be transmitted to OAL by 6-30-98 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 6-17-98 as an emergency; operative 6-30-98 (Register 98, No. 25). Pursuant to Chapter 324 (Statutes of 1998) Item 4440-103-0001(4), a Certificate of Compliance must be transmitted to OAL by 7-1-99 or emergency language will be repealed by operation of law on the following day.
4. Editorial correction of History 3 (Register 98, No. 39).
5. Editorial correction extending Certificate of Compliance date to 7-1-2001 pursuant to Chapter 50 (Statutes of 1999) Item 4440-103-0001(4) (Register 99, No. 33). Notwithstanding any other provision of law, emergency regulations adopted pursuant to Welfare and Institutions Code section 14680 to implement the second phase of mental health managed care as provided in this part shall remain in effect until permanent regulations are adopted, or June 30, 2006, whichever occurs first.
6. Editorial correction of History 5 (Register 2000, No. 42). 
7. Editorial correction of History 5 and repealer and new section filed 5-19-2006; operative 6-18-2006 (Register 2006, No. 20). 
§1840.372. Lockouts for Medication Support Services.
Note     •     History

The maximum amount claimable for Medication Support Services in a 24-hour period is 4 hours. 
NOTE

Authority cited: Section 14680, Welfare and Institutions Code. Reference: Section 5778, Welfare and Institutions Code.
HISTORY

1. New section filed 10-31-97 as an emergency; operative 11-1-97 (Register 97, No. 44). A Certificate of Compliance must be transmitted to OAL by 3-2-98 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 3-2-98 as an emergency; operative 3-2-98 (Register 98, No. 10). A Certificate of Compliance must be transmitted to OAL by 6-30-98 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 6-17-98 as an emergency; operative 6-30-98 (Register 98, No. 25). Pursuant to Chapter 324 (Statutes of 1998) Item 4440-103-0001(4), a Certificate of Compliance must be transmitted to OAL by 7-1-99 or emergency language will be repealed by operation of law on the following day.
4. Editorial correction of History 3 (Register 98, No. 39).
5. Editorial correction extending Certificate of Compliance date to 7-1-2001 pursuant to Chapter 50 (Statutes of 1999) Item 4440-103-0001(4) (Register 99, No. 33). Notwithstanding any other provision of law, emergency regulations adopted pursuant to Welfare and Institutions Code section 14680 to implement the second phase of mental health managed care as provided in this part shall remain in effect until permanent regulations are adopted, or June 30, 2006, whichever occurs first.
6. Editorial correction of History 5 (Register 2000, No. 42). 
7. Editorial correction of History 5 and repealer and new section filed 5-19-2006; operative 6-18-2006 (Register 2006, No. 20). 
§1840.374. Lockouts for Targeted Case Management Services.
Note     •     History

(a) Targeted Case Management Services are not reimbursable on days when the following services are reimbursed, except for day of admission or for placement services as provided in Subsection (b): 
(1) Psychiatric Inpatient Hospital Services 
(2) Psychiatric Health Facility Services 
(3) Psychiatric Nursing Facility Services 
(b) Targeted Case Management Services, solely for the purpose of coordinating placement of the beneficiary on discharge from the hospital, psychiatric health facility or psychiatric nursing facility, may be provided during the 30 calendar days immediately prior to the day of discharge, for a maximum of three nonconsecutive periods of 30 calendar days or less per continuous stay in the facility. 
NOTE

Authority cited: Section 14680, Welfare and Institutions Code. Reference: Section 5778, Welfare and Institutions Code.
HISTORY

1. New section filed 10-31-97 as an emergency; operative 11-1-97 (Register 97, No. 44). A Certificate of Compliance must be transmitted to OAL by 3-2-98 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 3-2-98 as an emergency; operative 3-2-98 (Register 98, No. 10). A Certificate of Compliance must be transmitted to OAL by 6-30-98 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 6-17-98 as an emergency; operative 6-30-98 (Register 98, No. 25). Pursuant to Chapter 324 (Statutes of 1998) Item 4440-103-0001(4), a Certificate of Compliance must be transmitted to OAL by 7-1-99 or emergency language will be repealed by operation of law on the following day.
4. Editorial correction of History 3 (Register 98, No. 39).
5. Editorial correction extending Certificate of Compliance date to 7-1-2001 pursuant to Chapter 50 (Statutes of 1999) Item 4440-103-0001(4) (Register 99, No. 33). Notwithstanding any other provision of law, emergency regulations adopted pursuant to Welfare and Institutions Code section 14680 to implement the second phase of mental health managed care as provided in this part shall remain in effect until permanent regulations are adopted, or June 30, 2006, whichever occurs first.
6. Editorial correction of History 5 (Register 2000, No. 42). 
7. Editorial correction of History 5 and repealer and new section filed 5-19-2006; operative 6-18-2006 (Register 2006, No. 20). 
Subchapter 5. Problem Resolution Processes
§1850.205. Beneficiary Problem Resolution Processes.
Note     •     History

(a) An MHP shall develop problem resolution processes that enable a beneficiary to resolve a concern or complaint about any specialty mental health service-related issue.
(b) The MHP's beneficiary problem resolution processes shall include:
(1) A complaint resolution process.
(2) A grievance process.
(c) For both the complaint resolution process and the grievance process, the MHP shall ensure:
(1) That each beneficiary has adequate information about the MHP's processes by taking at least the following actions:
(A) Including information describing the complaint resolution process and the grievance process in the MHP's beneficiary brochure and providing the beneficiary brochure to beneficiaries as described in Section 1810.360.
(B) Posting notices explaining compliant resolution and grievance process procedures in locations at all MHP provider sites sufficient to ensure that the information is readily available to both beneficiaries and provider staff. For the purposes of this section, an MHP provider site means any office or facility owned or operated by the MHP or a provider contracting with the MHP at which beneficiaries may obtain specialty mental health services.
(C) Making grievance forms and self addressed envelopes available for beneficiaries to pick up at all MHP provider sites without having to make a verbal or written request to anyone.
(2) That a beneficiary may authorize another person to act on the beneficiary's behalf.
(3) That a beneficiary's legal representative may use the complaint resolution process or the grievance process on the beneficiary's behalf.
(4) That an MHP staff person or other individual is identified as having responsibility for assisting a beneficiary with these processes at the beneficiary's request.
(5) That a beneficiary is not subject to discrimination or any other penalty for filing a complaint or grievance.
(6) That procedures for the processes maintain the confidentiality of beneficiaries.
(7) That a procedure is included by which issues identified as a result of the complaint resolution or grievance process are transmitted to the MHP's Quality Improvement Committee, the MHP's administration or another appropriate body within the MHP for review and, if applicable, implementation of needed system changes.
(d) In addition to meeting the requirements of subsection (c), the complaint resolution process shall, at a minimum:
(1) Provide for resolution of a beneficiary's concerns or complaints as quickly and simply as possible.
(2) Involve simple, informal and easily understood procedures that do not require beneficiaries to present their concerns or complaints in writing.
(3) Inform a beneficiary of his or her right to use the grievance process or request a fair hearing at any time before, during or after the complaint resolution process has begun.
(4) Identify the roles and responsibilities of the MHP, the provider and the beneficiary.
(e) In addition to meeting the requirements of subsection (c), the grievance process shall, at a minimum:
(1) Require that beneficiaries provide their concerns or complaints to the MHP as a written grievance.
(2) Provide for two levels of review within the MHP.
(3) Provide for a decision on the grievance at each level of review within 30 calendar days of receipt of the grievance by that level of review within the MHP.
(4) Provide for an expedited review of grievances where the beneficiary is grieving a decision by a provider or the MHP to discontinue adult residential or crisis residential services. When the written grievance is received by the MHP prior to the beneficiary's discharge from the services, the beneficiary shall continue to receive the adult residential or crisis stabilization services and the MHP shall continue payment for the services until the MHP responds to the grievance at the first level of review, at which point action may be taken by the provider or the MHP as appropriate based on the grievance decision. Services shall not be continued if the provider or the MHP determines that ongoing placement of the beneficiary in that facility poses a danger to the beneficiary or others.
(5) Identify the roles and responsibilities of the MHP, the provider and the beneficiary.
(6) Provide for:
(A) Recording the grievance in a grievance log within one working day of the date of receipt of the grievance. The log entry shall include but not be limited to:
1. The name of the beneficiary.
2. The date of receipt of the grievance.
3. The nature of the problem.
(B) Recording the final disposition of a grievance, including the date the decision is sent to the beneficiary, or documenting the reason(s) that there has not been final disposition of the grievance.
(C) An MHP staff person or other individual with responsibility to provide information on request by the beneficiary or an appropriate representative regarding the status of the beneficiary's grievance.
(D) Notifying the beneficiary or the appropriate representative in writing of the grievance decision and documenting the notification or efforts to notify the beneficiary, if he or she could not be contacted. When the notice contains the decision of the MHP's first level of review, the notice shall include the beneficiary's right to appeal to the second level of review and to request a fair hearing if the beneficiary disagrees with the decision instead of, before, during or after filing the grievance at the second level of review. When the notice contains the decision of the MHP's second level of review, the notice shall include the beneficiary's right to request a fair hearing if the beneficiary disagrees with the decision.
(E) If any providers were cited by the beneficiary or otherwise involved in the grievance, notifying those providers of the final disposition of the beneficiary's grievance.
(f) An MHP's grievance log and any other grievance process files, and any complaint resolution process files shall be open to review by the department, the State Department of Health Services, and any appropriate oversight agency.
(g) Nothing in this section precludes a provider other than the MHP from establishing complaint or grievance processes for beneficiaries receiving services from that provider. When such processes exist, beneficiaries shall not be required by the MHP to use or exhaust the provider's processes prior to using the MHP's beneficiary problem resolution process, unless the following conditions have been met:
(1) The MHP delegated the responsibility for the beneficiary problem resolution process to the provider in writing, specifically outlining the provider's responsibility under the delegation.
(2) The provider's beneficiary problem resolution process fully complies with this section.
(3) No beneficiary is prevented from accessing the grievance process solely on the grounds that the grievance was incorrectly filed with either the MHP or the provider.
(h) No provision of an MHP's beneficiary problem resolution processes shall be construed to replace or conflict with the duties of county patients' rights advocates as described in Welfare and Institutions Code, Section 5520.
NOTE

Authority cited: Section 14680, Welfare and Institutions Code. Reference: Sections 5520 and 14684, Welfare and Institutions Code.
HISTORY

1. New subchapter 5 and section filed 10-31-97 as an emergency; operative 11-1-97 (Register 97, No. 44). A Certificate of Compliance must be transmitted to OAL by 3-2-98 or emergency language will be repealed by operation of law on the following day.
2. New subchapter 5 and section refiled 3-2-98 as an emergency; operative 3-2-98 (Register 98, No. 10). A Certificate of Compliance must be transmitted to OAL by 6-30-98 or emergency language will be repealed by operation of law on the following day.
3. New subchapter 5 and section refiled 6-17-98 as an emergency; operative 6-30-98 (Register 98, No. 25). Pursuant to Chapter 324 (Statutes of 1998) Item 4440-103-0001(4), a Certificate of Compliance must be transmitted to OAL by 7-1-99 or emergency language will be repealed by operation of law on the following day.
4. Editorial correction of History 3 (Register 98, No. 39).
5. Editorial correction extending Certificate of Compliance date to 7-1-2001 pursuant to Chapter 50 (Statutes of 1999) Item 4440-103-0001(4) (Register 99, No. 33).
6. Editorial correction of History 5 (Register 2000, No. 42).
Article 1. Beneficiary Problem Resolution Processes
§1850.205. General Provisions.
Note     •     History

(a) An MHP shall develop problem resolution processes that enable a beneficiary to resolve a problem or concern about any issue related to the MHP's performance of its duties under this Chapter, including the delivery of specialty mental health services. 
(b) The MHP's beneficiary problem resolution processes shall include: 
(1) A grievance process; 
(2) An appeal process; and 
(3) An expedited appeal process. 
(c) For the grievance, appeal, and expedited appeal processes, found in Sections 1850.206, 1850.207 and 1850.208 respectively, the MHP shall ensure: 
(1) That each beneficiary has adequate information about the MHP's processes by taking at least the following actions: 
(A) Including information describing the grievance, appeal, and expedited appeal processes in the MHP's beneficiary booklet and providing the beneficiary booklet to beneficiaries as described in Section 1810.360. 
(B) Posting notices explaining grievance, appeal, and expedited appeal process procedures in locations at all MHP provider sites sufficient to ensure that the information is readily available to both beneficiaries and provider staff. The posted notice shall also explain the availability of fair hearings after the exhaustion of an appeal or expedited appeal process, including information that a fair hearing may be requested whether or not the beneficiary has received a notice of action pursuant to Section 1850.210. For the purposes of this Section, an MHP provider site means any office or facility owned or operated by the MHP or a provider contracting with the MHP at which beneficiaries may obtain specialty mental health services. 
(C) Making forms that may be used to file grievances, appeals, and expedited appeals, and self addressed envelopes available for beneficiaries to pick up at all MHP provider sites without having to make a verbal or written request to anyone. 
(2) That a beneficiary may authorize another person to act on the beneficiary's behalf. The beneficiary may select a provider as his or her representative in the appeal or expedited appeal process. 
(3) That a beneficiary's legal representative may use the grievance, appeal, or expedited appeal processes on the beneficiary's behalf. 
(4) That an MHP staff person or other individual is identified by the MHP as having responsibility for assisting a beneficiary, at the beneficiary's request, with these processes, including assistance in writing the grievance, appeal, or expedited appeal. If the individual identified by the MHP is the person providing specialty mental health services to the beneficiary requesting assistance, the MHP shall identify another individual to assist that beneficiary. 
(5) That a beneficiary is not subject to discrimination or any other penalty for filing a grievance, appeal, or expedited appeal. 
(6) That procedures for the processes maintain the confidentiality of beneficiaries. 
(7) That a procedure is included by which issues identified as a result of the grievance, appeal or expedited appeal processes are transmitted to the MHP's Quality Improvement Committee, the MHP's administration or another appropriate body within the MHP for consideration in the MHP's Quality Improvement Program as required by Section 1810.440(a)(5). 
(8) That the individuals making the decision on the grievance, appeal, or expedited appeal were not involved in any previous review or decision-making on the issue presented in the respective problem resolution process. 
(9) That the individual making the decision on the grievance, appeal, or expedited appeal has the appropriate clinical expertise as determined by the MHP to treat the beneficiary's condition, if the grievance is regarding the denial of a request for an expedited appeal or if the grievance, appeal, or expedited appeal is about clinical issues. 
(d) For the grievance, appeal, and expedited appeal processes found in Sections 1850.206, 1850.207, and 1850.208, the MHP shall: 
(1) Maintain a grievance and appeal log and record grievances, appeals, and expedited appeals in the log within one working day of the date of receipt of the grievance or appeal. The log entry shall include but not be limited to the name of the beneficiary, the date of receipt of the grievance, appeal, or expedited appeal, and the nature of the problem. 
(2) Record in the grievance and appeal log or another central location determined by the MHP the final dispositions of grievances, appeals, and expedited appeals, including the date the decision is sent to the beneficiary, or document the reason(s) that there has not been final disposition of the grievance, appeal, or expedited appeal. 
(3) Provide a staff person or other individual with responsibility to provide information on request by the beneficiary or an appropriate representative regarding the status of the beneficiary's grievance, appeal, or expedited appeal. 
(4) Acknowledge the receipt of each grievance, appeal, and expedited appeal to the beneficiary in writing. 
(5) Identify the roles and responsibilities of the MHP, the provider, and the beneficiary. 
(6) Notify those providers cited by the beneficiary or otherwise involved in the grievance, appeal, or expedited appeal of the final disposition of the beneficiary's grievance, appeal, or expedited appeal. 
(e) No provision of an MHP's beneficiary problem resolution processes shall be construed to replace or conflict with the duties of county patients' rights advocates as described in Welfare and Institutions Code, Section 5520. 
NOTE

Authority cited: Section 14680, Welfare and Institutions Code. Reference: Sections 5520 and 14684, Welfare and Institutions Code; and Title 42, Code of Federal Regulations, Part 438, Subpart F.
HISTORY

1. New subchapter 5 and section filed 10-31-97 as an emergency; operative 11-1-97 (Register 97, No. 44). A Certificate of Compliance must be transmitted to OAL by 3-2-98 or emergency language will be repealed by operation of law on the following day.
2. New subchapter 5 and section refiled 3-2-98 as an emergency; operative 3-2-98 (Register 98, No. 10). A Certificate of Compliance must be transmitted to OAL by 6-30-98 or emergency language will be repealed by operation of law on the following day.
3. New subchapter 5 and section refiled 6-17-98 as an emergency; operative 6-30-98 (Register 98, No. 25). Pursuant to Chapter 324 (Statutes of 1998) Item 4440-103-0001(4), a Certificate of Compliance must be transmitted to OAL by 7-1-99 or emergency language will be repealed by operation of law on the following day.
4. Editorial correction of History 3 (Register 98, No. 39).
5. Editorial correction extending Certificate of Compliance date to 7-1-2001 pursuant to Chapter 50 (Statutes of 1999) Item 4440-103-0001(4) (Register 99, No. 33). Notwithstanding any other provision of law, emergency regulations adopted pursuant to Welfare and Institutions Code section 14680 to implement the second phase of mental health managed care as provided in this part shall remain in effect until permanent regulations are adopted, or June 30, 2006, whichever occurs first.
6. Editorial correction of History 5 (Register 2000, No. 42). 
7. Editorial correction of History 5, new article 1 heading and repealer and new section filed 5-19-2006; operative 6-18-2006 (Register 2006, No. 20). 
§1850.206. The Grievance Process.
Note     •     History

In addition to meeting the requirements of Section 1850.205, the grievance process shall, at a minimum: 
(a) Allow beneficiaries to present their grievance orally or in writing. 
(b) Provide for a decision on the grievance and notify the affected parties within 60 calendar days of receipt of the grievance. This timeframe may be extended by up to 14 calendar days if the beneficiary requests an extension or if the MHP determines that there is a need for additional information and that the delay is in the beneficiary's interest. If the MHP extends the timeframes, the MHP shall, for any extension not requested by the beneficiary, notify the beneficiary of the extension and the reasons for the extension in writing. The written notice of the extension is not a Notice of Action as defined in Section 1810.230.5. 
(c) Provide for notification of the beneficiary or the appropriate representative in writing of the grievance decision and documentation of the notification or efforts to notify the beneficiary, if he or she could not be contacted. 
NOTE

Authority cited: Section 14680, Welfare and Institutions Code. Reference: Section 14684, Welfare and Institutions Code; and Title 42, Code of Federal Regulations, Part 438, Subpart F. 
HISTORY

1. New section filed 5-19-2006; operative 6-18-2006 (Register 2006, No. 20). 
§1850.207. The Appeal Process.
Note     •     History

In addition to meeting the requirements of Section 1850.205, the appeal process shall, at a minimum: 
(a) Allow a beneficiary to file an appeal orally or in writing. 
(b) Require a beneficiary to follow an oral appeal with a written appeal. The date the MHP receives the oral appeal shall be considered the filing date for the purpose of applying the appeal timeframes in Subsection (c). 
(c) Provide for a decision on the appeal and notify the affected parties within 45 calendar days of receipt of the appeal. This timeframe may be extended by up to 14 calendar days, if the beneficiary requests an extension or the MHP determines that there is a need for additional information and that the delay is in the beneficiary's interest. If the MHP extends the timeframes, the MHP shall, for any extension not requested by the beneficiary, notify the beneficiary of the extension and the reasons for the extension in writing. The written notice of the extension is not a Notice of Action as defined in Section 1810.230.5. 
(d) Inform the beneficiary of his or her right to request a fair hearing  after the appeal process of the MHP has been exhausted. 
(e) Allow the beneficiary to have a reasonable opportunity to present evidence and allegations of fact or law, in person or in writing. 
(f) Allow the beneficiary and/or his or her representative to examine the beneficiary's case file, including medical records, and any other documents or records considered before and during the appeal process. 
(g) Allow the beneficiary and/or his or her representative, or the legal representative of a deceased beneficiary's estate to be included as parties to the appeal. 
(h) Notify the beneficiary and/or his or her representative of the resolution of the appeal in writing. The notice shall contain: 
(1) The results of the appeal resolution process. 
(2) The date that the appeal decision was made. 
(3) If the appeal is not resolved wholly in favor of the beneficiary, the notice shall also contain information regarding the beneficiary's right to a fair hearing and the procedure for filing for a fair hearing, if the beneficiary has not already requested a fair hearing on the issue involved in the appeal. 
(i) Promptly provide or arrange and pay for the disputed services if the decision of the appeal resolution process reverses a decision to deny, limit or delay services. 
NOTE

Authority cited: Section 14680, Welfare and Institutions Code. Reference: Section 14684, Welfare and Institutions Code; and Title 42, Code of Federal Regulations, Part 438, Subpart F. 
HISTORY

1. New section filed 5-19-2006; operative 6-18-2006 (Register 2006, No. 20). 
§1850.208. The Expedited Appeal Process.
Note     •     History

In addition to meeting the requirements of Section 1850.205 and 1850.207(a), (d), (e), (f), (g), and (i), the expedited appeal process shall, at a minimum: 
(a) Be used when the MHP determines or the beneficiary and/or the beneficiary's provider certifies that taking the time for a standard appeal resolution could seriously jeopardize the beneficiary's life, health or ability to attain, maintain, or regain maximum function. 
(b) Allow the beneficiary to file the request for an expedited appeal orally without requiring that the request be followed by a written appeal. 
(c) Ensure that punitive action is not taken against a beneficiary or a provider because they request an expedited appeal or support a beneficiary's request for an expedited appeal. 
(d) Resolve an expedited appeal and notify the affected parties in writing, no later than three working days after the MHP receives the appeal. This timeframe may be extended by up to 14 calendar days if the beneficiary requests an extension, or the MHP determines that there is need for additional information and that the delay is in the beneficiary's interest. If the MHP extends the timeframes, the MHP shall, for any extension not requested by the beneficiary, notify the beneficiary of the extension and the reasons for the extension in writing. The written notice of the extension is not a Notice of Action as defined in Section 1810.230.5. 
(e) Provide a beneficiary with a written notice of the expedited appeal disposition and make reasonable efforts to provide oral notice to the beneficiary and/or his or her representative. The written notice shall meet the requirements of Section 1850.207(h). 
(f) If the MHP denies a request for expedited appeal resolution, the MHP shall: 
(1) Transfer the expedited appeal request to the timeframe for appeal resolution as required by Section 1850.207(c). 
(2) Make reasonable efforts to give the beneficiary and his or her representative prompt oral notice of the denial of the request for an expedited appeal and provide written notice within two calendar days of the date of the denial. The written notice of the denial of the request for an expedited appeal is not a Notice of Action as defined in Section 1810.230.5. 
NOTE

Authority cited: Section 14680, Welfare and Institutions Code. Reference: Section 14684, Welfare and Institutions Code; and Title 42, Code of Federal Regulations, Part 438, Subpart F. 
HISTORY

1. New section filed 5-19-2006; operative 6-18-2006 (Register 2006, No. 20). 
§1850.209. Beneficiary Problem Resolution Processes Established by Providers.
Note     •     History

(a) Nothing in this Section and Sections 1850.205, 1850.206, 1850.207, and 1850.208 precludes a provider other than the MHP from establishing beneficiary problem resolution processes for beneficiaries receiving services from that provider. When such processes exist, beneficiaries shall not be required by the MHP to use or exhaust the provider's processes prior to using the MHP's beneficiary problem resolution process, unless the following conditions have been met: 
(1) The MHP delegates the responsibility for the beneficiary problem resolution process to the provider in writing, specifically outlining the provider's responsibility under the delegation. 
(2) The provider's beneficiary problem resolution process fully complies with this Section, Section 1850.205, and, depending on processes delegated, Sections 1850.206, 1850.207, and/or 1850.208. 
(3) No beneficiary is prevented from accessing the grievance, appeal or expedited appeal processes solely on the grounds that the grievance, appeal or expedited appeal was incorrectly filed with either the MHP or the provider. 
NOTE

Authority cited: Section 14680, Welfare and Institutions Code. Reference: Sections 5520 and 14684, Welfare and Institutions Code; and Title 42, Code of Federal Regulations, Part 438, Subpart F. 
HISTORY

1. New section filed 5-19-2006; operative 6-18-2006 (Register 2006, No. 20). 
Article 2. Fair Hearing and Notice of Action
§1850.210. Provision of Notice of Action.
Note     •     History

(a) The MHP shall provide a beneficiary of the MHP with a Notice of Action when the MHP denies or modifies an MHP payment authorization request from a provider for a specialty mental health service to the beneficiary. 
(1) Except as provided in Subsection (c), when the denial or modification involves a request from a provider for continued MHP payment authorization of a specialty mental health service or when the MHP reduces or terminates a previously approved MHP payment authorization, notice shall be provided in accordance with Title 22, Section 51014.1. 
(2) Notice is not required when a denial is a non-binding verbal description to a provider of the specialty mental health services that may be approved by the MHP. 
(3) Notice is not required when the MHP modifies the duration of any approved specialty mental health services as long as the MHP provides an opportunity for the provider to request MHP payment authorization of additional specialty mental health services before the end of the approved duration of services. 
(4) Except as provided in Subsection (b), notice is not required when the denial or modification is a denial or modification of a request for MHP payment authorization for a specialty mental health service that has already been provided to the beneficiary. 
(b) A Notice of Action is required when the MHP denies or modifies an MHP payment authorization request from a provider for a specialty mental health service that has already been provided to the beneficiary when the denial or modification is a result of post-service, prepayment determination by the MHP that the service was not medically necessary or otherwise was not a service covered by the MHP. 
(c) The MHP shall deny the MHP payment authorization request and provide the beneficiary of the MHP with a Notice of Action when the MHP does not have sufficient information to approve or modify, or deny on the merits, an MHP payment authorization request from a provider within the timeframes required by Sections 1820.220 or 1830.215. 
(d) The MHP shall provide the beneficiary of the MHP with a Notice of Action if the MHP fails to notify the affected parties of a grievance decision within 60 calendar days, an appeal decision within 45 days, or an expedited appeal decision within three working days. If the timeframe for a grievance, appeal or expedited appeal decision is extended pursuant to Sections 1850.206, 1850.207 or 1850.208 respectively, the MHP shall provide a beneficiary of the MHP with a Notice of Action if the MHP fails to notify the affected parties of the grievance, appeal or expedited appeal decision within the extension period. 
(e) The MHP shall provide a beneficiary of the MHP with a Notice of Action if the MHP fails to provide a specialty mental health service covered by the MHP within the timeframe for delivery of the service established by the MHP. 
(f) The MHP shall comply with the requirements of Section 1850.212 regarding the content of Notices of Action and with the following timeframes for mailing of Notices of Action: 
(1) The written Notice of Action issued pursuant to Subsections (a) or (b) shall be deposited with the United States postal service in time for pick-up no later than the third working day after the action, except that a Notice of Action issued pursuant to Subsection (a)(1) shall be provided in accordance with the applicable timelines of Title 22, Section 51014.1. 
(2) The written Notice of Action issued pursuant to Subsections (c) or (d) shall be deposited with the United States Postal Service in time for pick-up on the date that the applicable timeframe expires. 
(3) The written Notice of Action issued pursuant to Subsection (e) shall be deposited with the United States Postal Service in time for pick up on the date that the timeframe for delivery of the service established by the MHP expires. 
(g) When a Notice of Action would not be required under Subsections (a), (b), or (c), the MHP shall provide a beneficiary of the MHP with Notice of Action under this Subsection when the MHP or its providers determine that the medical necessity criteria in Section 1830.205(b)(1), (b)(2), (b)(3)(C) or 1830.210(a) have not been met and that the beneficiary is, therefore, not entitled to any specialty mental health services from the MHP. A Notice of Action pursuant to this Subsection is not required when a provider, including the MHP acting as a provider, determines that a beneficiary does not qualify for a specific service covered by the MHP, including but not limited to crisis intervention, crisis stabilization, crisis residential treatment services, psychiatric inpatient hospital services, or any specialty mental health service to treat a beneficiary's urgent condition, provided that the determination does not apply to any other specialty mental health service covered by the MHP. The Notice of Action under this Subsection, shall, at the election of the MHP, be hand delivered to the beneficiary on the date of the action or mailed to the beneficiary in accordance with Subsection (f)(1) and shall specify the information contained in Section 1850.212(b). 
(h) For the purpose of this Section, each reference to a Medi-Cal managed care plan in Title 22, Section 51014.1, shall mean the MHP. 
(i) For the purposes of this Section, “medical service” as cited in Title 22, Section 51014.1, shall mean specialty mental health services that are subject to prior authorization by an MHP pursuant to Subchapters 2 and 3, beginning with Sections 1820.100 and 1830.100, respectively. 
(j) The MHP shall retain copies of all Notices of Action issued to beneficiaries under this Section in a centralized file accessible to the Department, the Department of Health Services and other appropriate oversight entities as specified in the contract between the Department and the MHP. 
NOTE

Authority cited: Section 14680, Welfare and Institutions Code. Reference: Section 14684, Welfare and Institutions Code; and 42 CFR Part 438, Sections 438.210 and 438.404.
HISTORY

1. New section filed 10-31-97 as an emergency; operative 11-1-97 (Register 97, No. 44). A Certificate of Compliance must be transmitted to OAL by 3-2-98 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 3-2-98 as an emergency; operative 3-2-98 (Register 98, No. 10). A Certificate of Compliance must be transmitted to OAL by 6-30-98 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 6-17-98 as an emergency; operative 6-30-98 (Register 98, No. 25). Pursuant to Chapter 324 (Statutes of 1998) Item 4440-103-0001(4), a Certificate of Compliance must be transmitted to OAL by 7-1-99 or emergency language will be repealed by operation of law on the following day.
4. Editorial correction of History 3 (Register 98, No. 39).
5. Editorial correction extending Certificate of Compliance date to 7-1-2001 pursuant to Chapter 50 (Statutes of 1999) Item 4440-103-0001(4) (Register 99, No. 33). Notwithstanding any other provision of law, emergency regulations adopted pursuant to Welfare and Institutions Code section 14680 to implement the second phase of mental health managed care as provided in this part shall remain in effect until permanent regulations are adopted, or June 30, 2006, whichever occurs first.
6. Editorial correction of History 5 (Register 2000, No. 42). 
7. Editorial correction of History 5, new article 2 heading and repealer and new section filed 5-19-2006; operative 6-18-2006 (Register 2006, No. 20). 
§1850.212. Contents of a Notice of Action.
Note     •     History

(a) The Notice of Action, issued pursuant to Section 1850.210(a)-(e) shall contain the following information: 
(1) The action taken by the MHP. 
(2) The reason for the action taken. 
(3) A citation of the specific regulations or MHP payment authorization procedures supporting the action. 
(4) The beneficiary's right to file an appeal or expedited appeal with the MHP. 
(5) The beneficiary's right to a fair hearing or to request an expedited fair hearing, including: 
(A) The method by which a hearing may be obtained. 
(B) That the beneficiary may be either: 
1. Self-represented. 
2. Represented by an authorized third party such as legal counsel, relative, friend or any other person. 
(C) An explanation of the circumstances under which a specialty mental health service will be continued if a fair hearing is requested. 
(D) The time limits for requesting a fair hearing or an expedited fair hearing. 
(b) A Notice of Action, issued pursuant to Section 1850.210(g), shall specify the following: 
(1) The reason that the medical necessity criteria were not met, including a citation of the applicable regulation. 
(2) The beneficiary's options for obtaining care outside the MHP, if applicable. 
(3) The beneficiary's right to request a second opinion on the determination. 
(4) The beneficiary's right to file an appeal or expedited appeal with the MHP. 
(5) The beneficiary's right to a fair hearing or to request an expedited fair hearing, including: 
(A) The method by which a hearing may be obtained. 
(B) That the beneficiary may be either: 
1. Self-represented. 
2. Represented by an authorized third party such as legal counsel, relative, friend or any other person. 
(C) The time limits for requesting a fair hearing or an expedited fair hearing. 
NOTE

Authority cited: Section 14680, Welfare and Institutions Code. Reference: Section 14684, Welfare and Institutions Code; and Title 42, Code of Federal Regulations, Section 431.244 and Part 438, Subpart F. 
HISTORY

1. New section filed 5-19-2006; operative 6-18-2006 (Register 2006, No. 20). 
§1850.213. Fair Hearings.
Note     •     History

(a) The fair hearings under this Article shall be administered by the State Department of Health Services, in accordance with Title 22, Sections 50951 and 50953. 
(b) The MHP shall carry out the final decisions of the fair hearing process with respect to issues within the scope of the MHP's responsibilities under the contract between the MHP and the Department.
(c) Nothing in this section is intended to prevent the MHP from pursuing any options available for appealing a fair hearing decision.
NOTE

Authority cited: Section 14684, Welfare and Institutions Code. Reference: Section 14684, Welfare and Institutions Code. 
HISTORY

1. New section filed 5-19-2006; operative 6-18-2006 (Register 2006, No. 20). 
2. Designation of existing section as subsection (a) and new subsections (b)-(c) filed 10-18-2010; operative 11-17-2010 (Register 2010, No. 43).
§1850.215. Continuation of Services Pending Fair Hearing Decision.
Note     •     History

(a) A beneficiary receiving specialty mental health services pursuant to this Chapter shall have a right to file for continuation of specialty mental health services pending fair hearing pursuant to Title 22, Section 51014.2. The time limits for filing for a continuation of services pursuant to Title 22, Section 51014.2 shall not be extended by a beneficiary's decision to pursue an MHP's beneficiary problem resolution process as described in Section 1850.205. 
(b) The MHP shall provide continuation of specialty mental health services pending a fair hearing in accordance with Title 22, Section 51014.2. If an MHP allows providers to deliver specialty mental health services for a set number of visits or a set duration of time without prior authorization, the MHP shall provide continuation of specialty mental health services pending a fair hearing when the MHP denies an MHP payment authorization request from a provider requesting continuation of services beyond the number or duration permitted without prior authorization and the beneficiary files a timely request for fair hearing pursuant to Subsection (a). 
(c) For the purpose of this Section, each reference to Medi-Cal managed care plan in Title 22, Section 51014.2, shall mean the MHP. 
(d) Before requesting a state fair hearing, the beneficiary must exhaust the MHP's problem resolution processes as described in Section 1850.205.
NOTE

Authority cited: Section 14680, Welfare and Institutions Code. Reference: Section 14684, Welfare and Institutions Code.
HISTORY

1. New section filed 10-31-97 as an emergency; operative 11-1-97 (Register 97, No. 44). A Certificate of Compliance must be transmitted to OAL by 3-2-98 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 3-2-98 as an emergency; operative 3-2-98 (Register 98, No. 10). A Certificate of Compliance must be transmitted to OAL by 6-30-98 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 6-17-98 as an emergency; operative 6-30-98 (Register 98, No. 25). Pursuant to Chapter 324 (Statutes of 1998) Item 4440-103-0001(4), a Certificate of Compliance must be transmitted to OAL by 7-1-99 or emergency language will be repealed by operation of law on the following day.
4. Editorial correction of History 3 (Register 98, No. 39).
5. Editorial correction extending Certificate of Compliance date to 7-1-2001 pursuant to Chapter 50 (Statutes of 1999) Item 4440-103-0001(4) (Register 99, No. 33). Notwithstanding any other provision of law, emergency regulations adopted pursuant to Welfare and Institutions Code section 14680 to implement the second phase of mental health managed care as provided in this part shall remain in effect until permanent regulations are adopted, or June 30, 2006, whichever occurs first.
6. Editorial correction of History 5 (Register 2000, No. 42). 
7. Editorial correction of History 5 and repealer and new section filed 5-19-2006; operative 6-18-2006 (Register 2006, No. 20). 
Article 3. Provider Problem Resolution and Appeal Processes
§1850.305. General Provisions.
Note     •     History

(a) An MHP shall develop provider problem resolution and appeal processes that enable providers to resolve MHP payment authorization issues or other complaints and concerns. The MHP shall not subject a provider to discrimination or any other penalty for using the provider problem resolution and appeal processes. 
(b) The MHP shall ensure that participating providers are provided written information regarding the provider problem resolution and appeal processes. 
NOTE

Authority cited: Section 14680, Welfare and Institutions Code. Reference: Section 14684, Welfare and Institutions Code.
HISTORY

1. New section filed 10-31-97 as an emergency; operative 11-1-97 (Register 97, No. 44). A Certificate of Compliance must be transmitted to OAL by 3-2-98 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 3-2-98 as an emergency; operative 3-2-98 (Register 98, No. 10). A Certificate of Compliance must be transmitted to OAL by 6-30-98 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 6-17-98 as an emergency; operative 6-30-98 (Register 98, No. 25). Pursuant to Chapter 324 (Statutes of 1998) Item 4440-103-0001(4), a Certificate of Compliance must be transmitted to OAL by 7-1-99 or emergency language will be repealed by operation of law on the following day.
4. Editorial correction of History 3 (Register 98, No. 39).
5. Editorial correction extending Certificate of Compliance date to 7-1-2001 pursuant to Chapter 50 (Statutes of 1999) Item 4440-103-0001(4) (Register 99, No. 33). Notwithstanding any other provision of law, emergency regulations adopted pursuant to Welfare and Institutions Code section 14680 to implement the second phase of mental health managed care as provided in this part shall remain in effect until permanent regulations are adopted, or June 30, 2006, whichever occurs first.
6. Editorial correction of History 5 (Register 2000, No. 42). 
7. Editorial correction of History 5, new article 3 heading and repealer and new section filed 5-19-2006; operative 6-18-2006 (Register 2006, No. 20). 
§1850.310. Provider Problem Resolution Process.
Note     •     History

The Provider Problem Resolution Process shall, at a minimum: 
(a) Include a means to accept written or verbal concerns or complaints from providers and address these concerns or complaints quickly and easily. 
(b) Utilize simple, informal, and easily understood procedures. 
(c) Inform providers of their right to access the Provider Appeal Process at any time before, during, or after the Provider Problem Resolution Process has begun when the complaint concerns a denied or modified request for MHP payment authorization or the processing or payment of a provider's claim to the MHP and whether accessing the Provider Problem Resolution Process will affect the provider's timelines for accessing the Provider Appeal Process. 
NOTE

Authority cited: Section 14680, Welfare and Institutions Code. Reference: Section 14684, Welfare and Institutions Code.
HISTORY

1. New section filed 10-31-97 as an emergency; operative 11-1-97 (Register 97, No. 44). A Certificate of Compliance must be transmitted to OAL by 3-2-98 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 3-2-98 as an emergency; operative 3-2-98 (Register 98, No. 10). A Certificate of Compliance must be transmitted to OAL by 6-30-98 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 6-17-98 as an emergency; operative 6-30-98 (Register 98, No. 25). Pursuant to Chapter 324 (Statutes of 1998) Item 4440-103-0001(4), a Certificate of Compliance must be transmitted to OAL by 7-1-99 or emergency language will be repealed by operation of law on the following day.
4. Editorial correction of History 3 (Register 98, No. 39).
5. Editorial correction extending Certificate of Compliance date to 7-1-2001 pursuant to Chapter 50 (Statutes of 1999) Item 4440-103-0001(4) (Register 99, No. 33). Notwithstanding any other provision of law, emergency regulations adopted pursuant to Welfare and Institutions Code section 14680 to implement the second phase of mental health managed care as provided in this part shall remain in effect until permanent regulations are adopted, or June 30, 2006, whichever occurs first.
6. Editorial correction of History 5 (Register 2000, No. 42). 
7. Editorial correction of History 5 and repealer and new section filed 5-19-2006; operative 6-18-2006 (Register 2006, No. 20). 
§1850.315. Provider Appeal Process.
Note     •     History

The Provider Appeal Process shall include the following: 
(a) A provider may appeal a denied or modified request for MHP payment authorization or a dispute with the MHP concerning the processing or payment of a provider's claim to the MHP. The written appeal shall be submitted to the MHP within 90 calendar days of the date of receipt of the non-approval of payment or within 90 calendar days of the MHP's failure to act on the request in accordance with the time frames required by Sections 1820.220 or 1830.250, or established by the MHP pursuant to Section 1830.215. 
(b) The MHP shall have 60 calendar days from its receipt of the appeal to inform the provider in writing of the decision, including a statement of the reasons for the decision that addresses each issue raised by the provider, and any action required by the provider to implement the decision. 
(1) If the appeal concerns the denial or modification of an MHP payment authorization request, the MHP shall utilize personnel not involved in the initial denial or modification decision to determine the appeal decision. 
(2) If the appeal is not granted in full, the provider shall be notified of any right to submit an appeal to the Department pursuant to Section 1850.320. 
(3) If applicable, the provider shall submit a revised request for MHP payment authorization within 30 calendar days from receipt of the MHP's decision to approve the MHP payment authorization request. 
(4) If applicable, the MHP shall have 14 calendar days from the date of receipt of the provider's revised request for MHP payment authorization to submit the documentation to the Medi-Cal fiscal intermediary that is required to process the MHP payment authorization. 
(c) If an MHP does not respond within 60 calendar days to the appeal, the appeal shall be considered denied in full by the MHP. 
NOTE

Authority cited: Section 14680, Welfare and Institutions Code. Reference: Section 14684, Welfare and Institutions Code. 
HISTORY

1. New section filed 5-19-2006; operative 6-18-2006 (Register 2006, No. 20). 
§1850.320. Provider Appeals to the Department.
Note     •     History

When an appeal concerning the denial or modification of an MHP payment authorization request for the specialty mental health services provided in an emergency as described in Sections 1820.225, 1830.230, and 1830.245 is denied in full or in part by the MHP's Provider Appeal Process on the basis that the provider did not comply with the required timelines for notification or submission of the MHP payment request, that the medical necessity criteria were not met, or that the requirements of Section 1820.220(j)(5) for approval of administrative days were not met, the provider may appeal the denial or modification to the Department. A hospital may not appeal the denial or modification of MHP payment authorization to the Department when the denial or modification is based on the MHP's determination that a hospital has failed to comply with mandatory provisions of the contract between the provider and the MHP as allowed by Sections 1820.220(g), (j) and 1820.225(d)(5). 
(a) Hospitals and the individual, group or organizational providers who have provided specialty mental health services under Sections 1820.225, 1830.230, and 1830.245 to a beneficiary during the psychiatric inpatient hospital stay that is the subject of the appeal may appeal separately to the Department unless they have agreed to another arrangement as a term of their contract with the MHP. 
(b) If a provider chooses to appeal an MHP's denial or modification of MHP payment authorization, the provider shall submit an appeal to the Department in writing, along with supporting documentation, within 30 calendar days from the date the MHP's written decision of denial or modification is submitted to the provider. The provider may appeal to the Department within 30 calendar days after 60 calendar days from submission of the appeal under Section 1850.315(a) to the MHP, if the MHP fails to respond. Supporting documentation shall include, but not be limited to: 
(1) Any documentation supporting allegations of timeliness, if at issue, including fax records, phone records or memos. 
(2) Clinical records supporting the existence of medical necessity if at issue. 
(3) A summary of reasons why the MHP should have approved the MHP payment authorization. 
(4) A contact person(s) name, address and phone number. 
(c) The Department shall notify the MHP and the provider of its receipt of a request for appeal pursuant to this Section within seven calendar days from the date of receipt of the request. The notice to the MHP shall include a request to the MHP for specific documentation supporting denial of the MHP payment authorization and a request for documentation establishing any agreements with the appealing provider or other providers who may be affected by the appeal pursuant to Subsection (a). 
(d) The MHP shall submit the requested documentation within 21 calendar days of the date the notice to the MHP from the Department pursuant to Subsection (c) was received by the MHP or the Department shall decide the appeal based solely on the documentation filed by the provider. 
(e) The Department shall have 60 calendar days from the receipt of the MHP's documentation or from the 21st calendar day after the request for documentation was received by the MHP, whichever is earlier, to notify the provider and the MHP, in writing, of its decision, including a statement of the reasons for the decision that addresses each issue raised by the provider and the MHP, and any actions required by the MHP or the provider to implement the decision. At the election of the provider, if the Department fails to act within the 60 calendar days, the appeal may be considered to have been denied by the Department. 
(1) The Department may allow both a provider representative(s) and the MHP representative(s) an opportunity to present oral argument to the Department. 
(2) If applicable, the provider shall submit a revised request for MHP payment authorization within 30 calendar days from receipt of the Department's decision to uphold the appeal. 
(3) If applicable, the MHP shall have 14 calendar days from the receipt of the provider's revised MHP payment authorization request to approve the MHP payment authorization or submit documentation to the Medi-Cal fiscal intermediary required to process the MHP payment authorization. 
NOTE

Authority cited: Section 14680, Welfare and Institutions Code. Reference: Section 14684, Welfare and Institutions Code. 
HISTORY

1. New section filed 5-19-2006; operative 6-18-2006 (Register 2006, No. 20). 
§1850.325. Provider Appeal Process -- Claims Processing.
Note     •     History

Notwithstanding Sections 1850.305-1850.320: 
(a) A Fee-for-Service/Medi-Cal hospital or a psychiatric nursing facility may file an appeal concerning the processing or payment of its claims for payment for services directly to the fiscal intermediary postmarked or FAXED within 90 calendar days of the date the payment was due. The fiscal intermediary shall have 60 calendar days from the receipt of the appeal to make a determination in writing to the provider. 
(b) An MHP may file an appeal concerning the processing or payment of its claim for services paid through the Short-Doyle/Medi-Cal system to the Department postmarked or FAXED within 90 calendar days of the date the payment was due. The Department shall have 60 calendar days from the receipt of the appeal to make a determination in writing to the MHP. 
NOTE

Authority cited: Section 14680, Welfare and Institutions Code. Reference: Section 14684, Welfare and Institutions Code. 
HISTORY

1. New section filed 5-19-2006; operative 6-18-2006 (Register 2006, No. 20). 
§1850.350. MHP/MHP Subcontractor Client Record Review Findings Appeal Process.
Note     •     History

(a) MHP and MHP subcontractor appeals process
(1) The appeal process consists of: 
(A) An informal appeal process as specified in section 1850.350 (b). 
(B) A formal appeal process. 
(2) The appeal process may only be used for disallowances of paid claims resulting from client record review findings, 
(b) The informal appeal shall be conducted by a Department review officer to clarify or resolve facts and issues in dispute. 
(1) An informal appeal request by an MHP or MHP subcontractor shall be made in writing to the Department within 60 calendar days following the receipt of the client record review findings in dispute. 
(2) The informal appeal request shall include: 
(A) Written documentation supporting the rationale for the informal appeal for each disallowance in dispute. 
(B) Other supporting information and/or material to be considered by the Department. 
(C) A contact name, phone number and address. 
(D) A statement of whether the MHP or MHP subcontractor requests that a decision be made solely upon the written documentation submitted or in conjunction with a telephone or face-to-face conference. 
(3) If an MHP subcontractor is requesting the informal appeal, the MHP subcontractor shall notify the MHP at the same time of filing the request with the Department by sending the MHP: 
(A) A copy of the request
(B) Complete documentation supporting the rationale for the appeal. 
(4) If an MHP is requesting an informal appeal regarding a matter involving an MHP subcontractor, the MHP shall notify the MHP subcontractor at the same time of filing the request with the Department by sending the MHP subcontractor: 
(A) A copy of the request
(B) Complete documentation supporting the rationale for the appeal. 
(5) The Department shall render the informal appeal decision in writing based on the information provided within 30 calendar days: 
(A) Of receipt of the informal appeal request if the MHP or MHP subcontractor has requested a decision based solely on the written documentation submitted. The date of receipt shall be the date stamped as received by the Department. 
or
(B) Of conclusion of the telephone or face-to-face conference, if requested. 
(6) Decisions rendered are considered final unless a formal appeal is requested by the entity initiating the informal appeal. 
(c) A request for a formal appeal shall be filed, with the State Agency indicated in the informal appeal decision notification, within 30 calendar days of the date of issuance of the decision. 
(1) Requests for formal appeal may only be filed after the Department of Mental Health has issued a written decision regarding an informal appeal on the same matter. 
(2) Requests for a formal appeal may only be filed by the entity that initiated the informal appeal. 
(3) At the same time as specified in section (c), a copy of the request shall be provided by the appellant to the following: 
(A) The Department of Mental Health. 
(B) The MHP, if an MHP subcontractor is requesting the formal appeal. 
(C) The MHP subcontractor, if an MHP is requesting the formal appeal regarding a matter involving an MHP subcontractor. 
NOTE

Authority cited: Section 14680, Welfare and Institutions Code. Reference: Sections 5775, 5776, 5778 and 14171, Welfare and Institutions Code. 
HISTORY

1. New section filed 7-7-2010; operative 8-6-2010 (Register 2010, No. 28).
Article 4. Resolution of Disputes Between MHPs regarding MHP of Beneficiary
§1850.405. Arbitration Between MHPs.
Note     •     History

(a) Under the following arbitration processes the MHP of the beneficiary may be determined to be different than that specified in the MEDS file. 
(b) Any two or more MHPs may develop an arbitration agreement to provide for determining final responsibility for MHP payment authorization as described in Subchapters 2 and 3, beginning with Sections 1820.100 and 1830.100, respectively, when there is a dispute between the participating MHPs. Each arbitration agreement must: 
(1) Provide for the selection of an arbitrator. 
(2) Include timelines for filing and resolution. 
(3) Include criteria that will serve as a basis for a decision. 
(4) Specify that decisions reached under the arbitration process will be final. 
(5) Be signed by all participating MHPs or their designees. 
(6) Require that all decisions of the arbitrator shall be in writing. 
(7) Provide that a copy of each decision shall be forwarded to the affected MHPs within 14 calendar days of the decision. 
(c) In cases where there is a disagreement between MHPs that are not participating in an arbitration process, the arbitration process shall be as follows: 
(1) Each MHP shall provide the Department with at least one individual available to serve as an arbitrator. The MHP shall confirm or update the available individuals annually. The Department shall provide a listing of the available individuals to the MHPs annually by October 1. The parties to the dispute may agree to a single arbitrator. If the parties to the dispute cannot agree on a single arbitrator, the parties shall each select an arbitrator from the list of available individuals, except that an individual identified by either involved MHP may not be selected. The selected arbitrators shall select a third arbitrator who is not an individual identified by either involved MHP from the listing. 
(2) The arbitrators' services shall be reimbursed at the hourly rate charge of $150.00, not to exceed a total of ten hours. The parties shall share equally in paying for the arbitrators' services. Payment shall be made directly to the arbitrators unless the arbitrator is an employee of the MHP, in which case payment shall be made to that MHP. 
(3) The arbitrators' decision as to the MHP of the beneficiary shall be based on a review of the facts in relation to the following criteria: 
(A) If a beneficiary has moved to a county or acts to establish residency in a county and has a clear intent to reside in the county, the MHP for that county shall be considered the MHP of the beneficiary. 
(B) If a beneficiary is a Lanterman-Petris-Short or Probate Conservatee, the MHP for the county in which the beneficiary is conserved shall be considered the MHP of the beneficiary. 
(C) If a beneficiary has been placed in legal custody by a county, the MHP for the county that initiated the legal proceeding shall be considered the MHP of the beneficiary. If a beneficiary is on parole or in a conditional release program and is restricted to a particular area, the MHP for the county that includes the area to which the beneficiary is restricted shall be the MHP of the beneficiary. 
(D) If a beneficiary has adopted a transient, nomadic lifestyle and has a clear intent to continue this lifestyle, the MHP for the county in which the beneficiary presents for services shall be considered the MHP of the beneficiary. 
(E) If a beneficiary, because of the beneficiary's mental status, is unable to form or express a clear intent to reside anywhere, the following may be considered evidence that the MHP for the county involved would be the MHP of the beneficiary: 
1. The county that originated residential, medical, or psychiatric placement. 
2. The county in which the beneficiary has current housing. 
3. The county that has paid general assistance to the beneficiary. 
4. The county in which the beneficiary has received ongoing community mental health clinical care during the last six months. 
(F) Where the facts do not clearly meet the criteria, the arbitrators' decision shall be reasonable in light of the facts presented using the criteria in Subsections (a)(3)(A)-(E) as general guidelines. 
(4) The affected MHPs shall provide relevant documentation to arbitrators no later than 21 calendar days after the arbitrators have been selected. 
(5) The arbitrators shall decide on the issue no later than 60 calendar days: 
(A) From the date documentation is received from the affected MHPs, or 
(B) From 21 calendar days after the arbitrator has been selected, whichever is sooner. 
(6) The arbitrators shall issue the decision in writing to the affected MHPs within 14 calendar days of the decision. 
NOTE

Authority cited: Section 14680, Welfare and Institutions Code. Reference: Sections 5777, 5778 and 14684, Welfare and Institutions Code.
HISTORY

1. New section filed 10-31-97 as an emergency; operative 11-1-97 (Register 97, No. 44). A Certificate of Compliance must be transmitted to OAL by 3-2-98 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 3-2-98 as an emergency; operative 3-2-98 (Register 98, No. 10). A Certificate of Compliance must be transmitted to OAL by 6-30-98 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 6-17-98 as an emergency; operative 6-30-98 (Register 98, No. 25). Pursuant to Chapter 324 (Statutes of 1998) Item 4440-103-0001(4), a Certificate of Compliance must be transmitted to OAL by 7-1-99 or emergency language will be repealed by operation of law on the following day.
4. Editorial correction of History 3 (Register 98, No. 39).
5. Editorial correction extending Certificate of Compliance date to 7-1-2001 pursuant to Chapter 50 (Statutes of 1999) Item 4440-103-0001(4) (Register 99, No. 33). Notwithstanding any other provision of law, emergency regulations adopted pursuant to Welfare and Institutions Code section 14680 to implement the second phase of mental health managed care as provided in this part shall remain in effect until permanent regulations are adopted, or June 30, 2006, whichever occurs first.
6. Editorial correction of History 5 (Register 2000, No. 42). 
7. Editorial correction of History 5, new article 4 heading and repealer and new section filed 5-19-2006; operative 6-18-2006 (Register 2006, No. 20). 
§1850.415. Implementation of the Arbitrators' Decision.
Note     •     History

When the arbitrators acting under Section 1850.405 determine that an MHP is responsible for payment for specialty mental health services previously authorized by another MHP, the MHP found responsible for payment of services shall perform, within 14 calendar days from the date of the arbitrator's decision, any action required of the MHP to implement the decision of the arbitration process. The Department reserves the right to take action necessary to implement the decision of the arbitration process if the MHP found to be responsible fails to comply with the decision. 
NOTE

Authority cited: Section 14680, Welfare and Institutions Code. Reference: Sections 5777, 5778 and 14684, Welfare and Institutions Code 
HISTORY

1. New section filed 5-19-2006; operative 6-18-2006 (Register 2006, No. 20). 
§1850.420. Provision of Medically Necessary Services Pending Resolution of Dispute.
Note     •     History

A dispute regarding the MHP of the beneficiary shall not delay medically necessary services to beneficiaries. The MHP of the beneficiary as identified on the MEDS file shall be responsible for providing or authorizing and paying for the service until the dispute is resolved. 
NOTE

Authority cited: Section 14680, Welfare and Institutions Code. Reference: Sections 5777, 5778 and 14684, Welfare and Institutions Code.
HISTORY

1. New section filed 5-19-2006; operative 6-18-2006 (Register 2006, No. 20). 
Article 5. Resolution of Disputes Between MHPs and Medi-Cal Managed Care Plans
§1850.505. Requests for Resolution.
Note     •     History

(a) Except as provided in Subsection (c), when an MHP has a dispute with a Medi-Cal Managed Care Plan that cannot be resolved to the satisfaction of the MHP concerning the obligations of the MHP or the Medi-Cal Managed Care Plan under their respective contracts with the State, State Medi-Cal laws and regulations, or an MOU as described in Section 1810.370, the MHP may submit a request for resolution to the Department. 
(b) Except as provided in Subsection (c), when a Medi-Cal Managed Care plan has a dispute with an MHP that cannot be resolved to the satisfaction of the Medi-Cal Managed Care Plan concerning the obligations of the MHP or the Medi-Cal Managed Care Plan under their respective contracts with the State, State Medi-Cal laws and regulations, or an MOU as described in Section 1810.370, the Medi-Cal Managed Care Plan may submit a request for resolution to the State Department of Health Services. 
(c) If the MHP and the Medi-Cal managed care plan have agreed in the MOU entered into pursuant to Section 1810.370 to binding arbitration as the means for resolving disputes, the MHP and the Medi-Cal managed care plan may not request resolution of the dispute under this Section. 
(d) If the MHP and the Medi-Cal Managed Care Plan have an MOU pursuant to Section 1810.370, a request for resolution by either department shall be submitted to the respective department within 15 calendar days of the completion of the dispute resolution process between the parties as provided in the MOU. If there is no MOU, a request for resolution shall be submitted to the respective department within 30 calendar days after the event giving rise to the dispute. The request for resolution shall contain the following information: 
(1) A summary of the issue and a statement of the desired remedy, including any disputed services that have been or are expected to be delivered to the beneficiary and the expected rate of payment for each type of service. 
(2) History of attempts to resolve the issue. 
(3) Justification for the desired remedy. 
(4) Documentation regarding the issue. 
(e) Upon receipt of a request for resolution, the department receiving the request shall notify the other department and the other party within seven calendar days. The notice to the other party shall include a copy of the request and will ask for a statement of the party's position on the dispute, any relevant documentation supporting its position, and any dispute of the rate of payment for services included by the other party in its request. 
(f) The other party shall submit the requested documentation within 21 calendar days from notification of the party from whom documentation is being requested by the party that received the initial request for resolution or the departments shall decide the dispute based solely on the documentation filed by the initiating party. 
NOTE

Authority cited: Section 14680, Welfare and Institutions Code. Reference: Sections 5778, 5780, 14681, 14683 and 14684, Welfare and Institutions Code.
HISTORY

1. New section filed 10-31-97 as an emergency; operative 11-1-97 (Register 97, No. 44). A Certificate of Compliance must be transmitted to OAL by 3-2-98 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 3-2-98 as an emergency; operative 3-2-98 (Register 98, No. 10). A Certificate of Compliance must be transmitted to OAL by 6-30-98 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 6-17-98 as an emergency; operative 6-30-98 (Register 98, No. 25). Pursuant to Chapter 324 (Statutes of 1998) Item 4440-103-0001(4), a Certificate of Compliance must be transmitted to OAL by 7-1-99 or emergency language will be repealed by operation of law on the following day.
4. Editorial correction of History 3 (Register 98, No. 39).
5. Editorial correction extending Certificate of Compliance date to 7-1-2001 pursuant to Chapter 50 (Statutes of 1999) Item 4440-103-0001(4) (Register 99, No. 33). Notwithstanding any other provision of law, emergency regulations adopted pursuant to Welfare and Institutions Code section 14680 to implement the second phase of mental health managed care as provided in this part shall remain in effect until permanent regulations are adopted, or June 30, 2006, whichever occurs first.
6. Editorial correction of History 5 (Register 2000, No. 42). 
7. Editorial correction of History 5, new article 5 heading and repealer and new section filed 5-19-2006; operative 6-18-2006 (Register 2006, No. 20). 
§1850.515. Departments' Responsibility for Review of Disputes.
Note     •     History

(a) The two departments shall each designate at least one and no more than two individuals to review the dispute and make a joint recommendation to directors of the departments or their designees. 
(b) The recommendation shall be based on a review of the submitted documentation in relation to the statutory, regulatory and contractual obligations of the MHP and the Medi-Cal Managed Care Plan. 
(c) The individuals reviewing the dispute may, at their discretion, allow representatives of both the MHP and the Medi-Cal Managed Care Plan an opportunity to present oral argument. 
NOTE

Authority cited: Section 14680, Welfare and Institutions Code. Reference: Sections 5778, 5780, 14681, 14683 and 14684, Welfare and Institutions Code. 
HISTORY

1. New section filed 5-19-2006; operative 6-18-2006 (Register 2006, No. 20). 
§1850.520. Departments' Decision.
Note     •     History

(a) The Directors of the departments or their designees shall jointly issue a written decision to the MHP and the Medi-Cal Managed Care Plan within 30 calendar days: 
(1) From the receipt of the documentation requested from the other party, or 
(2) From the twenty-first calendar day after the request for documentation, whichever is earlier. 
(b) The written decision of the departments shall include a statement of the reasons for the decision, the determination of rates of payment if the rates of payment were disputed, and any decision and any actions required by the MHP and the Medi-Cal Managed Care Plan to implement the decision. 
(c) The departments shall take any necessary steps to enforce the decision, including the withholding of funds to meet any financial liability established pursuant to Section 1850.530. 
NOTE

Authority cited: Section 14680, Welfare and Institutions Code. Reference: Sections 5778, 5780, 14681, 14683 and 14684, Welfare and Institutions Code. 
HISTORY

1. New section filed 5-19-2006; operative 6-18-2006 (Register 2006, No. 20). 
§1850.525. Provision of Medically Necessary Services Pending Resolution of Dispute.
Note     •     History

A dispute between an MHP and a Medi-Cal Managed Care Plan shall not delay medically necessary specialty mental health services, physical health care services, or related prescription drugs and laboratory, radiological, or radioisotope services to beneficiaries. Until the dispute is resolved, the following shall apply: 
(a) The parties may agree to an arrangement satisfactory to both parties regarding how the services under dispute will be provided; or 
(b) When the dispute concerns the Medi-Cal Managed Care Plan's contention that the MHP is required to deliver specialty mental health services to a beneficiary either because the beneficiary's condition would not be responsive to physical health care based treatment or because the MHP has incorrectly determined the beneficiary's diagnosis to be a diagnosis not covered by the MHP, the Medi-Cal Managed Care Plan shall manage the care of the beneficiary under the terms of its contract with the State until the dispute is resolved. The MHP shall identify and provide the Medi-Cal managed care plan with the name and telephone number of a psychiatrist or other qualified licensed mental health professional available to provide clinical consultation, including consultation on medications to the Medi-Cal managed care plan provider responsible for the beneficiary's care. 
(c) When the dispute concerns the MHP's contention that the Medi-Cal Managed Care Plan is required to deliver physical health care based treatment of a mental illness, or to deliver prescription drugs or laboratory, radiological, or radioisotope services required to diagnose or treat the mental illness, the MHP shall be responsible for providing or arranging and paying for those services to the beneficiary until the dispute is resolved. 
NOTE

Authority cited: Section 14680, Welfare and Institutions Code. Reference: Sections 5778, 5780, 14681, 14683 and 14684, Welfare and Institutions Code. 
HISTORY

1. New section filed 5-19-2006; operative 6-18-2006 (Register 2006, No. 20). 
§1850.530. Financial Liability.
Note     •     History

(a) When the resolution of a dispute under this Article includes a determination that the unsuccessful party in the dispute has a financial liability to the other party for services rendered by the successful party, financial liability and the liquidation of that liability shall follow the criteria of Subsections (b)-(d). 
(b) Unless determined otherwise as provided in Subsection (c), financial liability shall not exceed the lower of the following rates, in effect at the time the services were rendered: 
(1) The usual and customary charges made to the general public by the provider who rendered the service. 
(2) The fee-for-service rates for similar services under the Medi-Cal program. Upon determination of the financial liability, if no final rate has been established for the providers who rendered the services for the period and type of services in question, then the applicable interim rate shall be used for the final determination of financial liability. 
(c) The rate of payment included in the request pursuant to Section 1850.505(d)(1) shall be presumed correct, and the successful party shall be entitled to the full rate requested in its request should it prevail, unless the other party disputed the rate of payment in its response under Section 1850.505(e), which places the rates in issue. 
(d) A plan determined to be financially liable shall within 30 calendar days of the effective date of the decision: 
(1) Reimburse the successful party for the full amount of the determined liability. 
(2) Provide proof of reimbursement in such form as the written decision of the departments requires. 
NOTE

Authority cited: Section 14680, Welfare and Institutions Code. Reference: Sections 5778, 5780, 14681, 14683 and 14684, Welfare and Institutions Code. 
HISTORY

1. New section filed 5-19-2006; operative 6-18-2006 (Register 2006, No. 20). 
§1850.535. Additional Conditions of the Dispute Resolution Process.
Note     •     History

(a) Nothing in this Article shall preclude the departments from taking oversight/corrective actions against their respective plans. 
(b) Nothing in this Article shall preclude a beneficiary from utilizing the MHP's beneficiary problem resolution process or any similar process offered by the Medi-Cal managed care plan or to request a fair hearing. When there is a conflict between a fair hearing decision and a decision by the departments under this Article, the fair hearing decision shall take precedence. 
NOTE

Authority cited: Section 14680, Welfare and Institutions Code. Reference: Sections 5778, 5780, 14681, 14683 and 14684, Welfare and Institutions Code. 
HISTORY

1. New section filed 5-19-2006; operative 6-18-2006 (Register 2006, No. 20). 
Chapter 12. Mental Health Program Standards for the Community Treatment Facility
Article 1. General Provisions
§1900. Application of Chapter.
Note     •     History

(a) This Chapter shall apply to mental health programs of a Community Treatment Facility, hereinafter referred to as a CTF, as defined in Section 1502(a)(8) of the Health and Safety Code. Pursuant to Section 4094 of the Welfare and Institutions Code, the State Department of Mental Health, hereinafter referred to as the Department, certifies the mental health program while the California Department of Social Services licenses a facility as a CTF following issuance of a certificate of compliance by the Department.
NOTE

Authority cited: Section 4094, Welfare and Institutions Code. Reference: Sections 4094 et seq., Welfare and Institutions Code; and Section 1502, Health and Safety Code.
HISTORY

1. New chapter 12 (articles 1-6), article 1 (sections 1900-1901) and section filed 6-24-98; operative 7-1-98 pursuant to Government Code section 11343.4(d) (Register 98, No. 26).
§1901. Definitions and Terms.
Note     •     History

(a) Meaning of words. A word or phrase shall have its usual meaning unless the context or a definition clearly indicates a different meaning. Words and phrases used in their present tense include the future tense. Words and phrases in the singular form include the plural form. Use of the word “shall” denotes mandatory conduct, “may” denotes permissive conduct.
(b) “Advocate” means the person or persons authorized to provide advocacy services pursuant to Section 5520 et seq. of the Welfare and Institutions Code.
(c) “Applicant” means any adult, firm, partnership, association, corporation, county, city, public agency or other governmental entity that has made application for an initial CTF mental health program certification.
(d) “Certificate holder” means the adult, firm, partnership, association, corporation, county, city, public agency or other governmental entity that has an approved mental health program documented by a certificate issued to them by the Department.
(e) “Child” means an individual under 18 years of age who is seriously emotionally disturbed as defined in Section 5600.3 of the Welfare and Institutions Code, including those individuals 18 through 21 years of age specified in Section 1924(b).
(f) “Child care staff” means a direct service employee, as defined by the Division of Community Care Licensing, of a CTF whose duties include but are not limited to the care and supervision of the children residing in the facility.
(g) “Child's facility record” means the documents supporting the child's admission and treatment at the CTF.
(h) “Clinical psychologist” means a psychologist licensed by this State who possesses a doctorate degree in psychology from an educational institution meeting the criteria for subdivision (c) of Section 2914 of the Business and Professions Code, and who has not less than two years clinical experience in a multi-disciplinary facility licensed or operated by this or another State or by the United States to provide health care, or who is listed in the latest edition of the National Register of Health Service Providers in Psychology, as adopted by the Council for the National Register of Health Service Providers in Psychology and as provided in Section 1316.5 of the Health and Safety Code.
(i) “Conservator” means a person appointed pursuant to Section 5350 of the Welfare and Institutions Code.
(j) “Department” means the California State Department of Mental Health.
(k) “Emergency” means an unforseen situation that calls for immediate action without time for full deliberation to prevent the physical injury of a child or others or extreme property damage which could result in such injury.
(l) “Interagency placement committee” means a committee established by the county in accordance with Section 4096(c) of the Welfare and Institutions Code with a membership that includes at least a representative from the county placing agency and a licensed mental health professional from the county department of mental health.
(m) “Least restrictive setting” means the treatment setting which affords the maximum amount of personal freedom consistent with the effective delivery of services for the child being treated that can fulfill the objectives of the child's treatment plan.
(n) “Licensed clinical social worker” means a person who is licensed as a clinical social worker by the Board of Behavioral Science Examiners.
(o) “Licensed marriage, family, and child counselor” means a marriage, family, and child counselor licensed by the State Board of Behavioral Science Examiners.
(p) “Licensed mental health professional” means any of the following:
(1) A psychiatrist;
(2) A clinical psychologist;
(3) A licensed marriage, family and child counselor;
(4) A licensed clinical social worker;
(5) A licensed registered nurse with a masters or doctorate degree in psychiatric nursing.
(q) “Licensed nursing staff” means a licensed registered nurse, a licensed vocational nurse, or a licensed psychiatric technician as defined in this chapter, and employed by a CTF to perform functions within their scope of practice.
(r) “Licensed vocational nurse” means a person licensed as a licensed vocational nurse by the California Board of Vocational Nurse and Psychiatric Technician Examiners.
(s) “Mental health program director” means the licensed mental health professional who has been designated by a CTF's certificate holder to oversee and implement the overall mental health treatment program.
(t) “Needs and Services Plan” or “NSP” is the written plan of all therapeutic, behavioral, and other interventions that are to be provided to the child, and that are necessary to achieve the desired outcomes or goals for that child.
(u) “Non-secure portion of the facility” means that part of a CTF which has entrances and exits, including windows, which are not controlled with locking mechanisms allowing egress or ingress from the premises to the children housed in this portion of the facility.
(v) “Physical restraint” means physically controlling a child's behavior. Physical control includes restricting movement by positioning staff, restricting motion by holding, the application of mechanical devices and involuntary placement of a child in a seclusion room or any other room in which they are involuntarily isolated.
(w) “Physician” means a person licensed as a physician and surgeon by the California Medical Board or by the Board of Osteopathic Examiners.
(x) “Progress notes” are written comments or descriptions of a child's participation and response to the provision of prescribed mental health treatment services.
(y) “Provider” means a “certificate holder” as defined in subsection (d).
(z) “Provision” or “provide” means whenever any regulation of this chapter specifies that any service, personnel, or other requirement be provided or that provision be made for, the provider shall do so directly or present documentation that the requirement has been met by some other means.
(aa) “Psychiatric technician” means a person licensed as a psychiatric technician by the California Board of Vocational Nurse and Psychiatric Technician Examiners.
(bb) “Psychiatrist” means a physician and surgeon licensed by the Medical Board of California who can show evidence of having completed the required course of graduate psychiatric education as specified by the American Board of Psychiatry and Neurology in a program of training accredited by the Accreditation Council for Graduate Medical Education, the American Medical Association or the American Osteopathic Association.
(cc) “Registered nurse” means a person licensed as a registered nurse by the California Board of Registered Nursing.
(dd) “Seclusion” means the involuntary confinement of a child in a room.
(ee) “Secure portion of the facility” means that part of a CTF which has entrances and exits, including windows, which are controlled with locking mechanisms that are inaccessible to the children. Any additional outside spaces and recreational areas that are attached to the facility must similarly be enclosed to preclude egress or ingress from the premises.
NOTE

Authority cited: Section 4094, Welfare and Institutions Code. Reference: Sections 4094 et seq., Welfare and Institutions Code; and Section 1502, Health and Safety Code. 
HISTORY

1. New section filed 6-24-98; operative 7-1-98 pursuant to Government Code section 11343.4(d) (Register 98, No. 26).
Article 2. Mental Health Program Certification Procedures
§1902. Application for Mental Health Program Certification.
Note     •     History

(a) Any adult, firm, partnership, association, corporation, county, city, public agency or other governmental entity desiring program certification for a CTF shall file an application with the Department which shall include the name of the adult, firm, partnership, association, corporation or governmental entity, the location of the proposed CTF, a proposed plan of operation as defined in Section 1919(c) of this chapter, and supporting documents as defined in subsection (c).
(b) Upon the Department's request, an applicant shall provide the Department with verification of the information submitted in their application and/or supporting documentation.
(c) Supporting documents are defined to include the following: previous or current experience in the provision of residential treatment services to children; letters of support or need from county mental health directors, county social service directors, county probation directors, and/or county or district offices of education; and a description of current or proposed relationships to transitional, less restrictive placements.
NOTE

Authority cited: Section 4094, Welfare and Institutions Code. Reference: Sections 4094 et seq., Welfare and Institutions Code; and Section 1502, Health and Safety Code.
HISTORY

1. New article 2 (sections 1902-1907) and section filed 6-24-98; operative 7-1-98 pursuant to Government Code section 11343.4(d) (Register 98, No. 26).
§1903. Mental Health Program Certification of Separate Premises.
Note     •     History

(a) A separate program certification is required by the Department for each CTF mental health program as described in Section 1919 that is maintained on separate premises.
(b) A separate program certification is not required for separate residential units on adjoining lots provided that the certificate holder operates the mental health programs as one program using the same administrator and mental health program director.
NOTE

Authority cited: Section 4094, Welfare and Institutions Code. Reference: Sections 4094 et seq., Welfare and Institutions Code; and Section 1502, Health and Safety Code.
HISTORY

1. New section filed 6-24-98; operative 7-1-98 pursuant to Government Code section 11343.4(d) (Register 98, No. 26).
§1904. Application Review.
Note     •     History

(a) When an application is submitted pursuant to Section 1902 the Department will inform the applicant, within thirty (30) calendar days of receipt of the application, that the application is complete and accepted for filing or that the application is deficient and what specific information or documentation is required to complete the application.
(1) The Department shall inform each applicant of the statutory statewide limits on the number of licensed CTF beds imposed by Section 4094.7 of the Welfare and Institutions Code, regional restrictions on CTFs required by state law, and the effect that these limits will have on their application. 
(2) The Department shall inform each applicant how the criteria used by the Department to determine the providers of CTF services within the state affected the certification or certification denial of their proposed mental health treatment program. The criteria will measure how the proposed mental health treatment program meets:
(A) Regional service needs;
(B) Treatment program needs of the target population;
(C) Fiscal accountability and stability; and
(D) Experience in providing residential treatment services.
(b) An application shall be considered complete when all documents or information required to be submitted with an application have been received by the Department.
(c) If an applicant fails to respond within thirty (30) calendar days to the Department's request pursuant to subsection (a) for additional information or documentation, the application shall be deemed to have been withdrawn by the applicant.
(d) Any applicant deemed to have withdrawn an application pursuant to subsection (c) may re-apply by submitting a new application.
(e) The Department shall notify the applicant in writing of the Department's decision regarding the application within sixty (60) calendar days of receipt of a completed application.
(f) If the Department fails to notify an applicant within the time period specified in subsection (e), the applicant may request a review by the Director of the Department or his designee. The written request shall include:
(1) The identity of the applicant;
(2) The date upon which the application was submitted;
(3) A copy of all correspondence between the Department and the applicant regarding the application;
(4) Any other information which the applicant wishes to submit regarding the timeliness of the Department's consideration of the application.
(g) Nothing in this section shall be construed to require mental health program certification by the Department.
(h) An applicant shall have the right to withdraw an application for an initial or renewal certification. The withdrawal notification shall be in writing.
(i) All applications for mental health program certification and requests for application withdrawal shall be filed with the Department headquarters office: State of California, Department of Mental Health, 1600 9th Street, Sacramento, CA 95814.
NOTE

Authority cited: Section 4094, Welfare and Institutions Code. Reference: Sections 4094 et seq., Welfare and Institutions Code; and Section 1502, Health and Safety Code.
HISTORY

1. New section filed 6-24-98; operative 7-1-98 pursuant to Government Code section 11343.4(d) (Register 98, No. 26).
§1905. Mental Health Program Certification.
Note     •     History

(a) The Department shall issue a certificate of approval to applicants it approves to be a regional CTF provider.
(b) The Department shall notify the California Department of Social Services in writing of the certification of the program of a specific applicant.
(c) Mental health program certification shall expire one year from the date of issuance.
NOTE

Authority cited: Section 4094, Welfare and Institutions Code. Reference: Sections 4094 et seq., Welfare and Institutions Code; and Section 1502, Health and Safety Code.
HISTORY

1. New section filed 6-24-98; operative 7-1-98 pursuant to Government Code section 11343.4(d) (Register 98, No. 26).
§1906. Application for Renewal of Mental Health Program Certification.
Note     •     History

(a) The Department shall renew certification of the certificate holder's program based on the results of a yearly site visit by a Department representative or designee which verifies that all requirements of this chapter and requirements of the California Department of Social Services continue to be met.
(b) The Department shall notify the certificate holder, in writing, of the certification renewal or non renewal with an explanation of the reasons for non renewal within sixty (60) calendar days of the site visit.
(c) The Department shall notify the California Department of Social Services of the renewal certification or non renewal of certification of each CTF program.
(d) Pending the issuance of a renewal certification pursuant to subsection (a) or the notification of non renewal pursuant to subsection (b), the current certification shall remain in effect.
NOTE

Authority cited: Section 4094, Welfare and Institutions Code. Reference: Sections 4094 et seq., Welfare and Institutions Code; and Section 1502, Health and Safety Code.
HISTORY

1. New section filed 6-24-98; operative 7-1-98 pursuant to Government Code section 11343.4(d) (Register 98, No. 26).
§1907. Submission of a New Application.
Note     •     History

(a) A certificate holder shall be required to file a new application, as required in Section 1902, whenever there is a change in conditions or limitations described on the current license as issued by the California Department of Social Services, or other changes including but not limited to the following:
(1) Changes in the facility's plan of operation, as required in Section 1919 of this chapter;
(2) Changes in the limitations on the number of beds authorized for mental health program certification on a statewide basis, as established in statute;
(b) The Department shall review the application as specified in Section 1904 and notify the certificate holder within thirty (30) calendar days of changes in state statute that affect the limitations on the mental health program certification of CTF beds.
NOTE

Authority cited: Section 4094, Welfare and Institutions Code. Reference: Sections 4094 et seq., Welfare and Institutions Code; and Section 1502, Health and Safety Code. 
HISTORY

1. New section filed 6-24-98; operative 7-1-98 pursuant to Government Code section 11343.4(d) (Register 98, No. 26).
Article 3. Administrative Actions
§1908. Denial of Application for Mental Health Program Certification.
Note     •     History

(a) The Department shall deny an application for mental health program certification if it is determined that the applicant is not in compliance with the provisions of this chapter.
(b) If the application for initial mental health program certification is denied, the Department shall notify the applicant and the California Department of Social Services of the denial in writing. The notification shall set forth the reason for the denial and advise the applicant of the right to petition for a hearing to appeal the decision.
(c) An applicant may contest a certification denial by submitting a written request for a hearing to appeal the decision to the Department within fifteen (15) calendar days of receipt of the denial notice. Upon receipt of a written request the Department will forward a copy of the request for hearing, along with any documentation, to the California Department of Social Services.
(d) A hearing concerning denial of mental health program certification and/or licensure shall be conducted by the California Department of Social Services and held jointly with the Department.
(e) The proceedings for the hearing shall be governed by Chapter 5, commencing with Section 11500, Part 1 of Division 3 of Title 2 of the Government Code.
(f) The Department shall provide consultation and documentation to the California Department of Social Services for any administrative proceeding regarding denial of a CTF license.
NOTE

Authority cited: Section 4094, Welfare and Institutions Code. Reference: Sections 4094 et seq., Welfare and Institutions Code; and Section 1502, Health and Safety Code.
HISTORY

1. New article 3 (sections 1908-1909) and section filed 6-24-98; operative 7-1-98 pursuant to Government Code section 11343.4(d) (Register 98, No. 26).
§1909. Revocation or Suspension of Mental Health Program Certification.
Note     •     History

(a) The Department may immediately suspend or revoke mental health program certification of a facility after a notice of noncompliance is given to the provider pursuant to Section 1915 on any of the following grounds:
(1) Violation of any provision of this chapter which places the health or safety of a child in jeopardy;
(2) Aiding, abetting, or permitting the violation of any provision of this chapter;
(3) Conduct by the certificate holder or any employee, or contractor to the certificate holder which represents an immediate or substantial threat to the physical health, mental health, or safety of any child in the facility.
(b) Upon completion of a site review and determination that grounds for revocation or suspension pursuant to subsection (a) have been met, the Department shall notify the certificate holder and the California Department of Social Services via facsimile transmission or mail within two (2) working days and proceedings shall be conducted in accordance with Chapter 5, commencing with Section 11500, Part 1 of Division 3 of Title 2 of the Government Code.
(c) A hearing concerning revocation or suspension of either mental health program certification, or California Department of Social Services licensure, or both shall be conducted by the California Department of Social Services and shall be held jointly with the Department.
(d) The Department shall provide consultation and documentation to the California Department of Social Services for any administrative proceeding regarding revocation or suspension of a CTF license.
(e) When notified of revocation of CTF licensure by the California Department of Social Services, the Department shall revoke the corresponding CTF mental health program certification.
NOTE

Authority cited: Section 4094, Welfare and Institutions Code. Reference: Sections 4094 et seq., Welfare and Institutions Code; and Section 1502, Health and Safety Code. 
HISTORY

1. New section filed 6-24-98; operative 7-1-98 pursuant to Government Code section 11343.4(d) (Register 98, No. 26).
Article 4. Oversight and Enforcement Provisions
§1910. Department Oversight.
Note     •     History

(a) A CTF shall participate fully in the ongoing oversight of a certified mental health treatment program by allowing announced and unannounced site visits by Department representatives and by submitting required reports as described in Section 1912 for monitoring by the Department.
(b) A CTF shall fully cooperate in the following:
(1) Periodic reviews of program and fiscal operations of a CTF by a Department representative to verify that all mental health treatment services are provided in compliance with this chapter;
(2) Immediate on-site investigations by a Department representative, as specified in Section 1914 of this chapter, of a CTF mental health treatment services program whenever there is a threat to the health or safety of the children placed in a CTF;
(3) Monitoring activities by a Department representative for compliance with all applicable patient's rights regulations and admission and discharge due process requirements and procedures as described in Sections 1923 through 1938 of this chapter.
(c) When Department activities described in subsection (b) result in the determination that a CTF is out of compliance with the regulations contained in this chapter, the Department shall provide the certificate holder with a written notice of noncompliance as defined in Section 1915. The notice of noncompliance will be left with a CTF mental health program director upon completion of a site review, or will be sent to a CTF certificate holder via facsimile transmission or mail within two (2) working days.
(d) The Department shall have authority to interview children residing in the facility or staff and to inspect and audit individual child facility records or program records immediately upon requesting to do so at either a regularly scheduled site visit or at an unscheduled complaint investigation.
(e) The certificate holder shall make provisions for the private interviews with any child or staff at a CTF, and for the examination of all records relating to the operation of the facility's mental health program.
(f) The Department shall have the authority to observe the physical condition of any child, including conditions which could indicate abuse, neglect or inappropriate placement, and to have any child physically examined by a licensed mental health professional or physician operating within their scope of practice.
NOTE

Authority cited: Section 4094, Welfare and Institutions Code. Reference: Sections 4094 et seq., Welfare and Institutions Code; and Section 1502, Health and Safety Code.
HISTORY

1. New article 4 (sections 1910-1917) and section filed 6-24-98; operative 7-1-98 pursuant to Government Code section 11343.4(d) (Register 98, No. 26).
§1911. Inspection by Department.
Note     •     History

(a) Any duly authorized representative of the Department shall, upon presentation of proper identification, be allowed to enter and inspect any location of a CTF or premise designated by an applicant as a proposed CTF at any time, with or without advance notice to the certificate holder or applicant, to ensure compliance with, or to prevent a violation of, any provisions of this chapter. The Department shall have the authority to make any number of visits to a CTF mental health program site in order to determine compliance with this chapter.
NOTE

Authority cited: Section 4094, Welfare and Institutions Code. Reference: Sections 4094 et seq., Welfare and Institutions Code; and Section 1502, Health and Safety Code.
HISTORY

1. New section filed 6-24-98; operative 7-1-98 pursuant to Government Code section 11343.4(d) (Register 98, No. 26).
§1912. Required Reporting.
Note     •     History

(a) A certificate holder shall report to the Department the following information every six (6) months:
(1) Occupancy rate of the facility;
(2) Average length of stay, specifying the average number of days spent in secure settings and days spent in non- secure settings;
(3) Numbers of admissions of CTF residents to acute inpatient psychiatric settings;
(4) Listing of counties utilizing the facility and numbers of placements per county;
(5) Demographic information of admitted children, including age, gender, ethnicity and placing agency or authority;
(6) Number of requested pre-admission hearings conducted pursuant to In re Roger S. [19 Cal. 3d 921(1977)], hereinafter referred to as “Roger S.,” administrative hearings, waivers of the right to such a hearing, and requests for writs of habeas corpus per the following categories of children placed within the facility: court ward; court dependent; educationally placed; and private pay.
(7) Other information requested by the Department to resolve any fiscal or programmatic issues raised by the information reported pursuant to this subsection.
(b) A certificate holder shall report special incidents related to a child to his appointed licensing agent of the California Department of Social Services according to Title 22, Section 84161 of the California Code of Regulations and to the Department.
(c) A certificate holder shall report to the Department changes of the facility's mental health program director within ten (10) calendar days of the date of hire.
(d) A certificate holder shall provide a summary of denials of personal rights to both the Department and the county patients' rights office on a quarterly basis.
NOTE

Authority cited: Section 4094, Welfare and Institutions Code. Reference: Sections 4094 et seq., Welfare and Institutions Code; and Section 1502, Health and Safety Code.
HISTORY

1. New section filed 6-24-98; operative 7-1-98 pursuant to Government Code section 11343.4(d) (Register 98, No. 26).
§1913. Complaints.
Note     •     History

(a) Any person may submit a complaint to the Department concerning the operation of a CTF mental health program in accordance with the provisions of this chapter.
(b) The California Department of Social Services shall report to the Department when there is reasonable cause to believe that a CTF is not in compliance with the program standards established in this chapter.
(c) The complaint may be made to the Department either orally or in writing at 1600 9th Street, Sacramento, CA 95814, specifying enough details of the alleged violation to enable the Department to determine the date of the alleged violation, who was involved, and what the alleged violation was.
(d) The substance of the complaint shall be communicated to the certificate holder no earlier than at the time of the on-site investigation if silence regarding the complaint issue is necessary for purposes of conducting an unannounced investigation.
(e) Unless the complainant specifically requests otherwise, neither the substance of the complaint provided the certificate holder nor any copy of the complaint or any record published, released or otherwise made available to the certificate holder shall disclose the name of any person mentioned in the complaint except the name of any duly authorized representative of the Department or the California Department of Social Services, conducting the investigation or inspection pursuant to this chapter.
NOTE

Authority cited: Section 4094, Welfare and Institutions Code. Reference: Sections 4094 et seq., Welfare and Institutions Code; and Section 1502, Health and Safety Code.
HISTORY

1. New section filed 6-24-98; operative 7-1-98 pursuant to Government Code section 11343.4(d) (Register 98, No. 26).
§1914. Investigation Authority.
Note     •     History

(a) Upon receipt of a complaint regarding an alleged violation of any provision of this chapter, the Department representative may do one or more of the following:
(1) Make a preliminary review and determine that there is or is not a reasonable basis for the complaint.
(A) If there is reasonable basis for the complaint, Department staff may schedule an on-site investigation within ten (10) calendar days after receiving the complaint.
(B) If there is reasonable basis for the complaint, Department staff may contact the certificate holder directly to further discuss the complaint and to determine if corrective actions are necessary.
(b) In either event cited in subsections (a)(1)(A) and (a)(1)(B), the complainant shall be promptly informed of the Department's proposed course of action.
NOTE

Authority cited: Section 4094, Welfare and Institutions Code. Reference: Sections 4094 et seq., Welfare and Institutions Code; and Section 1502, Health and Safety Code.
HISTORY

1. New section filed 6-24-98; operative 7-1-98 pursuant to Government Code section 11343.4(d) (Register 98, No. 26).
§1915. Notice of Noncompliance.
Note     •     History

(a) Prior to completion of an inspection, investigation or record review, the certificate holder or his designee, and the Department representative shall meet to discuss any noncompliance, jointly develop a plan for correcting each noncompliance, and acknowledge receipt of the notice of noncompliance which shall include:
(1) A citation of the statute or the regulation which has been violated;
(2) A description of the nature of the noncompliance, stating the manner in which the certificate holder failed to comply with a specified statute or regulation;
(3) A plan developed for correcting each noncompliance;
(4) A date by which each noncompliance shall be corrected.
(b) When a Department representative conducts an inspection, investigation or record review, and determines that a CTF is in noncompliance with provisions of this chapter, the Department shall issue a notice of noncompliance, except in the following situations:
(1) When the noncompliance is not an immediate or substantial threat to the physical health, mental health, or safety of the child in the program and is corrected during the visit;
(2) When the noncompliance is corrected immediately through the provision of requested documents or information via fax transmission.
(c) A Department representative shall provide a written notice of noncompliance and plan of correction to the certificate holder by one of the following:
(1) Personal delivery to the administrator of the facility at the completion of the visit;
(2) Leaving the written notice with the person in charge of the mental health program at the completion of the visit when the administrator is not at a CTF site. A copy of the written notice shall also be mailed to the certificate holder.
(d) When the investigation or record review is conducted at Department offices, the notice of noncompliance and plan of correction shall be faxed, when possible, to the certificate holder and mailed within one (1) working day following the completion of the investigation.
(e) The date for correcting a deficiency shall not be more than thirty (30) calendar days following service of the notice of noncompliance, unless a Department representative determines that the deficiency cannot be completely corrected in thirty (30) calendar days.
(f) When the date for correcting the deficiency is more than thirty (30) calendar days following the service of the notice of noncompliance, the notice shall specify the corrective actions which must be taken within thirty (30) calendar days to begin correction, as well as a time frame for completion of the correction.
(g) A Department representative shall require correction of the deficiency within twenty-four (24) hours or less if there is an immediate threat to the physical or mental health or safety of the children.
NOTE

Authority cited: Section 4094, Welfare and Institutions Code. Reference: Sections 4094 et seq., Welfare and Institutions Code; and Section 1502, Health and Safety Code.
HISTORY

1. New section filed 6-24-98; operative 7-1-98 pursuant to Government Code section 11343.4(d) (Register 98, No. 26).
§1916. Determining Compliance.
Note     •     History

(a) A follow-up visit may be conducted by the Department representative to determine compliance with the plan of correction specified in the notice of noncompliance.
(b) If a follow-up visit indicates that a deficiency was not corrected on or before the date specified in the notice of noncompliance, the Department shall initiate proceedings for the revocation or suspension of the mental health program certification.
(c) Notwithstanding Section 1916 (b), a Department representative shall have the authority to extend the date specified for corrections of a deficiency if warranted by the facts or circumstances presented in support of a request for extension.
(d) The certificate holder may request an extension in writing which the Department must receive at least seven (7) calendar days prior to the date specified in the notice of noncompliance for completion of the plan of correction.
NOTE

Authority cited: Section 4094, Welfare and Institutions Code. Reference: Sections 4094 et seq., Welfare and Institutions Code; and Section 1502, Health and Safety Code.
HISTORY

1. New section filed 6-24-98; operative 7-1-98 pursuant to Government Code section 11343.4(d) (Register 98, No. 26).
§1917. Administrative Review.
Note     •     History

(a) A certificate holder may request an administrative review of a notice of noncompliance within ten (10) working days of receipt of such notice.
(1) The written request for an administrative review of a notice of noncompliance submitted by a certificate holder to the Department does not change the time limits for correcting the deficiency cited in the notice of noncompliance.
(b) The review shall be conducted by a Department reviewer who is a designee of the Department at a staff level senior to that of the Department representative who issued the notice.
(c) If the Department reviewer determines that a notice of noncompliance has not been issued in accordance with the provisions of this chapter, he shall have the authority to amend or dismiss the notice.
(d) The Department reviewer shall have the authority to extend the date specified for correction of a deficiency if warranted by the facts or circumstances presented in support of the request for extension or by the request for administrative review.
NOTE

Authority cited: Section 4094, Welfare and Institutions Code. Reference: Sections 4094 et seq., Welfare and Institutions Code; and Section 1502, Health and Safety Code. 
HISTORY

1. New section filed 6-24-98; operative 7-1-98 pursuant to Government Code section 11343.4(d) (Register 98, No. 26).
Article 5. Continuing Requirements
§1918. Facility Requirements.
Note     •     History

(a) The certificate holder shall comply with all regulations established by the California Department of Social Services pertaining to a licensed CTF. 
(b) A CTF mental health program shall have the capacity to provide secure containment. 
NOTE

Authority cited: Section 4094, Welfare and Institutions Code. Reference: Sections 4094 et seq., Welfare and Institutions Code; and Section 1502, Health and Safety Code.
HISTORY

1. New article 5 (sections 1918-1930) and section filed 6-24-98; operative 7-1-98 pursuant to Government Code section 11343.4(d) (Register 98, No. 26).
§1919. Plan of Operation.
Note     •     History

(a) An applicant shall submit a written plan of operation, as defined in Section 1919(c) of this article, as part of the application process for initial review and approval by the Department.
(b) Any changes to a plan of operation, as described in subsection (c) shall be mailed or faxed to the Department within ten (10) calendar days of the change.
(c) The plan of operation of a CTF, for the purposes of this chapter, shall include the following:
(1) The philosophy and goals of the facility's mental health services program including the proposed average length of stay and criteria under which a briefer or longer stay would be authorized;
(2) A description of the facility's proposed target population by range of age, gender, ethnicity, culture or special needs;
(3) A description of the array of mental health treatment services that can be made available to a child during his placement within a CTF;
(4) Written documentation demonstrating the proposed or existing facility's capability to provide those mental health services required by a child placed within the facility, to include:
(A) Job descriptions and staffing patterns for the mental health program director, services team staff, and licensed mental health professionals who will be working directly with children in a CTF with appropriate documentation of the staff's cultural competence as described in Section 5600.2(g) of the Welfare and Institutions Code;
(B) The name of the proposed mental health program director, with his professional license number, who shall be qualified in accordance with these regulations;
(C) An organizational chart which lists functions and licenses, if applicable, of the administrative and licensed mental health professional staff and contracted licensed mental health professionals providing the interventions and services described in the provider's overall program plan;
(D) A detailed staff development plan, describing staff orientation procedures, on-the-job training requirements and proposed continuing education activities;
(5) Written policies and procedures for providing access to community resources to be utilized in the delivery of prescribed services, including medical and crisis intervention, inpatient psychiatric hospitalization and educational placements and classes as necessary;
(6) Written policies, procedures and criteria for:
(A) Recording daily observations and interactions with each child by CTF staff; 
(B) Admission;
(C) Discharge;
(D) Psychotropic medication control; 
(E) The inclusion of the child and his parent or conservator in the development and implementation of an individualized needs and services plan, hereinafter referred to as NSP; 
(F) The monthly review of each child's NSP; 
(G) Physical restraint and seclusion;
(H) Staff training to ensure due process rights of children while in the CTF;
(I) Visitation and phone use;
(J) Confidentiality pursuant to Section 5328.15 of the Welfare and Institutions Code;
(K) Transitioning a child from a non-secure portion of the facility to a secure one and vice versa.
(L) Proposed documents to be used to inform children and their parents or conservators of the above requirements;
(7) A quality assurance program designed to enhance services and care through an objective assessment of the facility's overall program to ensure the correction of identified problems;
(A) The quality assurance program shall include procedures for ensuring the accountability of the facility's licensed mental health professionals and child care staff for the services and care provided to children residing in the facility and for the implementation of any necessary changes.
(8) A utilization review plan and program to monitor the appropriateness of a child's admission and continued stay or discharge to establish the basis for identifying and assessing the utilization of mental health program services and the continued need for placement;
(A) The utilization review plan shall include a description of the procedures to be used by the facility staff to determine the placement or transfer of a child into either the secure or non-secure portion of the facility.
(B) These procedures shall include documentation of approval of the proposed change of a child's placement within the facility by a licensed mental health professional.
(9) A listing and copies of all agreements, contracts or memorandums of understanding with participating private or public mental health providers;
(10) Detailed plans of the buildings and grounds, including the number of beds in the secure and non-secure portions of the facility, security features and procedures, proposed offices, staff areas, visitor areas, physical restraint and seclusion rooms, educational sites and outdoor recreational areas;
(11) A proposed budget for the facility, including demonstration of sufficient funds or resources to ensure adequate start up activities and treatment services.
NOTE

Authority cited: Section 4094, Welfare and Institutions Code. Reference: Sections 4094 et seq. and 5600.2(g), Welfare and Institutions Code; and Section 1502, Health and Safety Code.
HISTORY

1. New section filed 6-24-98; operative 7-1-98 pursuant to Government Code section 11343.4(d) (Register 98, No. 26).
§1920. Mental Health Program Director Requirements and Responsibilities.
Note     •     History

(a) A CTF shall have a mental health program director who shall be a licensed mental health professional as defined in this chapter. The mental health program director shall have at least three years of post graduate direct clinical experience with seriously emotionally disturbed children, at least one year of which shall be in the position of supervising direct care staff.
(b) The mental health program director shall be responsible for the following: 
(1) Ensuring the provision of appropriate mental health services to the children in the facility;
(2) Ensuring timely completion of all activities, documentation and reports as required by Section 1927(a-j) of this chapter;
(3) Assessing the facility's mental health services on a quarterly basis and providing a signed and dated report summary to the CTF certificate holder with any recommendations that address identified problems;
(4) Supervising, or ensuring supervision by a qualified individual, of licensed mental health professionals and child care staff regarding specific roles and responsibilities in delivering and monitoring mental health services for each child in a CTF;
(5) Reviewing all incidents of physical restraint and seclusion within the facility, including all necessary staff debriefings, staff meetings, individual supervision of staff, recommended changes in facility staffing patterns, recommended additional training, and each child's NSP, for the purpose of reducing physical restraint and seclusion.
(c) If the mental health program director is not a board eligible psychiatrist, the provider must employ or contract with a board eligible psychiatrist to assume medical responsibility for mental health services.
NOTE

Authority cited: Section 4094, Welfare and Institutions Code. Reference: Sections 4094 et seq., Welfare and Institutions Code; and Section 1502, Health and Safety Code.
HISTORY

1. New section filed 6-24-98; operative 7-1-98 pursuant to Government Code section 11343.4(d) (Register 98, No. 26).
§1921. Licensed Mental Health Treatment Staffing.
Note     •     History

(a) A certificate holder shall employ sufficient numbers of licensed mental health professionals and licensed nursing staff.
(b) All mental health professionals providing services in a CTF shall meet all professional licensing and certification requirements.
(c) All program nursing services shall be provided by licensed nursing staff. Program nursing services shall include but not be limited to physical assessment, dispensing psychotropic medication, providing discipline, and monitoring seclusion and restraint.
(d) All program nursing services shall be provided under the direction of a registered nurse who shall meet at least the following qualifications:
(1) A master's degree in psychiatric nursing or related field with experience in administration; or
(2) Two years of experience in psychiatric nursing; or
(3) Two years of experience in nursing administration or supervision and one year of experience in psychiatric nursing.
(e) A CTF shall not be required by the State Department of Mental Health to have 24-hour onsite licensed nursing staff, but shall retain at least one full-time, or full-time equivalent, registered nurse onsite if both of the following are applicable:
(1) The facility does not use mechanical restraint.
(2) The facility only admits children who have been assessed, at the point of admission, by a licensed primary care provider and a licensed psychiatrist, who have concluded, with respect to each child, that the child does not require medical services that require 24-hour nursing coverage. For purposes of this section, a “primary care provider” includes a person defined in Section 14254 of the Welfare and Institutions Code, or a nurse practitioner who has the responsibility for providing initial and primary care to patients, for maintaining the continuity of care, and for initiating referral for specialist care.
(f) Other medical or nursing staff shall be available on call to provide appropriate services, when necessary, within one hour.
NOTE

Authority cited: Section 4094, Welfare and Institutions Code. Reference: Sections 4094 et seq. and 14254, Welfare and Institutions Code; and Section 1502, Health and Safety Code.
HISTORY

1. New section filed 6-24-98; operative 7-1-98 pursuant to Government Code section 11343.4(d) (Register 98, No. 26).
2. Change without regulatory effect repealing former subsection (e), adopting new subsections (e)-(f) and amending Note filed 4-29-2004 pursuant to section 100, title 1, California Code of Regulations (Register 2004, No. 18).
§1922. Required Staff Training.
Note     •     History

(a) All staff persons working directly with children shall receive training in the following areas:
(1) Children's due process and patient's rights as defined in federal and state statutes, regulations and case law and appropriate management of requests from a child regarding his due process or patient's rights;
(2) Monitoring and documenting responses to psychotropic medications and recognizing possible side effects in children and adolescents;
(3) A staff member shall have participated in at least sixteen (16) hours of basic training in the areas of preventing and managing assaultive and self-injurious behaviors prior to participating in the physical restraint or seclusion of a child.
(4) All direct care staff shall be trained in first aid and cardiopulmonary resuscitation, and in emergency intervention techniques and methods approved by the Community Care Licensing Division of the State Department of Social Services.
(b) Staff participating in the physical restraint or seclusion of a child shall also participate in a required four (4) hours of bi-annual review of the above referenced subjects. All behavior management training courses shall be pre-approved by the Department to ensure the proposed courses' relevance to the safe seclusion and restraint of children.
NOTE

Authority cited: Section 4094, Welfare and Institutions Code. Reference: Sections 4094 et seq., Welfare and Institutions Code; and Section 1502, Health and Safety Code.
HISTORY

1. New section filed 6-24-98; operative 7-1-98 pursuant to Government Code section 11343.4(d) (Register 98, No. 26).
2. Change without regulatory effect adopting new subsection (a)(4) filed 4-29-2004 pursuant to section 100, title 1, California Code of Regulations (Register 2004, No. 18).
§1923. Admission Criteria.
Note     •     History

(a) A CTF may only admit a child when the applicable conditions in subsections (b), (c) and (d) have occurred and are documented.
(b) A child, court, conservator or parents must submit one of the following types of admission applications and consent for treatment to a CTF:
(1) An application by a child of any age who is under the jurisdiction of the juvenile court and the court's consent to treatment shall be documented by a copy of the juvenile court ruling making the findings specified in Section 6552 of the Welfare and Institutions Code which must be included in the child's application for admission;
(2) An application made by the conservator for a child of any age, appointed in accordance with Section 5350 of the Welfare and Institutions Code shall be documented by the court documents appointing the conservator and specifying the conservator's authorization to place the child in a CTF, as well as any other powers that may be relevant in this setting, along with the conservator's written consent for treatment;
(3) An application made by the parents of a child under the age of fourteen and a consent to treatment signed by both parents unless the admitting parent submits a court order demonstrating that he has sole custody and control of the child.
(4) An application made by the parents of a child fourteen (14) through seventeen (17) years old, a consent to treatment signed by both parents unless the admitting parent submits a court order demonstrating that he has sole custody and control of the child and one of the following:
(A) A statement signed by the child and the child's attorney or patients' rights advocate that the child has made a knowing and voluntary waiver of his right to a pre-admission hearing after being advised by the attorney or notified by the advocate of his rights to a pre-admission “Roger S.” hearing. If the child waives his right to a pre-admission hearing based on the notification of rights by the advocate, the child's statement must also indicate that he has been notified of his right to receive the advice of an attorney and has made a knowing and voluntary waiver of that right as well; or
(B) The findings and order from a preadmission hearing held pursuant to Section 4094(g) of the Welfare and Institutions Code in accordance with the criteria delineated in “Roger S.” and findings have been made that the child suffers from a mental disorder; that there is a substantial probability that treatment will significantly improve the child's mental disorder; that the proposed placement is the least restrictive setting necessary to achieve the purposes of treatment; and that there is no suitable alternative to CTF placement. A hearing held in accordance with this provision shall include but not be limited to the following:
1. A neutral and detached fact finder and decision maker who shall have no personal, administrative or financial ties to any parties represented at the hearing nor to the proposed placement facility;
2. Adequate written notice to the child before the hearing stating the basis for the proposed admission to a CTF;
3. An informal setting to minimize the anxiety of both parents and children and to promote cooperation and communication between all parties. All parties shall speak in terms the child understands and shall explain any terminology with which he is unfamiliar;
4. The stipulation that formal rules of evidence are not applicable and that the standard for decision shall be by a preponderance of the evidence;
5. The requirement that the hearing shall be closed to anyone other than the child, his parents or parent; the child's attorney, the person conducting the hearing, the professional person presenting evidence in favor of the commitment, and other persons requested to be in attendance by the child, or by the child's attorney;
6. Assistance provided by an attorney to the child who shall be allowed to call witnesses, examine evidence, present evidence on his own behalf and question persons presenting evidence in support of the admission; and
7. Maintenance of a record of the proceedings adequate to permit meaningful judicial or appellate review which shall be confidential in accordance with Section 5328 of the Welfare and Institutions Code.
(c) A written statement has been signed by an appropriate licensed mental health professional certifying that the child requires periods of containment to participate in and benefit from mental health treatment, the proposed treatment program is reasonably expected to improve the child's the mental disorder, the child is seriously emotionally disturbed as defined in Section 5600.3(a)(2) of the Welfare and Institutions Code and also meets one or more of the following requirements:
(1) Less restrictive interventions including, but not limited to outpatient therapy, family counseling, case management, family preservation efforts, special education classes, or nonpublic schooling have been attempted and proved insufficient.
(2) He is an inpatient in a psychiatric hospital, psychiatric health facility or residential treatment facility and is receiving services on either a voluntary or involuntary basis.
(d) A signed written statement from the placing county's or the parent's county of residence interagency placement committee must certify that:
(1) The child is in need of the level of care provided by a CTF to implement the proposed treatment program and meets the requirements of subsection (c);
(2) Informed consent for treatment has been given by a child's parents or the parent having sole legal custody and control of the child or the conservator.
(3) A pre-admission hearing officer has made the findings and order specified in Section 1923(b)(4)(B), when the child is 14 to 17 years old, under parental custody, and has not waived their right to a “Roger S” hearing.
NOTE

Authority cited: Section 4094, Welfare and Institutions Code. Reference: Sections 4094 et seq., Welfare and Institutions Code; and Section 1502, Health and Safety Code.
HISTORY

1. New section filed 6-24-98; operative 7-1-98 pursuant to Government Code section 11343.4(d) (Register 98, No. 26).
§1924. Continuing Stay Criteria.
Note     •     History

(a) Continuing stay criteria used by a CTF shall include documentation by the CTF psychiatrist of the continuation of admission criteria in addition to written documentation from the appropriate interagency placement committee, or other designated external case manager, such as the probation department, county mental health department, or private insurance utilization review personnel, supporting the decision for continued placement of the child within a CTF. Continuing stay criteria shall be reviewed by a CTF in intervals not to exceed ninety (90) days. Findings shall be entered into each child's facility record.
(b) Individuals who are special education pupils identified in paragraph (4) of subdivision (c) of Section 56026 of the Education Code and who are placed in a CTF prior to age eighteen (18) pursuant to Chapter 26.5 of the Government Code may continue to receive services through age 21 provided the following conditions are met:
(1) They continue to satisfy the requirements of subsection (a);
(2) They have not graduated from high school;
(3) They sign a consent for treatment and a release of information for CTF staff to communicate with education and county mental health professionals after staff have informed them of their rights as an adult.
(4) A CTF obtains an exception from the California Department of Social Services to allow for the continued treatment of the young adult in a CTF pursuant to Section 80024, Title 22, Division 6, Chapter 1 of the California Code of Regulations.
NOTE

Authority cited: Section 4094, Welfare and Institutions Code. Reference: Sections 4094 et seq., Welfare and Institutions Code; and Section 1502, Health and Safety Code.
HISTORY

1. New section filed 6-24-98; operative 7-1-98 pursuant to Government Code section 11343.4(d) (Register 98, No. 26).
§1925. Discharge and Release Procedures.
Note     •     History

(a) When it is deemed clinically appropriate a child shall be discharged from a CTF after completing normal discharge procedures.
(b) When it is not deemed clinically appropriate for a child to be discharged from a CTF a child shall be released under the following circumstances:
(1) A child admitted to the facility pursuant to Subsection (b)(1) of Section 1923 is deemed to be a voluntary patient and may revoke the voluntary status by giving notice of his desire to leave the facility to any member of the CTF staff. The child may make this notification directly or through an attorney or advocate. When staff is notified of a child's desire to revoke his voluntary consent to treatment, the court shall be notified no later than within one working day by a CTF staff person pursuant to Section 6552 of the Welfare and Institutions Code, and arrangements shall be made to return the child to the court. If the child leaves the care and custody of a CTF without permission prior to being discharged by a CTF, the juvenile court shall be notified immediately;
(2) A child admitted to a CTF pursuant to Subsection (b)(2) of Section 1923 is deemed to be a voluntary patient and the child's conservator, appointed in accordance with Section 5350 of the Welfare and Institutions Code, may revoke the voluntary status by giving notice to the facility;
(3) A child admitted to a CTF pursuant to Subsection (b)(3) or (b)(4) of Section 1923 and the child's parents, or the parent entitled to sole custody of the minor may remove the child from a CTF after completing normal CTF discharge procedures.
(4) A special education pupil over the age of eighteen who is continuing to receive treatment pursuant to Section 1924(b) need only withdraw consent for treatment to be discharged if he is not a ward of the court or under the care and custody of a conservator.
NOTE

Authority cited: Section 4094, Welfare and Institutions Code. Reference: Sections 4094 et seq., Welfare and Institutions Code, and Section 1502, Health and Safety Code.
HISTORY

1. New section filed 6-24-98; operative 7-1-98 pursuant to Government Code section 11343.4(d) (Register 98, No. 26).
§1926. Habeas Corpus Hearings.
Note     •     History

(a) Pursuant to Section 4094.6 of the Welfare and Institutions Code, every child placed in a CTF has a right to a hearing by writ of habeas corpus, including court appointed counsel, within two (2) days of filing a petition with the superior court of the county in which the facility is located. The child may make this request directly or through an attorney or advocate.
(b) Any member of a CTF staff to whom a request for release is made shall promptly do the following:
(1) Provide the child making the request with a form for a request for release or mark a copy of the form for the child. The form shall be substantially as follows:
(Name of the Facility)________________________________day of ______19__

I, _______________________ (member of the CTF staff ) have today received a request for the release of _______________ (name of child) from the undersigned child on his or her own behalf or from the undersigned person on behalf of the child.
	 
Signature or mark of child making request for release.
	 
Signature or mark of person making request for release on behalf of patient. 
	 
Signature or mark of staff person receiving request for release
(2) Deliver the completed request form to the CTF administrator and note the request in the child's facility record;
(3) As soon as possible, but not longer than the next working day, a member of the facility staff shall submit the request for release form to the superior court of the county in which the facility is located;
(4) As soon as possible, but not longer than twenty-four (24) hours from the request for release, the member of the facility staff shall inform the individual who admitted the child of the request for release;
(5) A copy of the child's request for release, along with notification documents to the superior court shall be maintained in the child's facility record;
(6) The CTF administrator shall ensure that the child is informed as soon as possible of the date, time and location of the hearing.
NOTE

Authority cited: Section 4094, Welfare and Institutions Code. Reference: Sections 4094 et seq., Welfare and Institutions Code; and Section 1502, Health and Safety Code.
HISTORY

1. New section filed 6-24-98; operative 7-1-98 pursuant to Government Code section 11343.4(d) (Register 98, No. 26).
§1927. Mental Health Program Components and Documentation Requirements.
Note     •     History

(a) The certificate holder of a CTF shall ensure that the required child facility records are kept on each child residing within the facility. Required child facility records include:
(1) A signed and dated copy of the interagency placement committee's placement authorization letter from the child's county of residence;
(2) Documentation of the child's, and his parents' or conservator's voluntary consent to treatment, when applicable;
(3) The intake report;
(4) The admission assessment;
(5) A psychiatric evaluation;
(6) A needs and services plan;
(7) Daily progress notes;
(8) Monthly clinical review reports;
(9) Written informed consent by the child for prescribed psychotropic medication, and, when applicable, by the parents, conservator or judge pursuant to Section 851 of Chapter 4;
(10) A copy of the court order for conservatorship if the child is conserved;
(11) A copy of the administrative hearing ruling if the child contested placement and a pre-admission administrative hearing was held or a copy of the form waiving this right signed by the child;
(12) A discharge summary;
(13) A discharge report.
(14) A Welfare and Institutions Code, Section 6552 order if the child is a ward or dependent of the court.
(b) The intake report shall be a typed document completed prior to admission which shall be signed by a member of the facility's licensed mental health professional staff and placed into the child's facility record upon intake that includes:
(1) Demographic information as defined in Section 84168.2(c)(1) of Title 22, California Code of Regulations;
(2) Presenting problems;
(3) Current DSM diagnosis;
(4) An assessment of danger to self and others;
(5) Medications;
(6) Immediate educational, service and treatment needs;
(c) The admission assessment shall be a typed document which shall be completed and signed by a member of the facility's licensed mental health professional staff within five (5) calendar days of admission. A typed copy of the admission assessment shall be provided to the child's parents, conservator, or the person designated by the court to manage the placement within ten (10) working days of assessment completion and it shall be included in the child's facility record. The admission assessment shall contain a prognosis and estimated length of stay based upon and including:
(1) The reasons for referral;
(2) A statement of presenting problems;
(3) Precipitating events;
(4) Factors relating to presenting problems;
(5) Psychiatric history including onset of symptoms and progressions;
(6) Medical history;
(7) Psychological history including a review and summary of existing psychological evaluation material;
(8) Academic and school history;
(9) Social history;
(10) Family history;
(11) Work history if applicable;
(12) Developmental status;
(13) DSM Diagnosis;
(14) A summary of the child's strengths and weaknesses as related to his family, school and social relationships.
(d) A psychiatric evaluation shall be completed by a psychiatrist within five (5) calendar days of admission but may be performed up to sixty (60) calendar days prior to admission unless CTF mental health professionals admitting the child feel it is no longer accurate. It shall be part of the admission assessment and shall include: 
(1) A mental status examination;
(2) Indications and contraindications for medications; and
(3) Therapeutic response to medications, including an assessment of side effects, if available, and the child's compliance with medications when appropriate.
(e) Each child residing within a CTF shall have an NSP completed by a licensed mental health professional within fifteen (15) calendar days of admission which shall include:
(1) Identified specific behavioral goals and specific actions to be undertaken by facility staff to assist the child in accomplishing these goals within a defined period of time through appropriate behavioral interventions and treatment modalities which shall include but not be limited to a determination of the expected duration of each use of secure containment;
(2) Discharge goals that are general indicators of the child's readiness for transition to alternative treatment settings;
(3) Participation of the child, and, when appropriate, parent, conservator or person identified by the court to manage the child's placement in the development or modification of the NSP;
(4) A review at least every thirty (30) calendar days;
(5) Appropriate clinical oversight for a child involved with the maintenance of his residential unit. This participation shall be for the purpose of skill development in cooperative living to the extent the activities are age appropriate, and within the functioning level and physical capacity of the child. Clinically indicated restrictions to protect the safety and welfare of the child and the other children and facility staff shall be documented in the child's NSP.
(A) A child shall not be used as a substitute for employed staff and shall be supervised by treatment team staff while participating in any of the above cited activities contained within his NSP.
(f) When scheduled reviews of a child's participation within the facility's program activities indicate that the child requires transition to or from a secure portion of the facility for continued treatment at the facility, the mental health program director, or a designee, shall provide the child, and, when appropriate, parent, conservator, or the person identified by the court to manage the placement, with prior notification. This notification shall include an estimated treatment duration within the new portion of the facility. The method of notification, time, date, person doing the notification and the person notified shall be entered in the child's facility record.
(1) When a child is transferred from a non-secure portion to a secure portion of the facility based upon immediate need, the notification of the parent, conservator, or person identified by the court to manage the placement shall occur as soon as possible, but not more than twenty-four (24) hours after the transfer and shall include an estimated treatment duration within the secure portion of the facility.
(g) Progress notes shall be written daily to document a child's participation and responses to the prescribed mental health treatment services and additionally whenever a significant event occurs which affects or potentially affects the child's condition or course of treatment. The progress notes shall be maintained in the child's facility record. A licensed mental health professional shall review these progress notes on a regular basis, but not less than every thirty (30) calendar days, documented by a date and the initials of the reviewer.
(h) The monthly clinical review report is a typed document substantiating a child's status and progress in treatment, signed and dated by a licensed mental health professional, to be completed every thirty (30) days based on the date of the admission assessment. It shall include:
(1) The justification for decisions concerning admission or a continued stay for a child;
(2) The types and intensity of services provided to the child and family including the use of restraint and secure containment;
(3) The impact of these same services upon treatment goals, changes in or continuation of the treatment plan objectives;
(4) The facility's discharge planning activities and a summary of the progress of a child toward his discharge goals.
(i) A typed discharge summary for a child shall be completed and signed by a member of the facility's licensed mental health professional staff and provided to the child's parent, conservator, or the person identified by the court to manage the placement on the date of discharge which shall include:
(1) Demographic information as defined in Section 84168.2(c)(1) of Title 22, California Code of Regulations;
(2) Date of admission;
(3) DSM diagnosis;
(4) Current emotional and/or behavioral problems;
(5) Continuing therapeutic and educational needs;
(6) Medications;
(7) Reason for discharge.
(j) A typed discharge report shall be completed and signed by a member of the facility's licensed mental health professional staff within fourteen (14) calendar days of the date of discharge for each child, and a copy provided to the parent, conservator or the person identified by the court to manage the placement. It shall include:
(1) The reason for admission;
(2) The reason for discharge, referencing the child's discharge planning goals, or the reason for removal;
(3) The course of treatment, including medications and the child's response;
(4) The child's discharge diagnosis according to the current edition of the DSM;
(5) Medical and dental services received while in the CTF;
(6) The child's prognosis and recommendations for further mental health treatment, educational programs or placement;
(7) A signed written approval of discharge or removal from the child's parent, conservator, or the person identified by the court to manage the placement, and the name, address and relationship to the child of the person to whom the child was released. If the written approval cannot be secured, the child's record shall include an explanation of why the written approval was not obtained.
NOTE

Authority cited: Section 4094, Welfare and Institutions Code. Reference: Sections 4094 et seq., Welfare and Institutions Code; and Section 1502, Health and Safety Code.
HISTORY

1. New section filed 6-24-98; operative 7-1-98 pursuant to Government Code section 11343.4(d) (Register 98, No. 26).
§1928. Psychotropic Medication Control and Monitoring.
Note     •     History

(a) A CTF shall have written protocols for psychotropic medication control and monitoring that require:
(1) Examination of each child by the prescribing physician, prior to prescribing any psychotropic medication which shall include screening for medical complications which may contribute to the child's mental disorder;
(2) A written medication review by the treating physician at least every thirty (30) days as clinically appropriate, based upon actual observations of the child and a review of a child's progress notes recorded by treatment team staff. This review shall be included in the child's facility record and shall include:
(A) Observations concerning the presence or absence of any side effects;
(B) Response to each psychotropic medication currently prescribed;
(C) Compliance with the medication plan;
(D) Justification for continued medication use and/or any changes in the medication plan.
(3) Appropriate documentation of informed consent from the child, and, when applicable, the parent, conservator, or judge pursuant to Title 9, Division 1, Chapter 4, Article 5.5, Section 851 of the California Code of Regulations;
(A) Psychotropic medications for a child placed in a CTF shall only be prescribed by the attending physician with the written informed consent of the child, and, when applicable, the parents, conservator or judge pursuant to Title 9, Division 1, Chapter 4, Article 5.5, Section 851 of the California Code of Regulations.
(B) No provisions included within the facility's written protocols shall allow for prior blanket consent for psychotropic medications to be prescribed for, administered to, or passed to a child.
(4) Procedures for monitoring psychotropic medications by a person licensed to prescribe or dispense prescription drugs, with the current name and qualifications of the person who shall conduct the monitoring.
(b) Any psychotropic medication control and/or monitoring practices employed by a designated CTF licensed mental health professional shall ensure that any use of prescribed psychotropic medications are consistent with the goals and objectives of a child's NSP.
NOTE

Authority cited: Section 4094, Welfare and Institutions Code. Reference: Sections 4094 et seq., Welfare and Institutions Code; and Section 1502, Health and Safety Code.
HISTORY

1. New section filed 6-24-98; operative 7-1-98 pursuant to Government Code section 11343.4(d) (Register 98, No. 26).
§1929. Restraint and Seclusion.
Note     •     History

(a) Physical restraint and seclusion shall be used only when alternative methods are not sufficient to protect the child or others from immediate injury.
(b) Physical restraint and seclusion shall not be used as aversive treatment, punishment, as a substitute for more effective programming, or for the convenience of the staff.
(c) Physical restraint and seclusion shall only be used with a written order designed to lead to a less restrictive way of managing, and ultimately eliminating, the behavior for which the physical restraint or seclusion is applied.
(d) A CTF shall adhere to written policies and procedures concerning the use of physical restraints and seclusion that include:
(1) A medical evaluation of each child upon admission to the facility to determine the existence of any condition that would contraindicate the use of physical restraint or seclusion;
(2) A requirement that they be used only with a signed order of a physician or licensed psychologist, except in an emergency as defined in Section 1901(K). In such an emergency a child may be placed in physical restraint at the discretion of a registered nurse. An order shall be received by telephone within sixty (60) minutes of the application of physical restraint, and shall be signed by the prescriber within twenty-four (24) hours. Telephone orders shall be received only by authorized mental health professional staff, and shall be recorded immediately in the child's facility record;
(A) The order shall include reasons for the physical restraint or seclusion in specific behavioral terms, type and number of points, if applicable, conditions for release or termination of physical restraint, with specific directions for discussing with the child the conditions that required the application of the physical restraint, the level of nursing care the child is entitled to while in physical restraint and the types of behaviors that will meet the criteria for terminating the order for physical restraint.
(B) Full documentation of the episode leading to the use of physical restraint, including the antecedent behaviors, and less restrictive means attempted by staff prior to the use of physical restraint, the type of physical restraint used, the length of effectiveness of the physical restraint time and the name of the individual applying such measures shall be entered in the child's facility record.
(C) At the time physical restraint or seclusion is initiated, or as soon as practical, but in every case within one (1) hour, information regarding the child's medical condition including vital signs, medications, current medical treatments and any relevant medical circumstances specific to the child shall be reviewed by the facility's on duty licensed nursing staff and noted in the child's facility record.
(D) All orders for physical restraint shall become invalid two (2) hours after the restraint or seclusion is initiated for children ages 9 to 17, one (1) hour for children under age 9, and four (4) hours for any special education pupils ages 18 through 21 remaining in the facility under continuing stay provisions. If continued physical restraint or seclusion is needed a new order shall be required.
(3) A prohibition that physical restraint shall not be allowed for longer than twenty-four (24) hours;
(4) A prohibition against as-needed, also known as “PRN” orders for physical restraint or seclusion.
(5) A description of acceptable forms of physical restraint or seclusion which shall be:
(A) Seclusion in either a designated seclusion room with a door which may be held shut to prevent a child's egress by a staff member or by a mechanism which releases upon removal of a staff person's foot and/or hand or in any other room or part of the facility where the child is prevented from physically leaving for any period of time, thus limiting their movement, activities and contact with the other children;
(B) Physical containment of a child by two or more trained staff persons utilizing methods approved by the Department;
(C) The application of mechanical devices such as well padded belts and cuffs, mittens without thumbs which are securely fastened about the wrist with a small tie and vests consisting of sleeveless cloth webbing;
(6) A requirement that restraint shall be applied in such a way as not to cause physical injury and to insure the least possible discomfort to the child;
(7) A requirement that restraints using mechanical devices shall be applied in such a manner that the device can be speedily removed in case of fire or other emergencies;
(8) A requirement that staff shall make provisions for regularly scheduled periods, at intervals not to exceed two (2) hours, for range of motion exercises, toileting and access to liquids and meals;
(9) A requirement that staff shall make provisions for responding promptly and appropriately to a child's request for services and assistance, and for repositioning the child when appropriate;
(10) A requirement for staff to take all precautions to insure the safety of children in restraints by insuring that they remain in staffs' line of vision, by isolating them from other children and by insuring that the restraints can be easily removed in case of fire or emergency;
(11) A requirement that staff shall make provisions to insure that a child placed in physical restraint shall be checked at a minimum of every fifteen (15) minutes by the licensed nursing staff to insure that the restraint remains properly applied and that the child has not harmed himself. A written record of each check shall be placed in the child's record and shall include:
(A) Vital signs which shall be measured at least every half hour, unless otherwise indicated by the prescribing professional;
(B) Justification for continued physical restraint;
(C) The child's responses to information regarding his behavioral criteria for termination of the physical restraint.
(e) A child's parent, conservator or the person identified by the court to manage the placement shall be informed of a restraint or seclusion within twenty four (24) hours, excepting weekends.
(f) Under no circumstances shall physical restraint be used as a disciplinary action.
NOTE

Authority cited: Section 4094, Welfare and Institutions Code. Reference: Sections 4094 et seq., Welfare and Institutions Code; and Section 1502, Health and Safety Code.
HISTORY

1. New section filed 6-24-98; operative 7-1-98 pursuant to Government Code section 11343.4(d) (Register 98, No. 26).
§1930. Discipline Practices.
Note     •     History

(a) The applicant or certificate holder shall develop, maintain and implement written discipline practice policies that are consistent with the NSP of the child and ensure that all staff follow these procedures when disciplining a child including the following:
(1) A directive that under no circumstance shall physical restraint be used as a disciplinary action;
(2) Reviews, to include a licensed mental health professional, of each disciplinary action initiated by staff;
(3) Joint reviews by the program director, licensed mental health professionals, and the facility staff of discipline practices approved for use within the facility.
(b) A CTF shall provide placing agencies, children placed in a CTF, parents, conservators, or the person identified by the court to manage the placement with a copy of the facility's discipline practices upon admission.
(c) A CTF's discipline practices shall comply with the Title 22, California Code of Regulations, Division 6, Section 84072.1 which outlines the appropriate forms of discipline to be used within a licensed community care facility, except that no form of discipline shall deny the basic rights of a CTF resident delineated in Section 5325 of the Welfare and Institutions Code without following the procedures described in Section 1934 of this chapter and without establishing good cause for denial of the right as described in Section 1935 of this chapter.
NOTE

Authority cited: Section 4094, Welfare and Institutions Code. Reference: Sections 4094 et seq., Welfare and Institutions Code; and Section 1502, Health and Safety Code. Title 22, California Code of Regulations, Division 6, Sections 84072.1 and 84001d.(1). 
HISTORY

1. New section filed 6-24-98; operative 7-1-98 pursuant to Government Code section 11343.4(d) (Register 98, No. 26).
Article 6. Personal Rights
§1931. Patient's Rights.
Note     •     History

(a) Any child admitted to a CTF shall be afforded the legal and civil rights as prescribed in Article 7, Sections 4095, 5325, 5325.1, 5325.2 and 5326 of the Welfare and Institutions Code. In addition, any child admitted to a CTF shall have the right to participate in daily outdoor activities, weather permitting.
NOTE

Authority cited: Section 4094, Welfare and Institutions Code. Reference: Sections 4094 et seq., Welfare and Institutions Code; and Section 1502, Health and Safety Code.
HISTORY

1. New article 6 (sections 1931-1938) and section filed 6-24-98; operative 7-1-98 pursuant to Government Code section 11343.4(d) (Register 98, No. 26).
§1932. Notification of Rights.
Note     •     History

(a) The following shall remain posted in all wards and common living areas of a CTF:
(1) A list of the rights set forth in Sections 5325, 5325.1 and 5325.2 of the Welfare and Institutions Code;
(2) A statement that any child admitted to a CTF has the right to a hearing by writ of habeas corpus pursuant to Section 4095 of the Welfare and Institutions Code; and,
(3) The complaint procedure prescribed in Section 1933.
(b) Each child admitted to a CTF shall be personally notified of his rights in writing and in language he can understand, or shall have his rights brought to his attention by other means if he is unable to read or understand the information provided.
(c) A notation to the effect that notification, or an attempt to provide notification, has occurred shall be entered in the child's facility record within 24 hours of admission.
NOTE

Authority cited: Section 4094, Welfare and Institutions Code. Reference: Sections 4094 et seq., Welfare and Institutions Code; and Section 1502, Health and Safety Code.
HISTORY

1. New section filed 6-24-98; operative 7-1-98 pursuant to Government Code section 11343.4(d) (Register 98, No. 26).
§1933. Complaint Procedures.
Note     •     History

(a) The list of rights and resources that must be posted, provided or explained to the children in a CTF pursuant to Section 1932 shall contain:
(1) Notification that any child who believes a right of his has been abused, punitively withheld or unreasonably denied may file a complaint with the Department or the county patients' rights advocate;
(2) The human rights unit of the Department and the name of the county patients' rights advocate who has been assigned to handle such complaints and his telephone number.
(b) When a complaint is received by the county patients' rights advocate he shall, within two working days, take action to investigate and resolve it.
(c) If the complainant expresses dissatisfaction to the county patients' rights advocate with the action taken, the matter shall be referred, within five (5) working days, to the local mental health director if the complaint originated in the mental disabilities program or to the regional center director if the complaint originated in the developmental disabilities program.
(d) If the complaint cannot be satisfactorily resolved by the local mental health director within ten (10) working days, it shall be referred to the patients' rights specialist at the Department whose responsibility it shall be to resolve the complaint. Appeal of the resolution provided by the patients' rights specialist may be made to the Director of the Department, or his designee.
NOTE

Authority cited: Section 4094, Welfare and Institutions Code. Reference: Sections 4094 et seq., Welfare and Institutions Code; and Section 1502, Health and Safety Code.
HISTORY

1. New section filed 6-24-98; operative 7-1-98 pursuant to Government Code section 11343.4(d) (Register 98, No. 26).
§1934. Denial of Rights.
Note     •     History

(a) The rights listed in subsection (a) through (e) of Section 5325 of the Welfare and Institutions Code, and the right to participate in daily outdoor activities, weather permitting, may be denied a child in a CTF only upon the failure of all other means taken to resolve the behavior necessitating denial.
(b) Agreements and negotiations between the child, administrator and social worker shall be the primary means of resolving problems regarding the rights of the child.
(c) If a CTF, after complying with subsections (a) and (b) of this section, wishes to deny one or more of the rights delineated in subsection (a), the procedures outlined in Section 1935 must be followed.
NOTE

Authority cited: Section 4094, Welfare and Institutions Code. Reference: Sections 4094 et seq., Welfare and Institutions Code; and Section 1502, Health and Safety Code. 
HISTORY

1. New section filed 6-24-98; operative 7-1-98 pursuant to Government Code section 11343.4(d) (Register 98, No. 26).
§1935. Good Cause for Denial of Rights.
Note     •     History

(a) The rights delineated in Subsection (a) of Section 1934 may be denied only for good cause. Good cause for denying a child a right exists when the professional person in charge of a CTF or his designee has good reason to believe:
(1) That the exercise of the specific right would be injurious to the child;
(2) That there is evidence that the specific right, if exercised, would seriously infringe on the rights of others;
(3) That the facility would suffer serious damage if the specific right is not denied; and
(4) That there is no less restrictive way of protecting the interests specified in (1), (2), or (3).
(b) The reason used to justify the denial of a right to a child must be related to the specific right denied. A right shall not be withheld or denied as a punitive measure, nor shall a right be considered a privilege to be earned.
(c) Treatment modalities shall not include denial of any right specified in Section 1931. Waivers signed by the child, parent, conservator or person appointed by the court to manage the placement shall not be used as a basis for denying rights prescribed in Section 1931 in any treatment modality.
NOTE

Authority cited: Section 4094, Welfare and Institutions Code. Reference: Sections 4094 et seq., Welfare and Institutions Code; and Section 1502, Health and Safety Code.
HISTORY

1. New section filed 6-24-98; operative 7-1-98 pursuant to Government Code section 11343.4(d) (Register 98, No. 26).
§1936. Documentation of Denial of Rights.
Note     •     History

(a) Each denial of a child's rights shall be noted in his facility record. Documentation shall take place immediately whenever a right has been denied. The notation shall include:
(1) Date and time the right was denied;
(2) Specific right denied;
(3) Good cause for denial of the right;
(4) Date of review if denial was extended beyond 30 days;
(5) Signature of the professional person in charge of the facility or his designee authorizing the denial of the right.
(b) The child shall be told the content of the notation.
(c) Each denial of a right shall be documented regardless of the gravity of the reason for the denial or the frequency with which a specific right is denied in a particular facility or to a particular child.
NOTE

Authority cited: Section 4094, Welfare and Institutions Code. Reference: Sections 4094 et seq., Welfare and Institutions Code; and Section 1502, Health and Safety Code.
HISTORY

1. New section filed 6-24-98; operative 7-1-98 pursuant to Government Code section 11343.4(d) (Register 98, No. 26).
§1937. Restoration of Rights.
Note     •     History

(a) A right shall not continue to be denied to a child when the good cause for its denial no longer exists. When a right has been denied, staff shall employ the least restrictive means of managing the behavior problem which led to the denial. The date a specific right is restored shall be documented in the child's facility record.
(b) A child who has been denied a patients' right shall have the good cause for this denial reviewed every five (5) days after the denial by a CTF mental health program director or his designee. This review shall result in either the restoration of the right to the child or continuation of the denial due to the determination that good cause for the denial of the right still exists. The results of the review will be documented in the child's facility record.
NOTE

Authority cited: Section 4094, Welfare and Institutions Code. Reference: Section 4094.6, Welfare and Institutions Code.
HISTORY

1. New section filed 6-24-98; operative 7-1-98 pursuant to Government Code section 11343.4(d) (Register 98, No. 26).
§1938. Child and Family Involvement and Participation.
Note     •     History

(a) A CTF certificate holder shall ensure that, upon admission, the child, parent, conservator or person identified by the court to manage the placement receive typed copies of the following:
(1) Admission criteria;
(2) Continued stay criteria;
(3) Criteria or guidelines regarding the transfer of a child to and from secure and non-secure portions of the facility including an estimated duration of treatment in each;
(4) A copy of the child's due process rights and patient's rights handbook;
(5) Family visitation guidelines;
(6) A description of the facility's discipline practices;
(7) A copy of the facility's policies and procedures regarding physical restraint and seclusion.
(b) A CTF certificate holder shall ensure, to the maximum extent possible, the participation of the child, parent, conservator or person identified by the court to manage the placement in the discussion and planning of the child's NSP.
(1) Activities undertaken by the CTF staff to achieve this participation shall be documented and included in the child's NSP, monthly clinical review report and facility record. 
(2) The child's parent, conservator or person identified by the court to manage the placement shall be informed of the services to be provided which are stated in the child's NSP, and their written approval of any modification of the NSP shall be received prior to its implementation.
NOTE

Authority cited: Section 4094, Welfare and Institutions Code. Reference: Sections 4094 et seq., Welfare and Institutions Code; and Section 1502, Health and Safety Code.
HISTORY

1. New section filed 6-24-98; operative 7-1-98 pursuant to Government Code section 11343.4(d) (Register 98, No. 26).
Chapter 14. Mental Health Services Act
Article 1. Application
§3100. Application of Chapter.
Note     •     History

Chapter 14 sets forth regulations applicable to the Mental Health Services Act. 
NOTE

Authority cited: Section 5898, Welfare and Institutions Code. Reference: Section 5898, Welfare and Institutions Code.
HISTORY

1. New chapter 14 (articles 1-4), article 1 (section 3100) and section filed 12-30-2005 as an emergency; operative 12-30-2005 (Register 2005, No. 52). This filing is deemed an emergency, is exempt from OAL review, and shall remain in effect for no more than one year pursuant to Welfare and Institutions Code section 5898.
2. Repealer of chapter 14 (articles 1-4, sections 3100-3415), article 1 (section 3100) and section and new chapter 14 (articles 1-6, sections 3100-3650), article 1 (section 3100) and section filed 12-29-2006 as an emergency; operative 12-29-2006 (Register 2006, No. 52). A Certificate of Compliance must be transmitted to OAL by 4-30-2007 or emergency language will be repealed by operation of law on the following day.
3. Repealer of chapter 14 (articles 1-4, sections 3100-3415), article 1 (section 3100) and section and new chapter 14 (articles 1-6, sections 3100-3650), article 1 (section 3100) and section refiled 5-1-2007 as an emergency; operative 5-1-2007 (Register 2007, No. 18). A Certificate of Compliance must be transmitted to OAL by 8-29-2007 or emergency language will be repealed by operation of law on the following day.
4. Repealer of chapter 14 (articles 1-4, sections 3100-3415), article 1 (section 3100) and section and new chapter 14 (articles 1-6, sections 3100-3650), article 1 (section 3100) and section refiled 8-23-2007 as an emergency; operative 8-30-2007 (Register 2007, No. 34). A Certificate of Compliance must be transmitted to OAL by 12-28-2007 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 8-23-2007 order transmitted to OAL 12-28-2007 and filed 2-13-2008 (Register 2008, No. 7).
§3200.000. Act. [Repealed]
Note     •     History

NOTE

Authority cited: Section 5898, Welfare and Institutions Code. Reference: Sections 5840 et seq., Welfare and Institutions Code.
HISTORY

1. New article 2 (sections 3200.000-3200.160) and section filed 12-30-2005 as an emergency; operative 12-30-2005 (Register 2005, No. 52). This filing is deemed an emergency, is exempt from OAL review, and shall remain in effect for no more than one year pursuant to Welfare and Institutions Code section 5898.
2. Repealer of article 2 (sections 3200.00-3200.160) and section filed 12-29-2006 as an emergency; operative 12-29-2006 (Register 2006, No. 52). A Certificate of Compliance must be transmitted to OAL by 4-30-2007 or emergency language will be repealed by operation of law on the following day.
3. Repealer of article 2 (sections 3200.00-3200.160) and section refiled 5-1-2007 as an emergency; operative 5-1-2007 (Register 2007, No. 18). A Certificate of Compliance must be transmitted to OAL by 8-29-2007 or emergency language will be repealed by operation of law on the following day.
4. Repealer of article 2 (sections 3200.00-3200.160) and section refiled 8-23-2007 as an emergency; operative 8-30-2007 (Register 2007, No. 34). A Certificate of Compliance must be transmitted to OAL by 12-28-2007 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 8-23-2007 order transmitted to OAL 12-28-2007 and filed 2-13-2008 (Register 2008, No. 7).
Article 2. Definitions
§3200.010. Adult.
Note     •     History

“Adult” means an individual 18 years of age through 59 years of age. 
NOTE

Authority cited: Section 5898, Welfare and Institutions Code. Reference: Sections 5840(b)(2), Welfare and Institutions Code. 
HISTORY

1. New section filed 12-30-2005 as an emergency; operative 12-30-2005 (Register 2005, No. 52). This filing is deemed an emergency, is exempt from OAL review, and shall remain in effect for no more than one year pursuant to Welfare and Institutions Code section 5898.
2. New article 2 (sections 3200.010-3200.310) and repealer and new section filed 12-29-2006 as an emergency; operative 12-29-2006 (Register 2006, No. 52). A Certificate of Compliance must be transmitted to OAL by 4-30-2007 or emergency language will be repealed by operation of law on the following day.
3. New article 2 (sections 3200.010-3200.310) and repealer and new section refiled 5-1-2007 as an emergency; operative 5-1-2007 (Register 2007, No. 18). A Certificate of Compliance must be transmitted to OAL by 8-29-2007 or emergency language will be repealed by operation of law on the following day.
4. New article 2 (sections 3200.010-3200.310) and repealer and new section refiled 8-23-2007 as an emergency; operative 8-30-2007 (Register 2007, No. 34). A Certificate of Compliance must be transmitted to OAL by 12-28-2007 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 8-23-2007 order transmitted to OAL 12-28-2007 and filed 2-13-2008 (Register 2008, No. 7).
§3200.020. Bridge Funding.
Note     •     History

“Bridge Funding” means funding that the County used which enabled the County to continue to provide services/programs from the date the funding for the program(s) or a portion of the program(s) specified below ended, until the County's initial Community Services and Supports component of the County's Three-Year Program and Expenditure Plan was approved and Mental Health Services Act funds became available. The use of bridge funding is limited to the following programs: 
(1) The Children's System of Care Services. 
(2) Integrated Services for the Homeless Mentally Ill. 
(3) The Mentally Ill Offender Crime Reduction Act. 
NOTE

Authority cited: Section 5898, Welfare and Institutions Code. Reference: Sections 5892(a)(4) and 5898, Welfare and Institutions Code. 
HISTORY

1. New section filed 12-30-2005 as an emergency; operative 12-30-2005 (Register 2005, No. 52). This filing is deemed an emergency, is exempt from OAL review, and shall remain in effect for no more than one year pursuant to Welfare and Institutions Code section 5898.
2. Repealer and new section filed 12-29-2006 as an emergency; operative 12-29-2006 (Register 2006, No. 52). A Certificate of Compliance must be transmitted to OAL by 4-30-2007 or emergency language will be repealed by operation of law on the following day.
3. Repealer and new section refiled 5-1-2007 as an emergency; operative 5-1-2007 (Register 2007, No. 18). A Certificate of Compliance must be transmitted to OAL by 8-29-2007 or emergency language will be repealed by operation of law on the following day.
4. Repealer and new section refiled 8-23-2007 as an emergency; operative 8-30-2007 (Register 2007, No. 34). A Certificate of Compliance must be transmitted to OAL by 12-28-2007 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 8-23-2007 order transmitted to OAL 12-28-2007 and filed 2-13-2008 (Register 2008, No. 7).
§3200.028. Capitalized Operating Subsidy Reserve.
Note     •     History

“Capitalized Operating Subsidy Reserve” means funds set aside at, or before, permanent loan closing for the purpose of supplementing income for the payment of operating expenses.
NOTE

Authority cited: Section 5898, Welfare and Institutions Code. Reference: Sections 5813.5(a), 5813.5(c), 5813.5(d) and 5878.1(a), Welfare and Institutions Code.
HISTORY

1. New section filed 12-6-2010; operative 1-5-2011 (Register 2010, No. 50).
§3200.030. Children and Youth.
Note     •     History

“Children and Youth” means individuals from birth through 17 years of age. 
(1) Individuals age 18 and older who meet the conditions specified in Chapter 26.5 (commencing with Section 7570) of Division 7 of Title 1 of the Government Code are considered children and youth and are eligible to receive services. 
NOTE

Authority cited: Section 5898, Welfare and Institutions Code. Reference: Section 5878.2, Welfare and Institutions Code. 
HISTORY

1. New section filed 12-30-2005 as an emergency; operative 12-30-2005 (Register 2005, No. 52). This filing is deemed an emergency, is exempt from OAL review, and shall remain in effect for no more than one year pursuant to Welfare and Institutions Code section 5898.
2. Repealer and new section filed 12-29-2006 as an emergency; operative 12-29-2006 (Register 2006, No. 52). A Certificate of Compliance must be transmitted to OAL by 4-30-2007 or emergency language will be repealed by operation of law on the following day.
3. Repealer and new section refiled 5-1-2007 as an emergency; operative 5-1-2007 (Register 2007, No. 18). A Certificate of Compliance must be transmitted to OAL by 8-29-2007 or emergency language will be repealed by operation of law on the following day.
4. Repealer and new section refiled 8-23-2007 as an emergency; operative 8-30-2007 (Register 2007, No. 34). A Certificate of Compliance must be transmitted to OAL by 12-28-2007 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 8-23-2007 order transmitted to OAL 12-28-2007 and filed 2-13-2008 (Register 2008, No. 7).
§3200.040. Client.
Note     •     History

“Client” means an individual of any age who is receiving or has received mental health services. As used in these regulations, the term “client” includes those who refer to themselves as clients, consumers, survivors, patients or ex-patients. 
NOTE

Authority cited: Section 5898, Welfare and Institutions Code. Reference: Sections 5801(b)(6) and (7), Welfare and Institutions Code. 
HISTORY

1. New section filed 12-30-2005 as an emergency; operative 12-30-2005 (Register 2005, No. 52). This filing is deemed an emergency, is exempt from OAL review, and shall remain in effect for no more than one year pursuant to Welfare and Institutions Code section 5898.
2. Repealer and new section filed 12-29-2006 as an emergency; operative 12-29-2006 (Register 2006, No. 52). A Certificate of Compliance must be transmitted to OAL by 4-30-2007 or emergency language will be repealed by operation of law on the following day.
3. Repealer and new section refiled 5-1-2007 as an emergency; operative 5-1-2007 (Register 2007, No. 18). A Certificate of Compliance must be transmitted to OAL by 8-29-2007 or emergency language will be repealed by operation of law on the following day.
4. Repealer and new section refiled 8-23-2007 as an emergency; operative 8-30-2007 (Register 2007, No. 34). A Certificate of Compliance must be transmitted to OAL by 12-28-2007 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 8-23-2007 order transmitted to OAL 12-28-2007 and filed 2-13-2008 (Register 2008, No. 7).
§3200.050. Client Driven.
Note     •     History

“Client Driven” means that the client has the primary decision-making role in identifying his/her needs, preferences and strengths and a shared decision-making role in determining the services and supports that are most effective and helpful for him/her. Client driven programs/services use clients' input as the main factor for planning, policies, procedures, service delivery, evaluation and the definition and determination of outcomes. 
NOTE

Authority cited: Section 5898, Welfare and Institutions Code. Reference: Sections 5813.5(d)(2) and (3), 5830(a)(2) and 5866, Welfare and Institutions Code; and Section 2(e), MHSA. 
HISTORY

1. New section filed 12-30-2005 as an emergency; operative 12-30-2005 (Register 2005, No. 52). This filing is deemed an emergency, is exempt from OAL review, and shall remain in effect for no more than one year pursuant to Welfare and Institutions Code section 5898.
2. Repealer and new section filed 12-29-2006 as an emergency; operative 12-29-2006 (Register 2006, No. 52). A Certificate of Compliance must be transmitted to OAL by 4-30-2007 or emergency language will be repealed by operation of law on the following day.
3. Repealer and new section refiled 5-1-2007 as an emergency; operative 5-1-2007 (Register 2007, No. 18). A Certificate of Compliance must be transmitted to OAL by 8-29-2007 or emergency language will be repealed by operation of law on the following day.
4. Repealer and new section refiled 8-23-2007 as an emergency; operative 8-30-2007 (Register 2007, No. 34). A Certificate of Compliance must be transmitted to OAL by 12-28-2007 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 8-23-2007 order transmitted to OAL 12-28-2007 and filed 2-13-2008 (Register 2008, No. 7).
§3200.060. Community Collaboration.
Note     •     History

“Community Collaboration” means a process by which clients and/or families receiving services, other community members, agencies, organizations, and businesses work together to share information and resources in order to fulfill a shared vision and goals. 
NOTE

Authority cited: Section 5898, Welfare and Institutions Code. Reference: Sections 5830(a)(3) and 5866, Welfare and Institutions Code. 
HISTORY

1. New section filed 12-30-2005 as an emergency; operative 12-30-2005 (Register 2005, No. 52). This filing is deemed an emergency, is exempt from OAL review, and shall remain in effect for no more than one year pursuant to Welfare and Institutions Code section 5898.
2. Repealer and new section filed 12-29-2006 as an emergency; operative 12-29-2006 (Register 2006, No. 52). A Certificate of Compliance must be transmitted to OAL by 4-30-2007 or emergency language will be repealed by operation of law on the following day.
3. Repealer and new section refiled 5-1-2007 as an emergency; operative 5-1-2007 (Register 2007, No. 18). A Certificate of Compliance must be transmitted to OAL by 8-29-2007 or emergency language will be repealed by operation of law on the following day.
4. Repealer and new section refiled 8-23-2007 as an emergency; operative 8-30-2007 (Register 2007, No. 34). A Certificate of Compliance must be transmitted to OAL by 12-28-2007 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 8-23-2007 order transmitted to OAL 12-28-2007 and filed 2-13-2008 (Register 2008, No. 7).
§3200.070. Community Program Planning Process.
Note     •     History

“Community Program Planning” means the process to be used by the County to develop Three-Year Program and Expenditure Plans, and updates in partnership with stakeholders to: 
(1) Identify community issues related to mental illness resulting from lack of community services and supports, including any issues identified during the implementation of the Mental Health Services Act. 
(2) Analyze the mental health needs in the community. 
(3) Identify and re-evaluate priorities and strategies to meet those mental health needs. 
NOTE

Authority cited: Section 5898, Welfare and Institutions Code. Reference: Sections 5813.5(d) and 5892(c), Welfare and Institutions Code. 
HISTORY

1. New section filed 12-30-2005 as an emergency; operative 12-30-2005 (Register 2005, No. 52). This filing is deemed an emergency, is exempt from OAL review, and shall remain in effect for no more than one year pursuant to Welfare and Institutions Code section 5898.
2. Repealer and new section filed 12-29-2006 as an emergency; operative 12-29-2006 (Register 2006, No. 52). A Certificate of Compliance must be transmitted to OAL by 4-30-2007 or emergency language will be repealed by operation of law on the following day.
3. Repealer and new section refiled 5-1-2007 as an emergency; operative 5-1-2007 (Register 2007, No. 18). A Certificate of Compliance must be transmitted to OAL by 8-29-2007 or emergency language will be repealed by operation of law on the following day.
4. Repealer and new section refiled 8-23-2007 as an emergency; operative 8-30-2007 (Register 2007, No. 34). A Certificate of Compliance must be transmitted to OAL by 12-28-2007 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 8-23-2007 order transmitted to OAL 12-28-2007 and filed 2-13-2008 (Register 2008, No. 7).
§3200.080. Community Services and Supports.
Note     •     History

“Community Services and Supports” means the component of the Three-Year Program and Expenditure Plans that refers to service delivery systems for mental health services and supports for children and youth, transition age youth, adults, and older adults. These services and supports are similar to those found in Welfare and Institutions Code Sections 5800 et. seq. (Adult and Older Adult Systems of Care) and 5850 et. seq. (Children's System of Care). 
NOTE

Authority cited: Section 5898, Welfare and Institutions Code. Reference: Sections 5847(a)(2) and (3) and 5847(c), Welfare and Institutions Code. 
HISTORY

1. New section filed 12-30-2005 as an emergency; operative 12-30-2005 (Register 2005, No. 52). This filing is deemed an emergency, is exempt from OAL review, and shall remain in effect for no more than one year pursuant to Welfare and Institutions Code section 5898.
2. Repealer and new section filed 12-29-2006 as an emergency; operative 12-29-2006 (Register 2006, No. 52). A Certificate of Compliance must be transmitted to OAL by 4-30-2007 or emergency language will be repealed by operation of law on the following day.
3. Repealer and new section refiled 5-1-2007 as an emergency; operative 5-1-2007 (Register 2007, No. 18). A Certificate of Compliance must be transmitted to OAL by 8-29-2007 or emergency language will be repealed by operation of law on the following day.
4. Repealer and new section refiled 8-23-2007 as an emergency; operative 8-30-2007 (Register 2007, No. 34). A Certificate of Compliance must be transmitted to OAL by 12-28-2007 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 8-23-2007 order transmitted to OAL 12-28-2007 and filed 2-13-2008 (Register 2008, No. 7).
§3200.090. County.
Note     •     History

“County” means the County Mental Health Department, two or more County Mental Health Departments acting jointly, and/or city-operated programs receiving funds per Welfare and Institutions Code Section 5701.5. 
NOTE

Authority cited: Section 5898, Welfare and Institutions Code. Reference: Section 5897(b), Welfare and Institutions Code. 
HISTORY

1. New section filed 12-30-2005 as an emergency; operative 12-30-2005 (Register 2005, No. 52). This filing is deemed an emergency, is exempt from OAL review, and shall remain in effect for no more than one year pursuant to Welfare and Institutions Code section 5898.
2. Repealer and new section filed 12-29-2006 as an emergency; operative 12-29-2006 (Register 2006, No. 52). A Certificate of Compliance must be transmitted to OAL by 4-30-2007 or emergency language will be repealed by operation of law on the following day.
3. Repealer and new section refiled 5-1-2007 as an emergency; operative 5-1-2007 (Register 2007, No. 18). A Certificate of Compliance must be transmitted to OAL by 8-29-2007 or emergency language will be repealed by operation of law on the following day.
4. Repealer and new section refiled 8-23-2007 as an emergency; operative 8-30-2007 (Register 2007, No. 34). A Certificate of Compliance must be transmitted to OAL by 12-28-2007 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 8-23-2007 order transmitted to OAL 12-28-2007 and filed 2-13-2008 (Register 2008, No. 7).
§3200.100. Cultural Competence.
Note     •     History

“Cultural Competence” means incorporating and working to achieve each of the goals listed below into all aspects of policy-making, program design, administration and service delivery. Each system and program is assessed for the strengths and weaknesses of its proficiency to achieve these goals. The infrastructure of a service, program or system is transformed, and new protocol and procedure are developed, as necessary to achieve these goals. 
(1) Equal access to services of equal quality is provided, without disparities among racial/ethnic, cultural, and linguistic populations or communities. 
(2) Treatment interventions and outreach services effectively engage and retain individuals of diverse racial/ethnic, cultural, and linguistic populations. 
(3) Disparities in services are identified and measured, strategies and programs are developed and implemented, and adjustments are made to existing programs to eliminate these disparities. 
(4) An understanding of the diverse belief systems concerning mental illness, health, healing and wellness that exist among different racial/ethnic, cultural, and linguistic groups is incorporated into policy, program planning, and service delivery. 
(5) An understanding of the impact historical bias, racism, and other forms of discrimination have upon each racial/ethnic, cultural, and linguistic population or community is incorporated into policy, program planning, and service delivery. 
(6) An understanding of the impact bias, racism, and other forms of discrimination have on the mental health of each individual served is incorporated into service delivery. 
(7) Services and supports utilize the strengths and forms of healing that are unique to an individual's racial/ethnic, cultural, and linguistic population or community. 
(8) Staff, contractors, and other individuals who deliver services are trained to understand and effectively address the needs and values of the particular racial/ethnic, cultural, and/or linguistic population or community that they serve. 
(9) Strategies are developed and implemented to promote equal opportunities for administrators, service providers, and others involved in service delivery who share the diverse racial/ethnic, cultural, and linguistic characteristics of individuals with serious mental illness/emotional disturbance in the community. 
NOTE

Authority cited: Section 5898, Welfare and Institutions Code. Reference: Sections 5813.5(d)(3), 5868(b), 5878.1(a), Welfare and Institutions Code; and Sections 2(e) and 3(c), MHSA. 
HISTORY

1. New section filed 12-30-2005 as an emergency; operative 12-30-2005 (Register 2005, No. 52). This filing is deemed an emergency, is exempt from OAL review, and shall remain in effect for no more than one year pursuant to Welfare and Institutions Code section 5898.
2. Repealer and new section filed 12-29-2006 as an emergency; operative 12-29-2006 (Register 2006, No. 52). A Certificate of Compliance must be transmitted to OAL by 4-30-2007 or emergency language will be repealed by operation of law on the following day.
3. Repealer and new section refiled 5-1-2007 as an emergency; operative 5-1-2007 (Register 2007, No. 18). A Certificate of Compliance must be transmitted to OAL by 8-29-2007 or emergency language will be repealed by operation of law on the following day.
4. Repealer and new section refiled 8-23-2007 as an emergency; operative 8-30-2007 (Register 2007, No. 34). A Certificate of Compliance must be transmitted to OAL by 12-28-2007 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 8-23-2007 order transmitted to OAL 12-28-2007 and filed 2-13-2008 (Register 2008, No. 7).
§3200.110. Department.
Note     •     History

“Department” means the State Department of Mental Health. 
NOTE

Authority cited: Section 5898, Welfare and Institutions Code. Reference: Section 4001(a), Welfare and Institutions Code. 
HISTORY

1. New section filed 12-30-2005 as an emergency; operative 12-30-2005 (Register 2005, No. 52). This filing is deemed an emergency, is exempt from OAL review, and shall remain in effect for no more than one year pursuant to Welfare and Institutions Code section 5898.
2. Repealer and new section filed 12-29-2006 as an emergency; operative 12-29-2006 (Register 2006, No. 52). A Certificate of Compliance must be transmitted to OAL by 4-30-2007 or emergency language will be repealed by operation of law on the following day.
3. Repealer and new section refiled 5-1-2007 as an emergency; operative 5-1-2007 (Register 2007, No. 18). A Certificate of Compliance must be transmitted to OAL by 8-29-2007 or emergency language will be repealed by operation of law on the following day.
4. Repealer and new section refiled 8-23-2007 as an emergency; operative 8-30-2007 (Register 2007, No. 34). A Certificate of Compliance must be transmitted to OAL by 12-28-2007 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 8-23-2007 order transmitted to OAL 12-28-2007 and filed 2-13-2008 (Register 2008, No. 7).
§3200.120. Family Driven.
Note     •     History

“Family Driven” means that families of children and youth with serious emotional disturbance have a primary decision-making role in the care of their own children, including the identification of needs, preferences and strengths, and a shared decision-making role in determining the services and supports that would be most effective and helpful for their children. Family driven programs/services use the input of families as the main factor for planning, policies, procedures, service delivery, evaluation and the definition and determination of outcomes. 
NOTE

Authority cited: Section 5898, Welfare and Institutions Code. Reference: Section 5822(h), 5840(b)(1), 5868(b)(2) and 5878.1, Welfare and Institutions Code. 
HISTORY

1. New section filed 12-30-2005 as an emergency; operative 12-30-2005 (Register 2005, No. 52). This filing is deemed an emergency, is exempt from OAL review, and shall remain in effect for no more than one year pursuant to Welfare and Institutions Code section 5898.
2. Repealer and new section filed 12-29-2006 as an emergency; operative 12-29-2006 (Register 2006, No. 52). A Certificate of Compliance must be transmitted to OAL by 4-30-2007 or emergency language will be repealed by operation of law on the following day.
3. Repealer and new section refiled 5-1-2007 as an emergency; operative 5-1-2007 (Register 2007, No. 18). A Certificate of Compliance must be transmitted to OAL by 8-29-2007 or emergency language will be repealed by operation of law on the following day.
4. Repealer and new section refiled 8-23-2007 as an emergency; operative 8-30-2007 (Register 2007, No. 34). A Certificate of Compliance must be transmitted to OAL by 12-28-2007 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 8-23-2007 order transmitted to OAL 12-28-2007 and filed 2-13-2008 (Register 2008, No. 7).
§3200.125. Financial Incentive Programs Funding Category.
Note     •     History

“Financial Incentive Programs Funding Category” means the funding category of the Workforce Education and Training component of the Three-Year Program and Expenditure Plan that funds stipends, scholarships and the Mental Health Loan Assumption Program for the purpose of recruiting and retaining Public Mental Health System employees. 
NOTE

Authority cited: Section 5898, Welfare and Institutions Code. Reference: Section 5822, Welfare and Institutions Code.
HISTORY

1. New section filed 11-4-2009; operative 12-4-2009 (Register 2009, No. 45).
§3200.130. Full Service Partnership.
Note     •     History

“Full Service Partnership” means the collaborative relationship between the County and the client, and when appropriate the client's family, through which the County plans for and provides the full spectrum of community services so that the client can achieve the identified goals. 
NOTE

Authority cited: Section 5898, Welfare and Institutions Code. Reference: Sections 5801, 5802, 5850 and 5866, Welfare and Institutions Code. 
HISTORY

1. New section filed 12-30-2005 as an emergency; operative 12-30-2005 (Register 2005, No. 52). This filing is deemed an emergency, is exempt from OAL review, and shall remain in effect for no more than one year pursuant to Welfare and Institutions Code section 5898.
2. Repealer and new section filed 12-29-2006 as an emergency; operative 12-29-2006 (Register 2006, No. 52). A Certificate of Compliance must be transmitted to OAL by 4-30-2007 or emergency language will be repealed by operation of law on the following day.
3. Repealer and new section refiled 5-1-2007 as an emergency; operative 5-1-2007 (Register 2007, No. 18). A Certificate of Compliance must be transmitted to OAL by 8-29-2007 or emergency language will be repealed by operation of law on the following day.
4. Repealer and new section refiled 8-23-2007 as an emergency; operative 8-30-2007 (Register 2007, No. 34). A Certificate of Compliance must be transmitted to OAL by 12-28-2007 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 8-23-2007 order transmitted to OAL 12-28-2007 and filed 2-13-2008 (Register 2008, No. 7).
§3200.140. Full Service Partnership Service Category.
Note     •     History

“Full Service Partnership Service Category” means the service category of the Community Services and Supports component of the Three-Year Program and Expenditure Plans, under which the County, in collaboration with the client, and when appropriate the client's family, plans for and provides the full spectrum of community services so that children and youth, transition age youth, adults and older adults can achieve the identified goals. 
NOTE

Authority cited: Section 5898, Welfare and Institutions Code. Reference: Section 5847(a) and 5892(a)(5), Welfare and Institutions Code. 
HISTORY

1. New section filed 12-30-2005 as an emergency; operative 12-30-2005 (Register 2005, No. 52). This filing is deemed an emergency, is exempt from OAL review, and shall remain in effect for no more than one year pursuant to Welfare and Institutions Code section 5898.
2. Repealer and new section filed 12-29-2006 as an emergency; operative 12-29-2006 (Register 2006, No. 52). A Certificate of Compliance must be transmitted to OAL by 4-30-2007 or emergency language will be repealed by operation of law on the following day.
3. Repealer and new section refiled 5-1-2007 as an emergency; operative 5-1-2007 (Register 2007, No. 18). A Certificate of Compliance must be transmitted to OAL by 8-29-2007 or emergency language will be repealed by operation of law on the following day.
4. Repealer and new section refiled 8-23-2007 as an emergency; operative 8-30-2007 (Register 2007, No. 34). A Certificate of Compliance must be transmitted to OAL by 12-28-2007 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 8-23-2007 order transmitted to OAL 12-28-2007 and filed 2-13-2008 (Register 2008, No. 7).
§3200.150. Full Spectrum of Community Services.
Note     •     History

“Full Spectrum of Community Services” means the mental health and non-mental health services and supports necessary to address the needs of the client, and when appropriate the client's family, in order to advance the client's goals and achieve outcomes that support the client's recovery, wellness and resilience. 
NOTE

Authority cited: Section 5898, Welfare and Institutions Code. Reference: Sections 5801(b), 5813.5(d), 5851 and 5868(b)(2), Welfare and Institutions Code. 
HISTORY

1. New section filed 12-30-2005 as an emergency; operative 12-30-2005 (Register 2005, No. 52). This filing is deemed an emergency, is exempt from OAL review, and shall remain in effect for no more than one year pursuant to Welfare and Institutions Code section 5898.
2. Repealer and new section filed 12-29-2006 as an emergency; operative 12-29-2006 (Register 2006, No. 52). A Certificate of Compliance must be transmitted to OAL by 4-30-2007 or emergency language will be repealed by operation of law on the following day.
3. Repealer and new section refiled 5-1-2007 as an emergency; operative 5-1-2007 (Register 2007, No. 18). A Certificate of Compliance must be transmitted to OAL by 8-29-2007 or emergency language will be repealed by operation of law on the following day.
4. Repealer and new section refiled 8-23-2007 as an emergency; operative 8-30-2007 (Register 2007, No. 34). A Certificate of Compliance must be transmitted to OAL by 12-28-2007 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 8-23-2007 order transmitted to OAL 12-28-2007 and filed 2-13-2008 (Register 2008, No. 7).
§3200.160. Fully Served.
Note     •     History

“Fully Served” means clients, and their family members who obtain mental health services, receive the full spectrum of community services and supports needed to advance the client's recovery, wellness and resilience. 
NOTE

Authority cited: Section 5898, Welfare and Institutions Code. Reference: Sections 5801(b), 5806, 5852 and 5813.5(d), Welfare and Institutions Code. 
HISTORY

1. New section filed 12-30-2005 as an emergency; operative 12-30-2005 (Register 2005, No. 52). This filing is deemed an emergency, is exempt from OAL review, and shall remain in effect for no more than one year pursuant to Welfare and Institutions Code section 5898.
2. Repealer and new section filed 12-29-2006 as an emergency; operative 12-29-2006 (Register 2006, No. 52). A Certificate of Compliance must be transmitted to OAL by 4-30-2007 or emergency language will be repealed by operation of law on the following day.
3. Repealer and new section refiled 5-1-2007 as an emergency; operative 5-1-2007 (Register 2007, No. 18). A Certificate of Compliance must be transmitted to OAL by 8-29-2007 or emergency language will be repealed by operation of law on the following day.
4. Repealer and new section refiled 8-23-2007 as an emergency; operative 8-30-2007 (Register 2007, No. 34). A Certificate of Compliance must be transmitted to OAL by 12-28-2007 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 8-23-2007 order transmitted to OAL 12-28-2007 and filed 2-13-2008 (Register 2008, No. 7).
§3200.170. General System Development Service Category.
Note     •     History

“General System Development Service Category” means the service category of the Community Services and Supports component of the Three-Year Program and Expenditure Plans under which the County uses Mental Health Services Act funds to improve the County's mental health service delivery system for all clients and/or to pay for specified mental health services and supports for clients, and/or when appropriate their families. 
NOTE

Authority cited: Section 5898, Welfare and Institutions Code. Reference: Sections 5892(a)(5) and 5847(a)(2) and (3), Welfare and Institutions Code. 
HISTORY

1. New section filed 12-29-2006 as an emergency; operative 12-29-2006 (Register 2006, No. 52). A Certificate of Compliance must be transmitted to OAL by 4-30-2007 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 5-1-2007 as an emergency; operative 5-1-2007 (Register 2007, No. 18). A Certificate of Compliance must be transmitted to OAL by 8-29-2007 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 8-23-2007 as an emergency; operative 8-30-2007 (Register 2007, No. 34). A Certificate of Compliance must be transmitted to OAL by 12-28-2007 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 8-23-2007 order transmitted to OAL 12-28-2007 and filed 2-13-2008 (Register 2008, No. 7).
§3200.180. Individual Services and Supports Plan.
Note     •     History

“Individual Services and Supports Plan” means the plan developed by the client and, when appropriate the client's family, with the Personal Service Coordinator/Case Manager to identify the client's goals and describe the array of services and supports necessary to advance these goals based on the client's needs and preferences and, when appropriate, the needs and preferences of the client's family. 
NOTE

Authority cited: Section 5898, Welfare and Institutions Code. Reference: Sections 5699.4, 5806(b) through (d), 5813.5(d)(4) and 5868, Welfare and Institutions Code. 
HISTORY

1. New section filed 12-29-2006 as an emergency; operative 12-29-2006 (Register 2006, No. 52). A Certificate of Compliance must be transmitted to OAL by 4-30-2007 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 5-1-2007 as an emergency; operative 5-1-2007 (Register 2007, No. 18). A Certificate of Compliance must be transmitted to OAL by 8-29-2007 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 8-23-2007 as an emergency; operative 8-30-2007 (Register 2007, No. 34). A Certificate of Compliance must be transmitted to OAL by 12-28-2007 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 8-23-2007 order transmitted to OAL 12-28-2007 and filed 2-13-2008 (Register 2008, No. 7).
§3200.190. Integrated Service Experience.
Note     •     History

“Integrated Service Experience” means the client, and when appropriate the client's family, accesses a full range of services provided by multiple agencies, programs and funding sources in a comprehensive and coordinated manner. 
NOTE

Authority cited: Section 5898, Welfare and Institutions Code. Reference: Sections 5878.1(a), 5802, 5806(b), 5813.5(d)(4) and Section 2(e), MHSA, Welfare and Institutions Code. 
HISTORY

1. New section filed 12-29-2006 as an emergency; operative 12-29-2006 (Register 2006, No. 52). A Certificate of Compliance must be transmitted to OAL by 4-30-2007 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 5-1-2007 as an emergency; operative 5-1-2007 (Register 2007, No. 18). A Certificate of Compliance must be transmitted to OAL by 8-29-2007 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 8-23-2007 as an emergency; operative 8-30-2007 (Register 2007, No. 34). A Certificate of Compliance must be transmitted to OAL by 12-28-2007 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 8-23-2007 order transmitted to OAL 12-28-2007 and filed 2-13-2008 (Register 2008, No. 7).
§3200.210. Linguistic Competence.
Note     •     History

“Linguistic Competence” means organizations and individuals working within the system are able to communicate effectively and convey information in a manner that is easily understood by diverse audiences, including individuals with Limited English Proficiency; individuals who have few literacy skills or are not literate; and individuals with disabilities that impair communication. It also means that structures, policies, procedures and dedicated resources are in place that enable organizations and individuals to effectively respond to the literacy needs of the populations being served. 
NOTE

Authority cited: Section 5898, Welfare and Institutions Code. Reference: Sections 5806(a)(2) and 5868(b)(3) and 5868(b)(4), Welfare and Institutions Code, Title VI of the Civil Rights Act of 1964, 42 U.S.C. Section 2000d et seq., Sections 2(e) and 3(c), MHSA. 
HISTORY

1. New section filed 12-29-2006 as an emergency; operative 12-29-2006 (Register 2006, No. 52). A Certificate of Compliance must be transmitted to OAL by 4-30-2007 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 5-1-2007 as an emergency; operative 5-1-2007 (Register 2007, No. 18). A Certificate of Compliance must be transmitted to OAL by 8-29-2007 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 8-23-2007 as an emergency; operative 8-30-2007 (Register 2007, No. 34). A Certificate of Compliance must be transmitted to OAL by 12-28-2007 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 8-23-2007 order transmitted to OAL 12-28-2007 and filed 2-13-2008 (Register 2008, No. 7).
§3200.215. Mental Health Career Pathway Programs Funding Category.
Note     •     History

“Mental Health Career Pathway Programs Funding Category” means the funding category of the Workforce Education and Training component of the Three-Year Program and Expenditure Plan that funds education, training and counseling programs designed to recruit and prepare individuals for entry into and advancement in jobs in the Public Mental Health System. 
NOTE

Authority cited: Section 5898, Welfare and Institutions Code. Reference: Section 5822, Welfare and Institutions Code.
HISTORY

1. New section filed 11-4-2009; operative 12-4-2009 (Register 2009, No. 45).
§3200.217. Mental Health Loan Assumption Program.
Note     •     History

“Mental Health Loan Assumption Program” means a program to make payments to an educational lending institution on behalf of an employee who has incurred debt while obtaining an education, provided the individual agrees to work in the Public Mental Health System for a specified period of time, in a capacity that meets the employer's workforce needs.
NOTE

Authority cited: Section 5898, Welfare and Institutions Code. Reference: Section 5822, Welfare and Institutions Code.
HISTORY

1. New section filed 11-4-2009; operative 12-4-2009 (Register 2009, No. 45).
§3200.220. Mental Health Services Act.
Note     •     History

“Mental Health Services Act” means the laws that took effect on January 1, 2005 when Proposition 63 was approved by California voters and codified in the Welfare and Institutions Code. 
NOTE

Authority cited: Section 5898, Welfare and Institutions Code. Reference: Proposition 63, November 2004 California General Election. 
HISTORY

1. New section filed 12-29-2006 as an emergency; operative 12-29-2006 (Register 2006, No. 52). A Certificate of Compliance must be transmitted to OAL by 4-30-2007 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 5-1-2007 as an emergency; operative 5-1-2007 (Register 2007, No. 18). A Certificate of Compliance must be transmitted to OAL by 8-29-2007 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 8-23-2007 as an emergency; operative 8-30-2007 (Register 2007, No. 34). A Certificate of Compliance must be transmitted to OAL by 12-28-2007 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 8-23-2007 order transmitted to OAL 12-28-2007 and filed 2-13-2008 (Register 2008, No. 7).
§3200.225. Mental Health Services Act Housing Program Service Category.
Note     •     History

“Mental Health Services Act Housing Program Service Category” means the service category of the Community Services and Supports component of the Three-Year Program and Expenditure Plans under which Mental Health Services Act funds, administered through the California Housing Finance Agency, are used to acquire, rehabilitate or construct permanent supportive housing for clients with serious mental illness and provide operating subsidies.
NOTE

Authority cited: Section 5898, Welfare and Institutions Code. Reference: Sections 5600.2, 5600.3, 5802, 5806, 5813.5 and 5840(d)(6), Welfare and Institutions Code.
HISTORY

1. New section filed 2-13-2008; operative 2-13-2008 (Register 2008, No. 7).
§3200.230. Older Adult.
Note     •     History

“Older Adult” means an individual 60 years of age and older. 
NOTE

Authority cited: Section 5898, Welfare and Institutions Code. Reference: Section 5689.2, Welfare and Institutions Code. 
HISTORY

1. New section filed 12-29-2006 as an emergency; operative 12-29-2006 (Register 2006, No. 52). A Certificate of Compliance must be transmitted to OAL by 4-30-2007 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 5-1-2007 as an emergency; operative 5-1-2007 (Register 2007, No. 18). A Certificate of Compliance must be transmitted to OAL by 8-29-2007 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 8-23-2007 as an emergency; operative 8-30-2007 (Register 2007, No. 34). A Certificate of Compliance must be transmitted to OAL by 12-28-2007 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 8-23-2007 order transmitted to OAL 12-28-2007 and filed 2-13-2008 (Register 2008, No. 7).
§3200.240. Outreach and Engagement Service Category.
Note     •     History

“Outreach and Engagement Service Category” means the service category of the Community Services and Supports component of the Three-Year Program and Expenditure Plan under which the County may fund activities to reach, identify, and engage unserved individuals and communities in the mental health system and reduce disparities identified by the County. 
NOTE

Authority cited: Section 5898, Welfare and Institutions Code. Reference: Sections 5600.2, 5802(a)(1), 5806(a)(2) and 5814(b), Welfare and Institutions Code. 
HISTORY

1. New section filed 12-29-2006 as an emergency; operative 12-29-2006 (Register 2006, No. 52). A Certificate of Compliance must be transmitted to OAL by 4-30-2007 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 5-1-2007 as an emergency; operative 5-1-2007 (Register 2007, No. 18). A Certificate of Compliance must be transmitted to OAL by 8-29-2007 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 8-23-2007 as an emergency; operative 8-30-2007 (Register 2007, No. 34). A Certificate of Compliance must be transmitted to OAL by 12-28-2007 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 8-23-2007 order transmitted to OAL 12-28-2007 and filed 2-13-2008 (Register 2008, No. 7).
§3200.250. Planning Estimate.
Note     •     History

“Planning Estimate” means the estimate provided by the Department to the County of the maximum amount of Mental Health Services Act funding that the County can request. 
NOTE

Authority cited: Section 5898, Welfare and Institutions Code. Reference: Sections 5813.5(a) and 5890(a), Welfare and Institutions Code. 
HISTORY

1. New section filed 12-29-2006 as an emergency; operative 12-29-2006 (Register 2006, No. 52). A Certificate of Compliance must be transmitted to OAL by 4-30-2007 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 5-1-2007 as an emergency; operative 5-1-2007 (Register 2007, No. 18). A Certificate of Compliance must be transmitted to OAL by 8-29-2007 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 8-23-2007 as an emergency; operative 8-30-2007 (Register 2007, No. 34). A Certificate of Compliance must be transmitted to OAL by 12-28-2007 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 8-23-2007 order transmitted to OAL 12-28-2007 and filed 2-13-2008 (Register 2008, No. 7).
§3200.252. Project-Based Housing.
Note     •     History

“Project-Based Housing” means the unit(s) of an apartment complex, duplex, triplex, or other structure leased and/or purchased by the County for the purpose of providing housing.
NOTE

Authority cited: Section 5898, Welfare and Institutions Code. Reference: Sections 5813.5(a), 5813.5(c), 5813.5(d) and 5878.1(a), Welfare and Institutions Code.
HISTORY

1. New section filed 12-6-2010; operative 1-5-2011 (Register 2010, No. 50).
§3200.253. Public Mental Health System.
Note     •     History

“Public Mental Health System” means publicly-funded mental health programs/services and entities that are administered, in whole or in part, by the Department or County. It does not include programs and/or services administered, in whole or in part, by federal, state, county or private correctional entities or programs or services provided in correctional facilities.
NOTE

Authority cited: Section 5898, Welfare and Institutions Code. Reference: Section 5820, Welfare and Institutions Code.
HISTORY

1. New section filed 11-4-2009; operative 12-4-2009 (Register 2009, No. 45).
§3200.254. Public Mental Health System Workforce.
Note     •     History

“Public Mental Health System Workforce” means current and prospective Department and/or County personnel, County contractors, volunteers, and staff in community-based organizations, who work or will work in the Public Mental Health System.
NOTE

Authority cited: Section 5898, Welfare and Institutions Code. Reference: Section 5820, Welfare and Institutions Code.
HISTORY

1. New section filed 11-4-2009; operative 12-4-2009 (Register 2009, No. 45).
§3200.255. Regional Partnership.
Note     •     History

“Regional Partnership” means a group of County approved individuals and/or organizations within geographic proximity that acts as an employment and education resource for the Public Mental Health System. The group may include educational and employment service entities, individuals and/or entities within the Public Mental Health System, and individuals and/or entities that have an interest in the Public Mental Health System, such as county staff, mental health service providers, clients, and clients' family members. 
NOTE

Authority cited: Section 5898, Welfare and Institutions Code. Reference: Section 5822, Welfare and Institutions Code.
HISTORY

1. New section filed 11-4-2009; operative 12-4-2009 (Register 2009, No. 45).
§3200.256. Residency and Internship Programs Funding Category.
Note     •     History

“Residency and Internship Programs Funding Category” means the funding category of the Workforce Education and Training component of the Three-Year Program and Expenditure Plan that funds psychiatric residency programs and post-secondary mental health internship programs in order to increase the number of licensed and/or certified individuals employed in the Public Mental Health System.
NOTE

Authority cited: Section 5898, Welfare and Institutions Code. Reference: Section 5822, Welfare and Institutions Code.
HISTORY

1. New section filed 11-4-2009; operative 12-4-2009 (Register 2009, No. 45).
§3200.260. Small County.
Note     •     History

“Small County” means a county in California with a total population of less than 200,000, according to the most recent projection by the California State Department of Finance. 
NOTE

Authority cited: Section 5898, Welfare and Institutions Code. Reference: 9 CCR Section 1745. 
HISTORY

1. New section filed 12-29-2006 as an emergency; operative 12-29-2006 (Register 2006, No. 52). A Certificate of Compliance must be transmitted to OAL by 4-30-2007 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 5-1-2007 as an emergency; operative 5-1-2007 (Register 2007, No. 18). A Certificate of Compliance must be transmitted to OAL by 8-29-2007 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 8-23-2007 as an emergency; operative 8-30-2007 (Register 2007, No. 34). A Certificate of Compliance must be transmitted to OAL by 12-28-2007 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 8-23-2007 order transmitted to OAL 12-28-2007 and filed 2-13-2008 (Register 2008, No. 7).
§3200.270. Stakeholders.
Note     •     History

“Stakeholders” means individuals or entities with an interest in mental health services in the State of California, including but not limited to: individuals with serious mental illness and/or serious emotional disturbance and/or their families; providers of mental health and/or related services such as physical health care and/or social services; educators and/or representatives of education; representatives of law enforcement; and any other organization that represents the interests of individuals with serious mental illness/ and/or serious emotional disturbance and/or their families. 
NOTE

Authority cited: Section 5898, Welfare and Institutions Code. Reference: Sections 5814.5(b)(1) and 5848(a), Welfare and Institutions Code. 
HISTORY

1. New section filed 12-29-2006 as an emergency; operative 12-29-2006 (Register 2006, No. 52). A Certificate of Compliance must be transmitted to OAL by 4-30-2007 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 5-1-2007 as an emergency; operative 5-1-2007 (Register 2007, No. 18). A Certificate of Compliance must be transmitted to OAL by 8-29-2007 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 8-23-2007 as an emergency; operative 8-30-2007 (Register 2007, No. 34). A Certificate of Compliance must be transmitted to OAL by 12-28-2007 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 8-23-2007 order transmitted to OAL 12-28-2007 and filed 2-13-2008 (Register 2008, No. 7).
§3200.275. Supported Employment Services.
Note     •     History

“Supported Employment Services” means vocational rehabilitation activities provided to a client and/or a family member of a client for the purpose of obtaining, sustaining and enhancing their employment.
NOTE

Authority cited: Section 5898, Welfare and Institutions Code. Reference: Section 5822, Welfare and Institutions Code.
HISTORY

1. New section filed 11-4-2009; operative 12-4-2009 (Register 2009, No. 45).
§3200.276. Training and Technical Assistance Funding Category.
Note     •     History

“Training and Technical Assistance Funding Category” means the funding category of the Workforce Education and Training component of the Three-Year Program and Expenditure Plan that funds consultation and/or education to assist those providing services and supports to individuals, clients and/or family members of clients who are working in and/or receiving services from the Public Mental Health System.
NOTE

Authority cited: Section 5898, Welfare and Institutions Code. Reference: Section 5822, Welfare and Institutions Code.
HISTORY

1. New section filed 11-4-2009; operative 12-4-2009 (Register 2009, No. 45).
§3200.280. Transition Age Youth.
Note     •     History

“Transition Age Youth” means youth 16 years to 25 years of age. 
NOTE

Authority cited: Section 5898, Welfare and Institutions Code. Reference: Sections 5847(c), Welfare and Institutions Code. 
HISTORY

1. New section filed 12-29-2006 as an emergency; operative 12-29-2006 (Register 2006, No. 52). A Certificate of Compliance must be transmitted to OAL by 4-30-2007 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 5-1-2007 as an emergency; operative 5-1-2007 (Register 2007, No. 18). A Certificate of Compliance must be transmitted to OAL by 8-29-2007 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 8-23-2007 as an emergency; operative 8-30-2007 (Register 2007, No. 34). A Certificate of Compliance must be transmitted to OAL by 12-28-2007 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 8-23-2007 order transmitted to OAL 12-28-2007 and filed 2-13-2008 (Register 2008, No. 7).
§3200.300. Underserved.
Note     •     History

“Underserved” means clients of any age who have been diagnosed with a serious mental illness and/or serious emotional disturbance and are receiving some services, but are not provided the necessary or appropriate opportunities to support their recovery, wellness and/or resilience. When appropriate, it includes clients whose family members are not receiving sufficient services to support the client's recovery, wellness and/or resilience. These clients include, but are not limited to, those who are so poorly served that they are at risk of homelessness, institutionalization, incarceration, out-of home placement or other serious consequences; members of ethnic/racial, cultural, and linguistic populations that do not have access to mental health programs due to barriers such as poor identification of their mental health needs, poor engagement and outreach, limited language access, and lack of culturally competent services; and those in rural areas, Native American rancherias and/or reservations who are not receiving sufficient services. 
NOTE

Authority cited: Section 5898, Welfare and Institutions Code. Reference: Sections 5814(a)(1), 5814(d), 5814.5, 5830, 5840 and 5848, Welfare and Institutions Code. 
HISTORY

1. New section filed 12-29-2006 as an emergency; operative 12-29-2006 (Register 2006, No. 52). A Certificate of Compliance must be transmitted to OAL by 4-30-2007 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 5-1-2007 as an emergency; operative 5-1-2007 (Register 2007, No. 18). A Certificate of Compliance must be transmitted to OAL by 8-29-2007 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 8-23-2007 as an emergency; operative 8-30-2007 (Register 2007, No. 34). A Certificate of Compliance must be transmitted to OAL by 12-28-2007 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 8-23-2007 order transmitted to OAL 12-28-2007 and filed 2-13-2008 (Register 2008, No. 7).
§3200.310. Unserved.
Note     •     History

“Unserved” means those individuals who may have serious mental illness and/or serious emotional disturbance and are not receiving mental health services. Individuals who may have had only emergency or crisis-oriented contact with and/or services from the County may be considered unserved. 
NOTE

Authority cited: Section 5898, Welfare and Institutions Code. Reference: Sections 5814(a)(1), 5814.5, 5830, and 5840 Welfare and Institutions Code. 
HISTORY

1. New section filed 12-29-2006 as an emergency; operative 12-29-2006 (Register 2006, No. 52). A Certificate of Compliance must be transmitted to OAL by 4-30-2007 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 5-1-2007 as an emergency; operative 5-1-2007 (Register 2007, No. 18). A Certificate of Compliance must be transmitted to OAL by 8-29-2007 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 8-23-2007 as an emergency; operative 8-30-2007 (Register 2007, No. 34). A Certificate of Compliance must be transmitted to OAL by 12-28-2007 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 8-23-2007 order transmitted to OAL 12-28-2007 and filed 2-13-2008 (Register 2008, No. 7).
§3200.320. Workforce Education and Training.
Note     •     History

“Workforce Education and Training” means the component of the Three-Year Program and Expenditure Plan that includes education and training programs and activities for prospective and current Public Mental Health System employees, contractors and volunteers.
NOTE

Authority cited: Section 5898, Welfare and Institutions Code. Reference: Section 5820, Welfare and Institutions Code.
HISTORY

1. New section filed 11-4-2009; operative 12-4-2009 (Register 2009, No. 45).
§3200.325. Workforce Staffing Support Funding Category.
Note     •     History

“Workforce Staffing Support Funding Category” means the funding category of the Workforce Education and Training component of the Three-Year Program and Expenditure Plan that funds staff needed to plan, administer, coordinate and/or evaluate Workforce Education and Training programs and activities. 
NOTE

Authority cited: Section 5898, Welfare and Institutions Code. Reference: Sections 5820, 5821 and 5822, Welfare and Institutions Code.
HISTORY

1. New section filed 11-4-2009; operative 12-4-2009 (Register 2009, No. 45).
Article 3. General Requirements
§3300. Community Program Planning Process.
Note     •     History

(a) The County shall provide for a Community Program Planning Process as the basis for developing the Three-Year Program and Expenditure Plans and updates. 
(b) To ensure that the Community Program Planning Process is adequately staffed, the County shall designate positions and/or units responsible for: 
(1) The overall Community Program Planning Process. 
(2) Coordination and management of the Community Program Planning Process. 
(3) Ensuring that stakeholders have the opportunity to participate in the Community Program Planning Process. 
(A) Stakeholder participation shall include representatives of unserved and/or underserved populations and family members of unserved/underserved populations. 
(4) Ensuring that stakeholders that reflect the diversity of the demographics of the County, including but not limited to, geographic location, age, gender, and race/ethnicity have the opportunity to participate in the Community Program Planning Process. 
(5) Outreach to clients with serious mental illness and/or serious emotional disturbance, and their family members, to ensure the opportunity to participate. 
(c) The Community Program Planning Process shall, at a minimum, include: 
(1) Involvement of clients with serious mental illness and/or serious emotional disturbance and their family members in all aspects of the Community Program Planning Process. 
(2) Participation of stakeholders, as stakeholders is defined in Section 3200.270. 
(3) Training. 
(A) Training shall be provided as needed to County staff designated responsible for any of the functions listed in 3300(b) that will enable staff to establish and sustain a Community Program Planning Process. 
(B) Training shall be offered, as needed, to those stakeholders, clients, and when appropriate the client's family, who are participating in the Community Program Planning Process. 
(d) Beginning with Fiscal Year 2006-07, or in fiscal years when there are no funds dedicated for the Community Program Planning Process, the County may use up to five (5) percent of its Planning Estimate, as calculated by the Department for that fiscal year, for the Community Program Planning Process. 
NOTE

Authority cited: Section 5898, Welfare and Institutions Code. Reference: Sections 5840, 5848(a), 5892(c), and 5813 Welfare and Institutions Code. 
HISTORY

1. New article 3 (sections 3300-3360) and section filed 12-29-2006 as an emergency; operative 12-29-2006 (Register 2006, No. 52). A Certificate of Compliance must be transmitted to OAL by 4-30-2007 or emergency language will be repealed by operation of law on the following day.
2. New article 3 (section 3300-3360) and section refiled 5-1-2007 as an emergency; operative 5-1-2007 (Register 2007, No. 18). A Certificate of Compliance must be transmitted to OAL by 8-29-2007 or emergency language will be repealed by operation of law on the following day.
3. New article 3 (section 3300-3360) and section refiled 8-23-2007 as an emergency; operative 8-30-2007 (Register 2007, No. 34). A Certificate of Compliance must be transmitted to OAL by 12-28-2007 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 8-23-2007 order transmitted to OAL 12-28-2007 and filed 2-13-2008 (Register 2008, No. 7).
§3310. The Three-Year Program and Expenditure Plan.
Note     •     History

(a) To receive Mental Health Services Act (MHSA) funds under this Chapter, the County shall submit a Three-Year Program and Expenditure Plan or update; comply with all other applicable requirements; obtain the necessary approvals in accordance with Welfare and Institutions Code Sections 5830, 5846, and 5847; and enter into a valid MHSA Performance Contract with the Department. 
(1) A City-operated program, created pursuant to Welfare and Institutions Code Section 5701.5, may submit a Three-Year Program and Expenditure Plan separate from the County in which it is located. Plans of both the County and the City shall be developed in collaboration with one another to minimize gaps in the provision of mental health services and supports. 
(b) Three-Year Program and Expenditure Plans shall address each of the following components: 
(1) Community Services and Supports, for: 
(A) Children and Youth, as defined in Section 3200.030. 
(B) Transition Age Youth, as defined in Section 3200.280. 
(C) Adults, as defined in Section 3200.010. 
(D) Older Adults, as defined in Section 3200.230. 
(2) Capital Facilities and Technological Needs. 
(3) Workforce Education and Training. 
(4) Prevention and Early Intervention. 
(5) Innovative Programs. 
(c) The County shall update Three-Year Program and Expenditure Plans at least annually. 
(d) The County shall develop the Three-Year Program and Expenditure Plans and updates in collaboration with stakeholders, through the Community Program Planning Process, as specified in Section 3300. 
(1) County programs and/or services shall only be funded if the Community Program Planning Process set forth in these regulations was followed. 
(e) The Three-Year Program and Expenditure Plans and updates shall include a statement explaining how the requirements of Section 3300 were met. 
(f) As part of the Three-Year Program and Expenditure Plans or updates, the County shall submit documentation of the local review process, as required by Section 3315. 
NOTE

Authority cited: Section 5898, Welfare and Institutions Code. Reference: Sections 5820, 5830, 5846, 5847, 5848, 5892 and 5897, Welfare and Institutions Code. 
HISTORY

1. New article 3 (section 3310) and section filed 12-30-2005 as an emergency; operative 12-30-2005 (Register 2005, No. 52). This filing is deemed an emergency, is exempt from OAL review, and shall remain in effect for no more than one year pursuant to Welfare and Institutions Code section 5898.
2. Repealer of former article 3 and repealer and new section filed 12-29-2006 as an emergency; operative 12-29-2006 (Register 2006, No. 52). A Certificate of Compliance must be transmitted to OAL by 4-30-2007 or emergency language will be repealed by operation of law on the following day.
3. Repealer of former article 3 (section 3310) and repealer and new section refiled 5-1-2007 as an emergency; operative 5-1-2007 (Register 2007, No. 18). A Certificate of Compliance must be transmitted to OAL by 8-29-2007 or emergency language will be repealed by operation of law on the following day.
4. Repealer of former article 3 (section 3310) and repealer and new section refiled 8-23-2007 as an emergency; operative 8-30-2007 (Register 2007, No. 34). A Certificate of Compliance must be transmitted to OAL by 12-28-2007 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 8-23-2007 order, including amendment of subsection (a), transmitted to OAL 12-28-2007 and filed 2-13-2008 (Register 2008, No. 7).
6. Amendment of subsection (b)(3) and Note filed 11-4-2009; operative 12-4-2009 (Register 2009, No. 45).
7. Editorial correction removing extraneous subsection (b) (Register 2011, No. 4).
§3315. Local Review Process.
Note     •     History

(a) Prior to submitting the Three-Year Program and Expenditure Plans or annual updates to the Department, the County shall conduct a local review process that includes: 
(1) A 30-day public comment period. 
(A) The County shall submit documentation, including a description of the methods used to circulate, for the purpose of public comment, a copy of the draft Three-Year Program and Expenditure Plan, or annual update, to representatives of stakeholders' interests and any other interested parties who request the draft. 
(2) Documentation that a public hearing was held by the local mental health board/commission, including the date of the hearing. 
(3) A summary and analysis of any substantive recommendations. 
(4) A description of any substantive changes made to the proposed Three-Year Program and Expenditure Plan or annual update that was circulated. 
(b) For updates, other than the annual update required in Section 3310(c), the County shall conduct a local review process that includes: 
(1) A 30-day public comment period. 
(A) The County shall submit documentation, including a description of the methods used to circulate, for the purpose of public comment, a copy of the update, to representatives of stakeholders' interests and any other interested parties who request the draft. 
(2) A summary and analysis of any substantive recommendations. 
(3) A description of any substantive changes made to the proposed update that was circulated. 
NOTE

Authority cited: Section 5898, Welfare and Institutions Code. Reference: Sections 5848(a) and (b), Welfare and Institutions Code. 
HISTORY

1. New section filed 12-29-2006 as an emergency; operative 12-29-2006 (Register 2006, No. 52). A Certificate of Compliance must be transmitted to OAL by 4-30-2007 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 5-1-2007 as an emergency; operative 5-1-2007 (Register 2007, No. 18). A Certificate of Compliance must be transmitted to OAL by 8-29-2007 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 8-23-2007 as an emergency; operative 8-30-2007 (Register 2007, No. 34). A Certificate of Compliance must be transmitted to OAL by 12-28-2007 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 8-23-2007 order transmitted to OAL 12-28-2007 and filed 2-13-2008 (Register 2008, No. 7).
§3320. General Standards.
Note     •     History

(a) The County shall adopt the following standards in planning, implementing, and evaluating the programs and/or services provided with Mental Health Services Act (MHSA) funds. The planning, implementation and evaluation process includes, but is not limited to, the Community Program Planning Process; development of the Three-Year Program and Expenditure Plans and updates; and the manner in which the County delivers services and evaluates service delivery. 
(1) Community Collaboration, as defined in Section 3200.060. 
(2) Cultural Competence, as defined in Section 3200.100. 
(3) Client Driven, as defined in Section 3200.050. 
(4) Family Driven, as defined in Section 3200.120. 
(5) Wellness, Recovery, and Resilience Focused. 
(6) Integrated Service Experiences for clients and their families, as defined in Section 3200.190. 
NOTE

Authority cited: Section 5898, Welfare and Institutions Code. Reference: Sections 5813.5(d), Welfare and Institutions Code; and Section 2(e), MHSA. 
HISTORY

1. New section filed 12-29-2006 as an emergency; operative 12-29-2006 (Register 2006, No. 52). A Certificate of Compliance must be transmitted to OAL by 4-30-2007 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 5-1-2007 as an emergency; operative 5-1-2007 (Register 2007, No. 18). A Certificate of Compliance must be transmitted to OAL by 8-29-2007 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 8-23-2007 as an emergency; operative 8-30-2007 (Register 2007, No. 34). A Certificate of Compliance must be transmitted to OAL by 12-28-2007 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 8-23-2007 order transmitted to OAL 12-28-2007 and filed 2-13-2008 (Register 2008, No. 7).
§3350. Amendment of MHSA Performance Contract.
Note     •     History

(a) The County or the Department may initiate MHSA Performance Contract amendments at any time. 
(b) The County shall initiate an MHSA Performance Contract amendment to: 
(1) Eliminate an approved program. 
(2) Request funding for a new program/service that was not part of the County's MHSA Performance Contract. 
(3) Request an increase in the total amount of funding approved for the fiscal year of the MHSA Performance Contract. 
(4) Request new or increased one-time funding. 
(5) Change the MHSA Performance Contract timeframe. 
(6) Modify any other MHSA Performance Contract term. 
(c) The Department may require the County to submit an update to the Three-Year Program and Expenditure Plan. 
NOTE

Authority cited: Section 5898, Welfare and Institutions Code. Reference: Sections 11010.5(a), Government Code. 
HISTORY

1. New section filed 12-29-2006 as an emergency; operative 12-29-2006 (Register 2006, No. 52). A Certificate of Compliance must be transmitted to OAL by 4-30-2007 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 5-1-2007 as an emergency; operative 5-1-2007 (Register 2007, No. 18). A Certificate of Compliance must be transmitted to OAL by 8-29-2007 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 8-23-2007 as an emergency; operative 8-30-2007 (Register 2007, No. 34). A Certificate of Compliance must be transmitted to OAL by 12-28-2007 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 8-23-2007 order transmitted to OAL 12-28-2007 and filed 2-13-2008 (Register 2008, No. 7).
§3360. Program Flexibility.
Note     •     History

(a) The use of alternative practices, programs/services, procedures, and/or demonstration projects shall not be prohibited by these regulations provided that: 
(1) Such alternatives meet the intent of the Mental Health Services Act and all applicable regulations. 
(2) The County has submitted a written request and documentation supporting the alternative to the Department. 
(3) Prior written approval from the Department has been received. 
(b) The County shall maintain continuous compliance with all applicable regulations unless prior written approval of the alternative has been received from the Department. 
NOTE

Authority cited: Section 5898, Welfare and Institutions Code. Reference: Section 11010.5, Government Code; and Section 3, MHSA. 
HISTORY

1. New section filed 12-29-2006 as an emergency; operative 12-29-2006 (Register 2006, No. 52). A Certificate of Compliance must be transmitted to OAL by 4-30-2007 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 5-1-2007 as an emergency; operative 5-1-2007 (Register 2007, No. 18). A Certificate of Compliance must be transmitted to OAL by 8-29-2007 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 8-23-2007 as an emergency; operative 8-30-2007 (Register 2007, No. 34). A Certificate of Compliance must be transmitted to OAL by 12-28-2007 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 8-23-2007 order transmitted to OAL 12-28-2007 and filed 2-13-2008 (Register 2008, No. 7).
Article 4. Funding Provisions
§3400. Allowable Costs and Expenditures.
Note     •     History

(a) The County shall utilize Mental Health Services Act (MHSA) funds only to establish or expand mental health services and/or supports for the components specified in Section 3310(b) and for the Community Program Planning Process specified in Section 3300. 
(b) Programs and/or services provided with MHSA funds shall: 
(1) Offer mental health services and/or supports to individuals/clients with serious mental illness and/or serious emotional disturbance, and when appropriate their families. 
(A) The Prevention and Early Intervention component is exempt from this requirement. 
(2) Be designed for voluntary participation. No person shall be denied access based solely on his/her voluntary or involuntary legal status. 
(3) Comply with the requirements in Section 3410, Non- Supplant. 
(c) To the extent allowed under (a) and (b) of this Section, the County may use MHSA funds to match other funding sources, such as Medi-Cal and the Healthy Families Program. The County shall not submit requests for MHSA funding solely for the purpose of increasing reimbursement for Medi-Cal or the Healthy Families Program. 
(d) The County is not obligated to use MHSA funding to fund court mandates. 
NOTE

Authority cited: Section 5898, Welfare and Institutions Code. References: Sections 5801, 5878.3(a), 5891 and 5892, Welfare and Institutions Code. 
HISTORY

1. New article 4 (sections 3400-3415) and section filed 12-30-2005 as an emergency; operative 12-30-2005 (Register 2005, No. 52). This filing is deemed an emergency, is exempt from OAL review, and shall remain in effect for no more than one year pursuant to Welfare and Institutions Code section 5898.
2. New subsections (b)-(b)(3) and subsection relettering filed 1-23-2006 as an emergency; operative 1-23-2006 (Register 2006, No. 4). A Certificate of Compliance must be transmitted to OAL by 5-23-2006 or emergency language will be repealed by operation of law on the following day.
3. New subsections (b)-(b)(3) and subsection relettering refiled 5-24-2006 as an emergency; operative 5-24-2006 (Register 2006, No. 21). A Certificate of Compliance must be transmitted to OAL by 9-21-2006 or emergency language will be repealed by operation of law on the following day.
4. New subsections (b)-(b)(3), including amendment of subsection (b)(2), refiled 9-25-2006 as an emergency; operative 9-25-2006 (Register 2006, No. 39). A Certificate of Compliance must be transmitted to OAL by 1-23-2007 or emergency language will be repealed by operation of law on the following day.
5. Repealer of article 4 (sections 3400-3415) and section and new article 4 (sections 3400-3410) and section filed 12-29-2006 as an emergency; operative 12-29-2006 (Register 2006, No. 52). A Certificate of Compliance must be transmitted to OAL by 4-30-2007 or emergency language will be repealed by operation of law on the following day.
6. Repealer of article 4 (sections 3400-3415) and section and new article 4 (sections 3400-3410) and section refiled 5-1-2007 as an emergency; operative 5-1-2007 (Register 2007, No. 18). A Certificate of Compliance must be transmitted to OAL by 8-29-2007 or emergency language will be repealed by operation of law on the following day.
7. Repealer of article 4 (sections 3400-3415) and section and new article 4 (sections 3400-3410) and section refiled 8-23-2007 as an emergency; operative 8-30-2007 (Register 2007, No. 34). A Certificate of Compliance must be transmitted to OAL by 12-28-2007 or emergency language will be repealed by operation of law on the following day.
8. Certificate of Compliance as to 8-23-2007 order transmitted to OAL 12-28-2007 and filed 2-13-2008 (Register 2008, No. 7).
§3405. Allowable Use of Funds in the Service Categories of the Community Services and Supports. [Repealed]
Note     •     History

NOTE

Authority cited: Section 5898, Welfare and Institutions Code. Reference: Sections 5878.3(a) and 5813.5(b), Welfare and Institutions Code. 
HISTORY

1. New section filed 12-30-2005 as an emergency; operative 12-30-2005 (Register 2005, No. 52). This filing is deemed an emergency, is exempt from OAL review, and shall remain in effect for no more than one year pursuant to Welfare and Institutions Code section 5898.
2. Repealer filed 12-29-2006 as an emergency; operative 12-29-2006 (Register 2006, No. 52). A Certificate of Compliance must be transmitted to OAL by 4-30-2007 or emergency language will be repealed by operation of law on the following day.
3. Repealer refiled 5-1-2007 as an emergency; operative 5-1-2007 (Register 2007, No. 18). A Certificate of Compliance must be transmitted to OAL by 8-29-2007 or emergency language will be repealed by operation of law on the following day.
4. Repealer refiled 8-23-2007 as an emergency; operative 8-30-2007 (Register 2007, No. 34). A Certificate of Compliance must be transmitted to OAL by 12-28-2007 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 8-23-2007 order transmitted to OAL 12-28-2007 and filed 2-13-2008 (Register 2008, No. 7).
§3410. Non-Supplant.
Note     •     History

(a) Funds distributed under this Chapter shall not be used to provide mental health programs and/or services that were in existence on November 2, 2004, except to: 
(1) Expand mental health services and/or program capacity beyond what was previously provided. 
(2) Continue programs funded in Fiscal Year 2004-2005 with bridge funding, as defined in Section 3200.020. 
(b) Funds distributed under this Chapter shall not be used to supplant state or county funds required to be used for services and/or supports that were in existence in Fiscal Year 2004-2005. The only exceptions to this limitation are: 
(1) The ten (10) percent of Realignment funds, described in Welfare and Institutions Code Section 17600.20, that the County may reallocate by transferring in or out of its mental health account. 
(A) If the County reallocates any portion of the ten (10) percent of Realignment funds out of the mental health account, the County shall adhere to (a) above. 
(2) County funds exceeding the amount required to be deposited into the mental health account in Fiscal Year 2004-2005, pursuant to Welfare and Institutions Code Section 17608.05. 
(A) If the County elects to reduce funds exceeding the amount required to be deposited into the mental health account in Fiscal Year 2004-2005, the County shall adhere to (a) above. 
(c) The County shall not use MHSA funds to pay the costs associated with inflation for programs and/or services that were in existence on November 2, 2004. 
(d) The County shall not loan MHSA funds for any purpose that is not consistent with Welfare and Institutions Code Section 5891, and the MHSA regulations, California Code of Regulations, Title 9, Chapter 14.
NOTE

Authority cited: Section 5898, Welfare and Institutions Code. References: Sections 5891 and 5892(a)(5), Welfare and Institutions Code. 
HISTORY

1. New section filed 12-30-2005 as an emergency; operative 12-30-2005 (Register 2005, No. 52). This filing is deemed an emergency, is exempt from OAL review, and shall remain in effect for no more than one year pursuant to Welfare and Institutions Code section 5898.
2. Repealer and new section filed 12-29-2006 as an emergency; operative 12-29-2006 (Register 2006, No. 52). A Certificate of Compliance must be transmitted to OAL by 4-30-2007 or emergency language will be repealed by operation of law on the following day.
3. Repealer and new section refiled 5-1-2007 as an emergency; operative 5-1-2007 (Register 2007, No. 18). A Certificate of Compliance must be transmitted to OAL by 8-29-2007 or emergency language will be repealed by operation of law on the following day.
4. Repealer and new section refiled 8-23-2007 as an emergency; operative 8-30-2007 (Register 2007, No. 34). A Certificate of Compliance must be transmitted to OAL by 12-28-2007 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 8-23-2007 order, including amendment of subsection (d), transmitted to OAL 12-28-2007 and filed 2-13-2008 (Register 2008, No. 7).
§3415. Non-Supplant Reporting Requirements. [Repealed]
Note     •     History

NOTE

Authority cited: Section 5898, Welfare and Institutions Code. References: Sections 5891 and 5892, Welfare and Institutions Code.
HISTORY

1. New section filed 12-30-2005 as an emergency; operative 12-30-2005 (Register 2005, No. 52). This filing is deemed an emergency, is exempt from OAL review, and shall remain in effect for no more than one year pursuant to Welfare and Institutions Code section 5898.
2. Repealer filed 12-29-2006 as an emergency; operative 12-29-2006 (Register 2006, No. 52). A Certificate of Compliance must be transmitted to OAL by 4-30-2007 or emergency language will be repealed by operation of law on the following day.
3. Repealer refiled 5-1-2007 as an emergency; operative 5-1-2007 (Register 2007, No. 18). A Certificate of Compliance must be transmitted to OAL by 8-29-2007 or emergency language will be repealed by operation of law on the following day.
4. Repealer refiled 8-23-2007 as an emergency; operative 8-30-2007 (Register 2007, No. 34). A Certificate of Compliance must be transmitted to OAL by 12-28-2007 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 8-23-2007 order transmitted to OAL 12-28-2007 and filed 2-13-2008 (Register 2008, No. 7).
Article 5. Reporting Requirements
§3500. Non-Supplant Certification and Reports.
Note     •     History

(a) The Three-Year Program and Expenditure Plans, and updates, shall include certification by the County Mental Health Director that the County will comply with Section 3410, Non-Supplant. 
(b) The County shall maintain documentation of all fund expenditures, and provide documentation to the Department upon request. 
(c) As part of the Annual Cost and Financial Reporting System (“Cost Report”), as required by Title 42, C.F.R. Part 413, and as specified in Section 3505, the County shall certify that
(1) Mental Health Services Act (MHSA) funds were used in compliance with Section 3410, Non-Supplant. 
(2) Mental health funds, other than MHSA funds, required to be used to provide services and/or supports that were in existence in Fiscal Year 2004-2005 were used for the required purpose. 
(d) The County shall maintain documentation of bridge funding, if bridge funding was used. 
(1) The documentation shall specify the programs funded and the services provided, and shall include a statement that these programs/services were identified as priorities in the Community Program Planning Process. 
(2) Acceptable documentation includes, but is not limited to: a resolution from the County Board of Supervisors, certification by the County Mental Health Director, or other official documentation indicating the County's intent to use bridge funding. 
NOTE

Authority cited: Section 5898, Welfare and Institutions Code. Reference: Section 5610, Welfare and Institutions Code. 
HISTORY

1. New article 5 (sections 3500-3540) and section filed 12-29-2006 as an emergency; operative 12-29-2006 (Register 2006, No. 52). A Certificate of Compliance must be transmitted to OAL by 4-30-2007 or emergency language will be repealed by operation of law on the following day.
2. New article 5 (sections 3500-3540) and section refiled 5-1-2007 as an emergency; operative 5-1-2007 (Register 2007, No. 18). A Certificate of Compliance must be transmitted to OAL by 8-29-2007 or emergency language will be repealed by operation of law on the following day.
3. New article 5 (sections 3500-3540) and section refiled 8-23-2007 as an emergency; operative 8-30-2007 (Register 2007, No. 34). A Certificate of Compliance must be transmitted to OAL by 12-28-2007 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 8-23-2007 order, including amendment of subsection (c), transmitted to OAL 12-28-2007 and filed 2-13-2008 (Register 2008, No. 7).
§3505. Cost Report.
Note     •     History

(a) As part of the Annual Cost and Financial Reporting System (“Cost Report”), as required by Title 42, C.F.R. Part 413, the County shall complete and submit information on the revenue, distribution, and expenditures for programs and/or services funded by the Mental Health Services Act (MHSA). 
(b) The County's Local Mental Health Director and Auditor-Controller must certify the Cost Report information as being true and correct, and with respect to MHSA funding, certify that the County is in compliance with Chapter 14, Article 5, Section 3410, Non-Supplant. 
(c) The reconciled Cost Report must be certified by the County's Local Mental Health Director and Auditor-Controller that the information is true and correct, and with respect to MHSA funding, the County is in compliance with Chapter 14, Article 5, Section 3410, Non-Supplant. 
(d) If the County does not submit the Cost Report and/or the reconciled Cost Report by the deadline required by statute, the Department may withhold MHSA funds. 
NOTE

Authority cited: Section 5898, Welfare and Institutions Code. Reference: Sections 5664(a), 5718, 5891, and 5892(g), Welfare and Institutions Code. 
HISTORY

1. New section filed 12-29-2006 as an emergency; operative 12-29-2006 (Register 2006, No. 52). A Certificate of Compliance must be transmitted to OAL by 4-30-2007 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 5-1-2007 as an emergency; operative 5-1-2007 (Register 2007, No. 18). A Certificate of Compliance must be transmitted to OAL by 8-29-2007 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 8-23-2007 as an emergency; operative 8-30-2007 (Register 2007, No. 34). A Certificate of Compliance must be transmitted to OAL by 12-28-2007 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 8-23-2007 order, including amendment of subsections (a) and (d) and Note, transmitted to OAL 12-28-2007 and filed 2-13-2008 (Register 2008, No. 7).
§3510. Annual MHSA Revenue and Expenditure Report.
Note     •     History

(a) The County shall submit to the Department an Annual Mental Health Services Act (MHSA) Revenue and Expenditure Report. The Annual MHSA Revenue and Expenditure Report shall include, but not be limited to, the following: 
(1) Administration Expenditures: The County shall report the actual total expenditures incurred and the revenues received for MHSA administration during the reporting fiscal year. 
(A) The report shall include system-wide one-time costs that cannot be assigned to a specific program. 
(2) Program Expenditures: The County shall report the actual total expenditures incurred by service or funding category and revenues received during the reporting fiscal year and complete a separate Program Revenue and Expenditure Report for each program funded through the County MHSA Performance Contract. 
(A) The report shall include one-time costs associated with a specific program. 
(3) One-Time Expenditures: The County shall report the amount approved in the County MHSA Performance Contract, and the actual total expenditures incurred during the reporting fiscal year, for each approved One-Time Expenditure listed in the County Performance Contract. 
(A) The One-Time Expenditures shall also be included as either Program Expenditures or Administration Expenditures. 
(4) MHSA Funds: The County shall report MHSA funds received from the Department and interest income earned during the reporting fiscal year. 
(b) The County shall submit the Annual MHSA Revenue and Expenditure Report no later than December 31 following the end of the fiscal year. 
(c) If the County does not submit the Annual MHSA Revenue and Expenditure Report by the required deadline, the Department may withhold MHSA funds. 
NOTE

Authority cited: Section 5898, Welfare and Institutions Code. Reference:  Sections 5610, 5612, 5664, 5801, 5820 and 5860, Welfare and Institutions Code; and Section 3, MHSA.
HISTORY

1. New section filed 12-29-2006 as an emergency; operative 12-29-2006 (Register 2006, No. 52). A Certificate of Compliance must be transmitted to OAL by 4-30-2007 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 5-1-2007 as an emergency; operative 5-1-2007 (Register 2007, No. 18). A Certificate of Compliance must be transmitted to OAL by 8-29-2007 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 8-23-2007 as an emergency; operative 8-30-2007 (Register 2007, No. 34). A Certificate of Compliance must be transmitted to OAL by 12-28-2007 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 8-23-2007 order, including amendment of subsection (a)(4), transmitted to OAL 12-28-2007 and filed 2-13-2008 (Register 2008, No. 7).
5. Amendment of subsections (a), (a)(2) and (b) and amendment of Note filed 11-4-2009; operative 12-4-2009 (Register 2009, No. 45).
§3520. Local Mental Health Services Fund Cash Flow Statement. [Repealed]
Note     •     History

NOTE

Authority cited: Section 5898, Welfare and Institutions Code. Reference: Sections 5847(e), 5804(d) and 5892(f), Welfare and Institutions Code. 
HISTORY

1. New section filed 12-29-2006 as an emergency; operative 12-29-2006 (Register 2006, No. 52). A Certificate of Compliance must be transmitted to OAL by 4-30-2007 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 5-1-2007 as an emergency; operative 5-1-2007 (Register 2007, No. 18). A Certificate of Compliance must be transmitted to OAL by 8-29-2007 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 8-23-2007 as an emergency; operative 8-30-2007 (Register 2007, No. 34). A Certificate of Compliance must be transmitted to OAL by 12-28-2007 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 8-23-2007 order, including repealer of subsections (c) and (c)(1) and subsection relettering, transmitted to OAL 12-28-2007 and filed 2-13-2008 (Register 2008, No. 7).
5. Repealer filed 5-7-2010; operative 6-6-2010 (Register 2010, No. 19).
§3530. Client/Services Reporting Requirements.
Note     •     History

(a) The County shall submit complete and accurate information, including, but not limited to, the following: 
(1) Client and Service Information (CSI) System data, as specified in Section 3530.10. 
(2) Quarterly Progress Reports, as specified in Section 3530.20. 
(3) Full Service Partnership Performance Outcome data, as specified in Section 3530.30. 
(4) Consumer Perception Semi-Annual Survey data, as specified in Section 3530.40. 
(b) If the County does not submit the required information within the established timeframes, the Department may withhold MHSA funds. 
NOTE

Authority cited: Section 5898, Welfare and Institutions Code. Reference: Sections 5610(a), 5613(a), 5664(a) and 5814.5(c), Welfare and Institutions Code. 
HISTORY

1. New section filed 12-29-2006 as an emergency; operative 12-29-2006 (Register 2006, No. 52). A Certificate of Compliance must be transmitted to OAL by 4-30-2007 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 5-1-2007 as an emergency; operative 5-1-2007 (Register 2007, No. 18). A Certificate of Compliance must be transmitted to OAL by 8-29-2007 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 8-23-2007 as an emergency; operative 8-30-2007 (Register 2007, No. 34). A Certificate of Compliance must be transmitted to OAL by 12-28-2007 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 8-23-2007 order transmitted to OAL 12-28-2007 and filed 2-13-2008 (Register 2008, No. 7).
§3530.10. Client and Service Information System Data.
Note     •     History

(a) The County shall submit Client and Service Information (CSI) System data, including but not limited to, client demographics and descriptions of services provided to each client. 
(1) The CSI data shall be submitted no later than 60 days after the end of the month in which the services were provided. 
NOTE

Authority cited: Section 5898, Welfare and Institutions Code. Reference: Sections 5610(a), 5613(a), 5664(a) and 5814.5(c), Welfare and Institutions Code. 
HISTORY

1. New section filed 12-29-2006 as an emergency; operative 12-29-2006 (Register 2006, No. 52). A Certificate of Compliance must be transmitted to OAL by 4-30-2007 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 5-1-2007 as an emergency; operative 5-1-2007 (Register 2007, No. 18). A Certificate of Compliance must be transmitted to OAL by 8-29-2007 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 8-23-2007 as an emergency; operative 8-30-2007 (Register 2007, No. 34). A Certificate of Compliance must be transmitted to OAL by 12-28-2007 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 8-23-2007 order transmitted to OAL 12-28-2007 and filed 2-13-2008 (Register 2008, No. 7).
§3530.20. Quarterly Progress Report.
Note     •     History

(a) A Quarterly Progress Report shall be submitted, by service category, for each approved program and/or service. The Report shall include, but not be limited to the following: 
(1) The targeted number of individuals, clients, and families to be served in each reporting quarter. 
(2) The total number of individuals, clients, and families actually served in each reporting quarter. 
(b) The final Quarterly Progress Report shall include the total number of unduplicated individuals, clients, and family units served by each program/service during the fiscal year. 
(c) The Quarterly Progress Report shall be submitted no later than 60 days following the end of each reporting quarter. 
NOTE

Authority cited: Section 5898, Welfare and Institutions Code. Reference: Sections 5610(a), 5613(a), 5664(a) and 5814.5(c), Welfare and Institutions Code. 
HISTORY

1. New section filed 12-29-2006 as an emergency; operative 12-29-2006 (Register 2006, No. 52). A Certificate of Compliance must be transmitted to OAL by 4-30-2007 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 5-1-2007 as an emergency; operative 5-1-2007 (Register 2007, No. 18). A Certificate of Compliance must be transmitted to OAL by 8-29-2007 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 8-23-2007 as an emergency; operative 8-30-2007 (Register 2007, No. 34). A Certificate of Compliance must be transmitted to OAL by 12-28-2007 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 8-23-2007 order transmitted to OAL 12-28-2007 and filed 2-13-2008 (Register 2008, No. 7).
§3530.30. Full Service Partnership Performance Outcome Data.
Note     •     History

(a) The County shall submit Full Service Partnership Performance Outcome Data, as required in Section 3620.10. 
(b) The data shall be submitted to the Department no later than 90 days after collection. 
NOTE

Authority cited: Section 5898, Welfare and Institutions Code. Reference: Sections 5610(a), 5613(a), 5664(a) and 5814.5(c), Welfare and Institutions Code. 
HISTORY

1. New section filed 12-29-2006 as an emergency; operative 12-29-2006 (Register 2006, No. 52). A Certificate of Compliance must be transmitted to OAL by 4-30-2007 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 5-1-2007 as an emergency; operative 5-1-2007 (Register 2007, No. 18). A Certificate of Compliance must be transmitted to OAL by 8-29-2007 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 8-23-2007 as an emergency; operative 8-30-2007 (Register 2007, No. 34). A Certificate of Compliance must be transmitted to OAL by 12-28-2007 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 8-23-2007 order transmitted to OAL 12-28-2007 and filed 2-13-2008 (Register 2008, No. 7).
§3530.40. Consumer Perception Semi-Annual Survey.
Note     •     History

(a) The County shall conduct a semi-annual survey to collect Consumer Perception data. 
(1) The data to be collected includes, but is not limited to, clients'/families' perceptions of quality and results of services provided. 
(b) The data shall be submitted to the Department no later than 90 days after collection. 
NOTE

Authority cited: Section 5898, Welfare and Institutions Code. Reference: Sections 5610(a), 5613(a), 5664(a) and 5814.5(c), Welfare and Institutions Code. 
HISTORY

1. New section filed 12-29-2006 as an emergency; operative 12-29-2006 (Register 2006, No. 52). A Certificate of Compliance must be transmitted to OAL by 4-30-2007 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 5-1-2007 as an emergency; operative 5-1-2007 (Register 2007, No. 18). A Certificate of Compliance must be transmitted to OAL by 8-29-2007 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 8-23-2007 as an emergency; operative 8-30-2007 (Register 2007, No. 34). A Certificate of Compliance must be transmitted to OAL by 12-28-2007 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 8-23-2007 order transmitted to OAL 12-28-2007 and filed 2-13-2008 (Register 2008, No. 7).
§3540. Information Technology Project Status Report.
Note     •     History

(a) The County shall submit to the Department a status report for any approved Information Technology (IT) project funded with Community Services and Supports (CSS) funds. The report shall include, but not be limited to, the following: 
(1) Project name. 
(2) Report period. 
(3) Project start and end dates. 
(4) Project objectives, as approved by the Department. 
(5) Current overall project status. 
(6) Status of major milestones. 
(7) Budget information including funding sources, budgeted costs, and actual costs to date. 
(8) Major accomplishments. 
(9) Scheduled activities. 
(10) A list of the issues regarding the project, potential risks and the actions that will be or have been taken to avoid or manage the risk or issue. 
(b) The County shall submit the IT Projects Status Report no later than 30 days following the end of each fiscal quarter. 
(c) A final report containing the information required in Section (a) above shall be submitted to the Department within 30 days of completion of each project. The final report shall also include, but is not limited to the following: 
(1) A comparison between the objectives approved by the Department and the objectives achieved. 
(2) Information regarding the acceptance of the completed project by users and management. 
(3) A description of the lessons learned, best practices used to complete the project, and any other factors that contributed to the project's success or failure. 
(A) If problems were encountered, a description of how they were handled. 
(B) If the project failed, or had limited success, a description of corrective actions that could improve the project outcome. 
(4) A description of future phases, enhancements or maintenance necessary for this project. 
(d) If the County does not submit the required information within the established timeframes the Department may withhold MHSA funds. 
NOTE

Authority cited: Section 5898, Welfare and Institutions Code. Reference: Sections 5804(c), 5847(a), and 5848(c) Welfare and Institutions Code. 
HISTORY

1. New section filed 12-29-2006 as an emergency; operative 12-29-2006 (Register 2006, No. 52). A Certificate of Compliance must be transmitted to OAL by 4-30-2007 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 5-1-2007 as an emergency; operative 5-1-2007 (Register 2007, No. 18). A Certificate of Compliance must be transmitted to OAL by 8-29-2007 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 8-23-2007 as an emergency; operative 8-30-2007 (Register 2007, No. 34). A Certificate of Compliance must be transmitted to OAL by 12-28-2007 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 8-23-2007 order, including renumbering of former subsection (c)(5) to (c)(4), transmitted to OAL 12-28-2007 and filed 2-13-2008 (Register 2008, No. 7).
§3550. Workforce Education and Training Annual Report.
Note     •     History

(a) The County shall submit the Workforce Education and Training Annual Report to the Department for the approved Workforce Education and Training component of the County's Three-Year Program and Expenditure Plan and/or update. This report shall be included as part of the County's annual reporting requirements and shall include, but not be limited to, the following:
(1) Reporting Fiscal Year.
(2) A list of County actions within the funding categories in Section 3840.
(3) Scheduled activities and major accomplishments, by funding category.
(4) A list of issues, if any, that have impeded the County's ability to accomplish the objectives identified in section 3820, subdivision (a)(2)(C). 
(b) The Workforce Education and Training Annual Report shall be submitted no later than December 31 following the end of the fiscal year.
(c) If the County does not submit the Workforce Education and Training Annual Report by the deadline in (b) above, the Department may withhold MHSA funds.
NOTE

Authority cited: Section 5898, Welfare and Institutions Code. Reference: Sections 5820 and 5897, Welfare and Institutions Code.
HISTORY

1. New section filed 11-4-2009; operative 12-4-2009 (Register 2009, No. 45).
2. Editorial correction of subsection (a)(4) (Register 2011, No. 9).
Article 6. Community Services and Supports
§3610. General Community Services and Supports Requirements.
Note     •     History

(a) The following shall be incorporated into the mental health programs and/or services funded through the Community Services and Supports (CSS) component. 
(1) The principles of the Adult and Older Adult Mental Health Systems of Care, including the Integrated Services for the Homeless Mentally Ill Program, in Welfare and Institutions Code (WIC) Section 5800 et. seq. 
(2) The principles of the Children's Mental Health Services Act in WIC 5850 et. seq. 
(3) The General Standards in Section 3320. 
(b) The County shall establish peer support and family education support services or expand these services to meet the needs and preferences of clients and/or family members. 
(1) The County shall conduct outreach to provide equal opportunities for peers who share the diverse racial/ethnic, cultural, and linguistic characteristics of the individuals/clients served. 
(c) The County shall include a wrap-around program for services to children in accordance with WIC Section 18250 et seq, or provide substantial evidence that it is not feasible to establish a wrap-around program. 
(d) MHSA funds may only be used to pay for those portions of the mental health programs/services for which there is no other source of funding available. 
(e) When CSS programs/services include collaboration with the juvenile or criminal justice systems, any law enforcement function and/or any function that supports a law enforcement purpose shall not be funded. 
(f) The County shall not provide MHSA funded services to individuals incarcerated in state/federal prisons or for parolees from state/federal prisons. 
(g) The County may use MHSA funds for programs/services provided in juvenile halls and/or county jails only for the purpose of facilitating discharge. 
NOTE

Authority cited: Section 5898, Welfare and Institutions Code. Reference: Sections 5714(f), 5802(d)(4), 5813.5, 5814(f)(2), 5851(c)(3), 5878.1, 5878.3(a), 5891 and 5892, Welfare and Institutions Code. 
HISTORY

1. New article 6 (sections 3610-3650) and section filed 12-29-2006 as an emergency; operative 12-29-2006 (Register 2006, No. 52). A Certificate of Compliance must be transmitted to OAL by 4-30-2007 or emergency language will be repealed by operation of law on the following day.
2. New article 6 (sections 3610-3650) and section refiled 5-1-2007 as an emergency; operative 5-1-2007 (Register 2007, No. 18). A Certificate of Compliance must be transmitted to OAL by 8-29-2007 or emergency language will be repealed by operation of law on the following day.
3. New article 6 (sections 3610-3650) and section refiled 8-23-2007 as an emergency; operative 8-30-2007 (Register 2007, No. 34). A Certificate of Compliance must be transmitted to OAL by 12-28-2007 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 8-23-2007 order transmitted to OAL 12-28-2007 and filed 2-13-2008 (Register 2008, No. 7).
§3615. Community Services and Supports Service Categories.
Note     •     History

(a) The Community Services and Supports (CSS) component contains four service categories: 
(1) Full Service Partnership. 
(2) General System Development. 
(3) Outreach and Engagement. 
(4) Mental Health Services Act Housing Program.
NOTE

Authority cited: Section 5898, Welfare and Institutions Code. Reference: Sections 5813.5, 5814(a)(2), 5847(a)(2) and (3), 5848(c), 5890(a) and (c), 5897(e), Welfare and Institutions Code. 
HISTORY

1. New section filed 12-29-2006 as an emergency; operative 12-29-2006 (Register 2006, No. 52). A Certificate of Compliance must be transmitted to OAL by 4-30-2007 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 5-1-2007 as an emergency; operative 5-1-2007 (Register 2007, No. 18). A Certificate of Compliance must be transmitted to OAL by 8-29-2007 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 8-23-2007 as an emergency; operative 8-30-2007 (Register 2007, No. 34). A Certificate of Compliance must be transmitted to OAL by 12-28-2007 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 8-23-2007 order, including amendment of subsection (a) and new subsection (a)(4), transmitted to OAL 12-28-2007 and filed 2-13-2008 (Register 2008, No. 7).
§3620. Full Service Partnership Service Category.
Note     •     History

(a) The County shall develop and operate programs to provide services under the Full Service Partnership Service Category. The services to be provided for each client with whom the County has a full service partnership agreement may include the Full Spectrum of Community Services necessary to attain the goals identified in the Individual Services and Supports Plan (ISSP). The services to be provided may also include services the County, in collaboration with the client, and when appropriate the client's family, believe are necessary to address unforeseen circumstances in the client's life that could be, but have not yet been included in the ISSP. 
(1) The Full Spectrum of Community Services consists of the following: 
(A) Mental health services and supports including, but not limited to: 
(i) Mental health treatment, including alternative and culturally specific treatments. 
(ii) Peer support. 
(iii) Supportive services to assist the client, and when appropriate the client's family, in obtaining and maintaining employment, housing, and/or education. 
(iv) Wellness centers. 
(v) Alternative treatment and culturally specific treatment approaches. 
(vi) Personal service coordination/case management to assist the client, and when appropriate the client's family, to access needed medical, educational, social, vocational rehabilitative and/or other community services. 
(vii) Needs assessment. 
(viii) ISSP development. 
(ix) Crisis intervention/stabilization services. 
(x) Family education services. 
(B) Non-mental health services and supports including, but not limited to: 
(i) Food. 
(ii) Clothing. 
(iii) Housing, including, but not limited to, rent subsidies, housing vouchers, house payments, residence in a drug/alcohol rehabilitation program, and transitional and temporary housing. 
(iv) Cost of health care treatment. 
(v) Cost of treatment of co-occurring conditions, such as substance abuse. 
(vi) Respite care. 
(C) Wrap-around services to children in accordance with WIC Section 18250 et. seq. 
(b) The County may pay for the full spectrum of community services when it is cost effective and consistent with the ISSP. 
(c) The County shall direct the majority of its Community Services and Supports funds to the Full-Service Partnership Service Category. 
(1) Small Counties shall fulfill this requirement no later than Fiscal Year 2008-09. 
(2) Services designed under General System Development and/or Outreach and Engagement that benefit clients and/or their families in Full Service Partnerships can be used on a pro-rated basis to meet the requirement in (c) above. 
(3) Funds for the Mental Health Services Act Housing Program shall be excluded from determinations of whether the County has directed the majority of its Community Services and Supports funds to the Full Service Partnership Service Category.
(d) The County shall give priority to populations that are unserved as defined in Section 3200.310. 
(e) The County shall enter into a full service partnership agreement with each client served under the Full Service Partnership Service Category, and when appropriate the client's family. 
(f) The County shall designate a Personal Service Coordinator/Case Manager for each client, and when appropriate the client's family, to be the single point of responsibility for that client/family. 
(1) The County shall provide a sufficient number of Personal Service Coordinators/Case Managers to ensure that: 
(A) Availability is appropriate to the service needs of the client/family. 
(B) Individualized attention is provided to the client/family. 
(C) Intensive services and supports are provided, as needed. 
(g) The County shall ensure that an ISSP is developed for each client. 
(h) The County shall ensure that the Personal Service Coordinator/Case Manager: 
(1) Is responsible for developing the ISSP with the client, and when appropriate the client's family. 
(A) The Personal Service Coordinator/Case Manager shall ensure that the ISSP is developed in collaboration with other agencies that have a shared responsibility for services and/or supports to the client, and when appropriate the client's family. 
(2) Is culturally and linguistically competent, or at a minimum, is educated and trained in linguistic and cultural competence, and has knowledge of available resources within the client's/family's racial/ethnic community. 
(i) The County shall ensure that a Personal Service Coordinator/Case Manager or other qualified individual known to the client/family is available to respond to the client/family 24 hours a day, 7 days a week to provide after-hour intervention. 
(1) In the event of an emergency when a Personal Service Coordinator/Case Manager or other qualified individual known to the client/family is not available, the County shall ensure that another qualified individual is available to respond to the client/family 24 hours a day, 7 days a week to provide after-hour intervention. 
(2) Small Counties may meet this requirement through the use of peers or community partners, such as community-based organizations, who are known to the client/family. 
(j) The County shall provide services to all age groups; i.e., older adults, adults, transition age youth and children/youth, in the Full Service Partnerships Service Category. 
(1) If Full Service Partnership services are not provided to all age groups, the County shall explain the reason, and specify how and when all age groups will be served. 
(k) Notwithstanding Section 3400 (b)(2), the County may pay for short-term acute inpatient treatment, for clients in Full Service Partnerships when the client is uninsured for this service or there are no other funds available for this purpose. 
(l) Long-term hospital and/or long-term institutional care cannot be paid for with MHSA funds. 
NOTE

Authority cited: Section 5898, Welfare and Institutions Code. Reference: Sections 5345, 5600.2(d), 5600.3(b), 5600.3(c), 5801, 5802(a)(1) and (4), 5806, 5813.5(a), 5813.5(d), 5813.5(f), 5840(a), 5847(a)(2) and (3), 5847(c), 5878(b) and 5878.1(a), Welfare and Institutions Code. 
HISTORY

1. New section filed 12-29-2006 as an emergency; operative 12-29-2006 (Register 2006, No. 52). A Certificate of Compliance must be transmitted to OAL by 4-30-2007 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 5-1-2007 as an emergency; operative 5-1-2007 (Register 2007, No. 18). A Certificate of Compliance must be transmitted to OAL by 8-29-2007 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 8-23-2007 as an emergency; operative 8-30-2007 (Register 2007, No. 34). A Certificate of Compliance must be transmitted to OAL by 12-28-2007 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 8-23-2007 order, including new subsection (c)(3) and amendment of subsection (k), transmitted to OAL 12-28-2007 and filed 2-13-2008 (Register 2008, No. 7).
§3620.05. Criteria for Full Service Partnerships Service Category
Note     •     History

(a) Individuals selected for participation in the Full Service Partnership Service Category must meet the eligibility criteria in Welfare and Institutions Code (WIC) Section WIC Section 5600.3(a) for children and youth, WIC Section 5600.3(b) for adults and older adults or WIC Section 5600.3(c) for adults and older adults at risk. 
(b) Transition age youth, in addition to (a) above, must meet the criteria below. 
(1) They are unserved or underserved and one of the following: 
(A) Homeless or at risk of being homeless. 
(B) Aging out of the child and youth mental health system. 
(C) Aging out of the child welfare systems 
(D) Aging out of the juvenile justice system. 
(E) Involved in the criminal justice system. 
(F) At risk of involuntary hospitalization or institutionalization. 
(G) Have experienced a first episode of serious mental illness. 
(c) Adults, in addition to (a) above, must meet the criteria in either (1) or (2) below. 
(1) They are unserved and one of the following: 
(A) Homeless or at risk of becoming homeless. 
(B) Involved in the criminal justice system. 
(C) Frequent users of hospital and/or emergency room services as the primary resource for mental health treatment. 
(2) They are underserved and at risk of one of the following: 
(A) Homelessness. 
(B) Involvement in the criminal justice system. 
(C) Institutionalization. 
(d) Older adults, in addition to (a) above, must meet the criteria in either (1) or (2) below: 
(1) They are unserved and one of the following: 
(A) Experiencing a reduction in personal and/or community functioning. 
(B) Homeless. 
(C) At risk of becoming homeless. 
(D) At risk of becoming institutionalized. 
(E) At risk of out-of-home care. 
(F) At risk of becoming frequent users of hospital and/or emergency room services as the primary resource for mental health treatment. 
(2) They are underserved and at risk of one of the following: 
(A) Homelessness. 
(B) Institutionalization. 
(C) Nursing home or out-of-home care. 
(D) Frequent users of hospital and/or emergency room services as the primary resource for mental health treatment. 
(E) Involvement in the criminal justice system. 
(e) This section shall not prevent the County from providing services to clients with co-occurring conditions, including substance abuse, physical conditions/disorders, and/or developmental disorders/disabilities. 
NOTE

Authority cited: Section 5898, Welfare and Institutions Code. Reference: Sections 5813.5, 5878.1, and 5878.3, Welfare and Institutions Code. 
HISTORY

1. New section filed 12-29-2006 as an emergency; operative 12-29-2006 (Register 2006, No. 52). A Certificate of Compliance must be transmitted to OAL by 4-30-2007 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 5-1-2007 as an emergency; operative 5-1-2007 (Register 2007, No. 18). A Certificate of Compliance must be transmitted to OAL by 8-29-2007 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 8-23-2007 as an emergency; operative 8-30-2007 (Register 2007, No. 34). A Certificate of Compliance must be transmitted to OAL by 12-28-2007 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 8-23-2007 order transmitted to OAL 12-28-2007 and filed 2-13-2008 (Register 2008, No. 7).
§3620.10. Full Service Partnership Data Collection Requirements.
Note     •     History

(a) The County shall conduct a Partnership Assessment of the client at the time the full service partnership agreement is created between the County and the client, and when appropriate the client's family. The County shall collect information as appropriate including, but not limited to: 
(1) General administrative data. 
(2) Residential status, including hospitalization or incarceration. 
(3) Educational status. 
(4) Employment status. 
(5) Legal issues/designation. 
(6) Sources of financial support. 
(7) Health status. 
(8) Substance abuse issues. 
(9) Assessment of daily living functions, when appropriate. 
(10) Emergency interventions. 
(b) The County shall collect the following key event data: 
(1) Emergency interventions. 
(2) Changes in: 
(A) Administrative data. 
(B) Residential status. 
(C) Educational status. 
(D) Employment status. 
(E) Legal issues/designation. 
(c) The County shall review and update, through the Quarterly Assessment, the following information: 
(1) Educational status. 
(2) Sources of financial support. 
(3) Legal issues/designation. 
(4) Health status. 
(5) Substance abuse issues. 
(d) The data required by (a), (b), and (c) above shall be submitted to the Department within 90 days of collection, as required by Section 3530.30. 
NOTE

Authority cited: Section 5898, Welfare and Institutions Code. Reference: Sections 5610(a), 5610(d)(1), and 5664(a), Welfare and Institutions Code. 
HISTORY

1. New section filed 12-29-2006 as an emergency; operative 12-29-2006 (Register 2006, No. 52). A Certificate of Compliance must be transmitted to OAL by 4-30-2007 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 5-1-2007 as an emergency; operative 5-1-2007 (Register 2007, No. 18). A Certificate of Compliance must be transmitted to OAL by 8-29-2007 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 8-23-2007 as an emergency; operative 8-30-2007 (Register 2007, No. 34). A Certificate of Compliance must be transmitted to OAL by 12-28-2007 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 8-23-2007 order transmitted to OAL 12-28-2007 and filed 2-13-2008 (Register 2008, No. 7).
§3630. General System Development Service Category.
Note     •     History

(a) The County may develop and operate programs to provide mental health services to clients specified in Welfare and Institutions Code Section 5600.3 (a), (b) or (c), and when appropriate the clients' families. 
(b) General System Development Funds may only be used to: 
(1) Provide one or more of the following mental health services and supports: 
(A) Mental health treatment, including alternative and culturally specific treatments. 
(B) Peer support. 
(C) Supportive services to assist the client, and when appropriate the client's family, in obtaining employment, housing, and/or education. 
(D) Wellness centers. 
(E) Personal service coordination/case management/personal service coordination to assist the client, and when appropriate the client's family, to access needed medical, educational, social, vocational rehabilitative or other community services. 
(F) Needs assessment. 
(G) Individual Services and Supports Plan development. 
(H) Crisis intervention/stabilization services. 
(I) Family education services. 
(J) Project-Based Housing program.
(2) Improve the county mental health service delivery system for all clients and their families. 
(3) Develop and implement strategies for reducing ethnic/racial disparities. 
(c) When the County works in collaboration with other non-mental health community programs and/or services, only the costs directly associated with providing the mental health services and supports, as specified in (b) above, shall be paid under the General System Development Service Category. 
NOTE

Authority cited: Section 5898, Welfare and Institutions Code. Reference: Sections 5813.5(a), 5813.5(c), 5813.5(d) and 5878.1(a), Welfare and Institutions Code. 
HISTORY

1. New section filed 12-29-2006 as an emergency; operative 12-29-2006 (Register 2006, No. 52). A Certificate of Compliance must be transmitted to OAL by 4-30-2007 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 5-1-2007 as an emergency; operative 5-1-2007 (Register 2007, No. 18). A Certificate of Compliance must be transmitted to OAL by 8-29-2007 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 8-23-2007 as an emergency; operative 8-30-2007 (Register 2007, No. 34). A Certificate of Compliance must be transmitted to OAL by 12-28-2007 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 8-23-2007 order transmitted to OAL 12-28-2007 and filed 2-13-2008 (Register 2008, No. 7).
5. New subsection (b)(1)(J) and amendment of Note filed 12-6-2010; operative 1-5-2011 (Register 2010, No. 50).
§3630.05. Project-Based Housing Program.
Note     •     History

(a) The County may use General System Development funds for costs associated with Project-Based Housing, including but not limited to:
(1) Purchasing/renovating/constructing Project-Based Housing.
(2) Master leasing of Project-Based Housing.
(A) The lease between the County and the property owner shall specify that the County shall select the tenants and collect payments from the tenants for the Project-Based Housing.
(3) Repairing damage to the Project-Based Housing in which a tenant resides/resided.
(4) Establishing and maintaining a Capitalized Operating Subsidy Reserve, as defined in section 3200.028.
(5) Establishing a Project-Based Housing Fund.
(A) This Fund shall be an irrevocable transfer of money from the County to a local government housing entity for a specific Project-Based Housing program within the County.
(B) If the County and the local government housing entity determine that completion of the Project-Based Housing program is not feasible, the money shall remain in the Fund for redirection to other approved Project-Based Housing programs.
(b) The County shall not use General System Development funds for client-based housing expenditures, including, but not limited to, housing vouchers, rental subsidies, utility startup deposits, utility costs and furniture rental.
NOTE

Authority cited: Section 5898, Welfare and Institutions Code. Reference: Sections 5813.5(a), 5813.5(c), 5813.5(d) and 5878.1(a), Welfare and Institutions Code.
HISTORY

1. New section filed 12-6-2010; operative 1-5-2011 (Register 2010, No. 50).
§3630.10. Requirements for a Project-Based Housing Program.
Note     •     History

(a) The County shall have the responsibility to ensure compliance with the following requirements when General System Development funds are used for Project-Based Housing:
(1) The unit(s) shall be used for the purpose of providing housing as specified in the County's approved Three-Year Program and Expenditure Plan and/or update, for a minimum of 20 years.
(A) Housing units owned by an individual(s) or non-government agency shall have a regulatory agreement, covenant, or deed restriction that requires the Project-Based Housing to be used for the program as described in the work plan in the County's approved Three-Year Program and Expenditure Plan and/or update for a minimum of 20 years.
(i) The above requirement shall not apply to Master Leasing of Project-Based Housing.
(2) Project-Based Housing constructed on land purchased with General System Development Funds is required to meet the 20 year obligation as specified in subdivision (a)(1) above, regardless of the funding source for the housing units.
(b) Project-Based Housing purchased, constructed and/or renovated with General System Development funds shall comply with all applicable federal, state and local laws and regulations including, but not limited to:
(1) Fair housing law(s).
(2) American Disabilities Act, 42 U.S.C. Sec. 12101 et seq.
(3) California Government Code section 11135.
(4) Zoning and building codes and requirements.
(5) Licensing requirements, if applicable.
(6) Fire safety requirements.
(7) Environmental reporting and requirements.
(8) Hazardous materials requirements.
(c) Project-Based Housing purchased, constructed and/or renovated with General System Development funds shall have appropriate fire, disaster, and liability insurance.
(d) The County shall ensure that the owner of the Project-Based Housing applies for rental and/or operating subsidies from all other applicable and appropriate sources, including project-based Section 8 and HUD McKinney programs and local rental subsidy programs.
(1) The requirement of subdivision (d) above does not apply when the Project-Based Housing is under a lease agreement with the County. 
(e) The County shall report any violations of subdivision (a)(1) above to the Department within 60 days of the date the violation is discovered.
(f) The County and the owner of the Project-Based Housing shall maintain, as appropriate, tenant payment records, leasing records and/or financial information for audit by the Department.
(1) All required records shall be available to the Department to inspect, audit, and copy upon demand during normal business hours.
(2) Records may be removed during an audit, if necessary, for copying. 
(g) If the Department determines, through an audit or on the basis of other information, that the Project-Based Housing program is not following the work plan specified in the County's Three-Year Program and Expenditure Plan and/or update, the County may be required to return to the Department all or part of the funds.
NOTE

Authority cited: Section 5898, Welfare and Institutions Code. Reference: Sections 5813.5(a), 5813.5(c), 5813.5(d) and 5878.1(a), Welfare and Institutions Code.
HISTORY

1. New section filed 12-6-2010; operative 1-5-2011 (Register 2010, No. 50).
§3630.15. Capitalized Operating Subsidy Reserve.
Note     •     History

(a) General System Development funds used by the County to establish a Capitalized Operating Subsidy Reserve shall meet the following requirements:
(1) Funds for the Capitalized Operating Subsidy Reserve shall be deposited into a County-administered account prior to occupancy of the Project-Based Housing.
(2) The amount deposited into the reserve account shall be based on the difference between the anticipated tenant portion of the rent minus revenue lost from anticipated vacancies and the estimated annual operating expenses of the Project-Based Housing.
(A) Operating subsidies for subsidized units shall be calculated on a 20-year projection. The calculation may or may not result in actual funds being available for the full 20 years.
(B) The amount to be deposited in the reserve shall be included in the work plan required in section 3650, subdivision (a)(6).
(b) Capitalized Operating Subsidies may be reduced or terminated under the following circumstances:
(1) The tenant occupying the Project-Based Housing has a rental subsidy from another source. 
(2) The Project-Based Housing receives rental subsidies from non-General System Development funding sources. 
(A) Project-Based Housing that receive rent or operating subsidy contracts from other sources may receive Capitalized Operating Subsidies for expenses not covered by those subsidy contract(s).
(3) The Department or the County determines that the Project-Based Housing program is not following the work plan in the County's approved Three-Year Program and Expenditure Plan and/or update.
NOTE

Authority cited: Section 5898, Welfare and Institutions Code. Reference: Sections 5813.5(a), 5813.5(c), 5813.5(d) and 5878.1(a), Welfare and Institutions Code.
HISTORY

1. New section filed 12-6-2010; operative 1-5-2011 (Register 2010, No. 50).
§3640. Outreach and Engagement.
Note     •     History

(a) The County may develop and operate outreach programs/activities for the purpose of identifying unserved individuals who meet the criteria of Welfare and Institutions Code Sections 5600.3 (a), (b) or (c) in order to engage them, and when appropriate their families, in the mental health system so that they receive the appropriate services. 
(b) Outreach and Engagement funds may be used to pay for: 
(1) Strategies to reduce ethnic/racial disparities. 
(2) Food, clothing, and shelter, but only when the purpose is to engage unserved individuals, and when appropriate their families, in the mental health system. 
(3) Outreach to entities such as: 
(A) Community based organizations. 
(B) Schools. 
(C) Tribal communities. 
(D) Primary care providers. 
(E) Faith-based organizations. 
(4) Outreach to individuals such as: 
(A) Community leaders. 
(B) Those who are homeless. 
(C) Those who are incarcerated in county facilities. 
(c) When the County works in collaboration with other non-mental health community programs and/or services, only the costs directly associated with providing mental health services and supports shall be paid under the Outreach and Engagement Service Category. 
NOTE

Authority cited: Section 5898, Welfare and Institutions Code. Reference: Sections 5600.2(d), 5600.3(b)(4), 5681(b), 5802(a)(1), 5802(d)(4), 5806(a)(2) and (3), 5813.5, 5814(a)(4)(A), 5814(d), and 5847(a)(2) and (3), Welfare and Institutions Code; and Section 3, MHSA. 
HISTORY

1. New section filed 12-29-2006 as an emergency; operative 12-29-2006 (Register 2006, No. 52). A Certificate of Compliance must be transmitted to OAL by 4-30-2007 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 5-1-2007 as an emergency; operative 5-1-2007 (Register 2007, No. 18). A Certificate of Compliance must be transmitted to OAL by 8-29-2007 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 8-23-2007 as an emergency; operative 8-30-2007 (Register 2007, No. 34). A Certificate of Compliance must be transmitted to OAL by 12-28-2007 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 8-23-2007 order, including amendment of subsection (b)(4)(C), transmitted to OAL 12-28-2007 and filed 2-13-2008 (Register 2008, No. 7).
§3650. Community Services and Supports Component of the Three-Year Program and Expenditure Plan.
Note     •     History

(a) The Community Services and Supports (CSS) component shall include the following: 
(1) Assessment of Mental Health Needs: The County shall assess and submit a narrative analysis of the mental health needs of unserved, underserved/inappropriately served, and fully served county residents who qualify for MHSA services. 
(A) The analysis shall identify the number of older adults, adults, transition age youth and children/youth by gender, race/ethnicity and primary language. 
(B) The assessment data used shall include racial/ethnic, age, and gender disparities. 
(2) Identification of Issues: The County shall submit a list of community mental health issues resulting from lack of mental health services and supports, as identified through the Community Program Planning Process required by Section 3300. The list shall: 
(A) Categorize the issues by age group, i.e, older adults, adults, transition age youth and children/youth. 
(B) Identify issues that will be priorities in the CSS component of the Three-Year Program and Expenditure Plans. 
(C) For each of the issues identified as priorities in (B) above, describe the factors/criteria used to determine that the issue is a priority. 
(D) For each of the issues identified as a priority, describe any racial/ethnic and gender disparities including, but not limited to: 
(i) Access to services. 
(ii) Quality of care. 
(iii) Access disparities of Native Americans, rancherias and/or reservations. 
(iv) Disproportionate representation in the homeless population. 
(v) Disproportionate representation in the juvenile and/or criminal justice systems. 
(vi) Disproportionate representation in foster care. 
(vii) Disproportionate representation in school achievement, and drop-out rates. 
(3) Identification of Full Service Partnership Population: The County shall provide an estimate of the number of clients, in each age group, to be served in the Full Service Partnership Service Category for each fiscal year of the Three-Year Program and Expenditure Plans. The County shall describe how the selections for Full Service Partnerships will reduce the identified disparities. 
(4) Proposed Programs/Services: The County shall provide: 
(A) A list of the proposed programs/services, identified by the service category under which the program/service will be funded. 
(B) A description of each proposed program/service. 
(C) An explanation of how each program/service relates to the issues identified in the Community Program Planning Process, including how each program/service will reduce or eliminate the disparities identified. 
(5) County's Capacity to Implement: The County shall provide an assessment of its capacity to implement the proposed programs/services. The assessment shall include: 
(A) The strengths and limitations of the County and service providers that impact their ability to meet the needs of racially and ethnically diverse populations. The evaluation shall include an assessment of bilingual proficiency in threshold languages. 
(B) Percentages of diverse cultural, racial/ethnic and linguistic groups represented among direct service providers, as compared to percentage of the total population needing services and the total population being served. 
(C) Identification of possible barriers to implementing the proposed programs/services and methods of addressing these barriers. 
(6) Program/Service Work Plans: The County shall submit a separate work plan for each proposed program/service. The work plan shall include, but not be limited to: 
(A) A narrative description and summary of the program/service. 
(B) A narrative explanation of the budget by fiscal year. 
(i) The explanation shall include the amount to be deposited in the Capitalized Operating Subsidy Reserve for a Project-Based Housing program. 
(C) A budget work sheet by fiscal year, including staffing details. 
(D) The target number of clients/individuals to be served by fiscal year. 
(E) A breakdown of the Full Service Partnership population by fiscal year, identifying: 
(i) The number of clients to be served, according to gender, race/ethnicity, linguistic group, and age. 
(ii) The percentage of unserved individuals and underserved clients. 
(F) Small counties proposing to provide full service partnership programs/services in Fiscal Year 2008-09 must only identify the population to be served and the amount of funding to be reserved for this purpose. Prior to implementation, detailed work plans, time frames, budgets and staffing requirements will be required for each Full Service Partnership program to ensure review and approval by the Department and the Oversight and Accountability Commission (OAC), as appropriate. 
(b) The Community Services and Supports component of the Three-Year Program and Expenditure Plan shall be signed by the County Mental Health Director. 
NOTE

Authority cited: Section 5898, Welfare and Institutions Code. Reference: Sections 5664(a), 5813.5, 5830(a)(1), 5830(a)(2), 5830(a)(4), 5847(a)(2), 5847(a)(3), 5847(c)-(e), 5848(c) and 5878.1, Welfare and Institutions Code. 
HISTORY

1. New section filed 12-29-2006 as an emergency; operative 12-29-2006 (Register 2006, No. 52). A Certificate of Compliance must be transmitted to OAL by 4-30-2007 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 5-1-2007 as an emergency; operative 5-1-2007 (Register 2007, No. 18). A Certificate of Compliance must be transmitted to OAL by 8-29-2007 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 8-23-2007 as an emergency; operative 8-30-2007 (Register 2007, No. 34). A Certificate of Compliance must be transmitted to OAL by 12-28-2007 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 8-23-2007 order transmitted to OAL 12-28-2007 and filed 2-13-2008 (Register 2008, No. 7).
5. New subsection (a)(6)(B)(i) filed 12-6-2010; operative 1-5-2011 (Register 2010, No. 50).
Article 8. Workforce Education and Training
§3810. General Workforce Education and Training Requirements.
Note     •     History

(a) Workforce Education and Training programs and activities shall address workforce shortages and deficits identified in the Workforce Needs Assessment required by Section 3830 of the regulations and use one or more of the strategies in Welfare and Institutions Code Section 5822(a)-(i).
(b) The County shall designate a Workforce Education and Training Coordinator whose duties shall include, but not be limited to:
(1) Coordinating Workforce Education and Training programs and activities.
(2) Acting as a liaison to the Department.
(c) Workforce Education and Training funds may be used to:
(1) Educate the Public Mental Health System workforce on incorporating the General Standards in Section 3320 into its work.
(2) Increase the number of clients and family members of clients employed in the Public Mental Health System through activities such as: 
(A) Recruitment.
(B) Supported employment services, as defined in Section 3200.275. 
(C) Creating and implementing promotional opportunities.
(D) Creating and implementing policies that promote job retention. 
(3) Conduct focused outreach and recruitment to provide equal employment opportunities in the Public Mental Health System for individuals who share the racial/ethnic, cultural and/or linguistic characteristics of clients, family members of clients and others in the community who have serious mental illness and/or serious emotional disturbance.
(4) Recruit, employ and support the employment of individuals in the Public Mental Health System who are culturally and linguistically competent or, at a minimum, are educated and trained in cultural competence as defined in Section 3200.100, and linguistic competence, as defined in Section 3200.210. 
(5) Provide financial incentives to recruit or retain employees within the Public Mental Health System.
(6) Incorporate the input of clients and family members of clients and, whenever possible, utilize them as trainers and consultants in public mental health Workforce Education and Training programs and/or activities.
(7) Incorporate the input of diverse racial/ethnic populations that reflect California's general population into Workforce Education and Training programs and/or activities.
(8) Establish Regional Partnerships, as defined in Section 3200.255.
(9) Coordinate Workforce Education and Training programs and/or activities.
(d) Workforce Education and Training funds may not be used to:
(1) Address the workforce recruitment and retention needs of systems other than the Public Mental Health System, such as criminal justice, social services, and other non-mental health systems.
(2) Pay for staff time spent providing direct public mental health services. 
(A) Staff time spent supervising interns and/or residents who are providing direct public mental health services through an internship or residency program may be funded.
(3) Off-set lost revenues that would have been generated by staff who participate in Workforce Education and Training programs and/or activities.
(e) Programs and/or activities shall incorporate the General Standards in Section 3320 and program content shall be consistent with these standards.
(f) Employees and volunteers in the Public Mental Health System workforce, whether paid or not, may participate in Workforce Education and Training programs and/or activities. 
(g) The County may supplement any Department administered Workforce Education and Training program by using the County's Workforce Education and Training funds to:
(1) Expand that program within the county.
(2) Create programs within the county that are similar to those administered by the Department.
NOTE

Authority cited: Section 5898, Welfare and Institutions Code. Reference: Sections 5813.5, 5820, 5821 and 5822, Welfare and Institutions Code; and Section 3, MHSA.
HISTORY

1. New article 8 (sections 3810-3856) and section filed 11-4-2009; operative 12-4-2009 (Register 2009, No. 45).
§3820. Workforce Education and Training Component of the Three-Year Program and Expenditure Plan.
Note     •     History

(a) The Workforce Education and Training component of the Three-Year Program and Expenditure Plan, and/or the update, shall include the following:
(1) A Workforce Needs Assessment, as described in Section 3830, if such an assessment has not been performed within the prior five years. 
(2) A work detail for each program and/or activity, that includes:
(A) The title of the program and/or activity.
(B) A description of the program and/or activity.
(C) The objectives of the program and/or activity.
(D) The funding category under which the program and/or activity will be funded.
(E) A budget narrative, including the projected costs used to prepare the budget for the program and/or activity.
(b) The Workforce Education and Training component of the Three-Year Program and Expenditure Plan and/or the update shall describe how each program and/or activity:
(1) Meets the workforce education and training needs identified in the County's most recent Workforce Needs Assessment.
(2) Employs one or more of the strategies in Welfare and Institutions Code Section 5822(a)-(i). 
(c) The Workforce Education and Training component of the Three-Year Program and Expenditure Plan and/or the update shall include written certification by the County Mental Health Director that the County has complied with all applicable requirements.
(d) The County shall provide the name and contact information of the Workforce Education and Training Coordinator required in Section 3810(b). 
(e) The Workforce Education and Training component of the Three-Year Program and Expenditure Plan and/or the update shall contain a budget summary for each fiscal year, which shall include the total budgeted for each funding category. 
(1) The County's budget shall not be approved if it exceeds the amount of funds that has been established by the Department as the County's Planning Estimate for the Workforce Education and Training component of the Three-Year Program and Expenditure Plan.
NOTE

Authority cited: Section 5898, Welfare and Institutions Code. Reference: Sections 5820, 5822 and 5848, Welfare and Institutions Code; and Section 3, MHSA.
HISTORY

1. New section filed 11-4-2009; operative 12-4-2009 (Register 2009, No. 45).
§3830. Workforce Needs Assessment.
Note     •     History

(a) The County shall conduct an assessment of the education and training needs of its Public Mental Health System workforce and prepare a written Workforce Needs Assessment that identifies and evaluates the identified needs.
(1) The County shall conduct the Workforce Needs Assessment at least once every five years.
(b) The Workforce Needs Assessment shall include all of the following:
(1) A list of occupations in the Public Mental Health System within the following categories and the number of individuals in each occupation. 
(A) Licensed mental health staff who provide services to clients of the Public Mental Health System.
(B) Mental health staff, not required to be licensed, who provide services to clients of the Public Mental Health System.
(C) Other health care professionals who provide services, such as physicians, rehabilitation therapists and traditional cultural healers.
(D) Managerial and supervisory positions. 
(i) A position shall be counted as managerial or supervisory if more than 50% of the individual's time is spent managing or supervising others.
(E) Personnel who provide support to staff providing services to clients in the Public Mental Health System.
(i) Only include staff employed within the Public Mental Health System. 
(2) For each occupation in (1) above, estimate the number of additional positions needed and the number of positions the County determines to be hard-to-fill or for which it is hard to retain staff.
(A) If a position is either hard-to-fill or a position in which it is hard to retain staff in certain areas of the county, the specific area(s) shall be identified.
(3) For each occupation in (1) above, the number of positions, including job title and/or job description, for which recruitment priority is given to clients and/or family members of clients.
(4) For each occupation in (1) above, an estimate of the number of personnel within each racial/ethnic group, as identified through voluntary self-reported data.
(5) The estimated number of clients and family members of clients within each racial/ethnic group that the Public Mental Health System will serve during the time period addressed in the Workforce Needs Assessment.
(6) A list of the languages in which staff proficiency is required to ensure access to and quality of public mental health services for individuals whose primary language is not English. For each language listed, the County shall indicate:
(A) The number of staff who are proficient in that language.
(B) The estimated number of additional staff necessary to meet the need.
(7) The number of employees and volunteers in the Public Mental Health System in each of the following categories:
(A) Those employees, volunteers and/or individuals under contract who are directly supervised by County staff.
(B) Those employees, volunteers and/or individuals under contract who are directly supervised by contract agency staff.
(8) Additional workforce needs identified through the Workforce Needs Assessment. 
NOTE

Authority cited: Section 5898, Welfare and Institutions Code. Reference: Sections 5813.5, 5820, 5822 and 5848, Welfare and Institutions Code; and Section 3, MHSA.
HISTORY

1. New section filed 11-4-2009; operative 12-4-2009 (Register 2009, No. 45).
§3840. Workforce Education and Training Funding Categories.
Note     •     History

(a) The Workforce Education and Training component contains five funding categories:
(1) Training and Technical Assistance.
(2) Mental Health Career Pathway Programs.
(3) Residency and Internship Programs.
(4) Financial Incentive Programs.
(5) Workforce Staffing Support.
(b) The Workforce Education and Training component of the Three-Year Program and Expenditure Plan and update shall include programs and activities in at least one of the funding categories in (a) above.
NOTE

Authority cited: Section 5898, Welfare and Institutions Code. Reference: Sections 5820, 5822 and 5848, Welfare and Institutions Code.
HISTORY

1. New section filed 11-4-2009; operative 12-4-2009 (Register 2009, No. 45).
§3841. Training and Technical Assistance Funding Category.
Note     •     History

(a) The Training and Technical Assistance Funding Category may fund programs and/or activities that increase the ability of the Public Mental Health System workforce to do the following:
(1) Promote and support the General Standards in Section 3320.
(2) Support the participation of clients and family members of clients in the Public Mental Health System.
(3) Increase collaboration and partnerships among Public Mental Health System staff and individuals and/or entities that participate in and support the provision of services in the Public Mental Health System.
(4) Promote cultural and linguistic competence.
(b) The Training and Technical Assistance Funding Category may be used to pay for the following:
(1) Collaboration and partnerships among Public Mental Health System staff, individuals including clients and family members, and/or entities that participate in and support the provision of services in the Public Mental Health System, for the purpose of developing curricula and providing training to entities such as the following: 
(A) Clients and family members of clients.
(B) Individuals from racial/ethnic, cultural and linguistic communities that are underrepresented in the Public Mental Health System, as underrepresentation is defined in Section 11139.6 of the Government Code.
(C) Other unserved and underserved communities, as defined in Sections 3200.300 and 3200.310. 
(2) Development of curricula that meets the objectives in (a) above and training preparation, including expenses and consulting services.
(3) Payment to trainers to deliver training, technical assistance and consultation. 
(A) The County shall ensure that trainers have knowledge of the objectives in (a) above.
(4) Other costs of providing training, such as materials, supplies, and room and equipment rental costs.
(5) Travel expenses of trainers and Public Mental Health System training participants, including mileage, lodging and per diem. 
(A) The employer shall not be reimbursed for the time an employee takes from his/her duties to attend training.
(6) Evaluation of the effectiveness of the training, and its impact on service delivery in the Public Mental Health System.
(c) Employees, contractors and volunteers in non-mental health systems, such as criminal justice, social services and health care may participate in programs and activities under this funding category.
(1) MHSA funds shall not be used to pay for the personnel, operating and administrative costs of employees, contractors and volunteers in non-mental health systems for this participation.
NOTE

Authority cited: Section 5898, Welfare and Institutions Code. Reference: Sections 5813.5, 5820, 5822 and 5848, Welfare and Institutions Code.
HISTORY

1. New section filed 11-4-2009; operative 12-4-2009 (Register 2009, No. 45).
§3842. Mental Health Career Pathway Programs Funding Category.
Note     •     History

(a) The Mental Health Career Pathway Programs Funding Category may fund, but is not limited to, the following:
(1) Programs to prepare clients and/or family members of clients for employment and/or volunteer work in the Public Mental Health System.
(2) Programs and coursework in high schools, adult education, regional occupational programs, colleges and universities that introduce individuals to and prepare them for employment in the Public Mental Health System.
(3) Career counseling, training and/or placement programs designed to increase access to employment in the Public Mental Health System to groups such as immigrant communities, Native Americans and racial/ethnic, cultural and linguistic groups that are underrepresented in the Public Mental Health System, as underrepresentation is defined in Section 11139.6 of the Government Code. 
(4) Focused outreach and engagement in order to provide equal opportunities for employment to individuals who share the racial/ethnic, cultural and linguistic characteristics of the clients served.
(5) Supervision of employees in Public Mental Health System occupations that are in a Mental Health Career Pathway Program.
(b) Development of Mental Health Career Pathway Programs shall include:
(1) Identification of available financial and other resources to supplement MHSA funds.
(2) A process for tracking a participant's progress including successful completion of the program, and educational and/or employment choices after program completion.
(3) Identification of outcomes by which the program shall be evaluated.
NOTE

Authority cited: Section 5898, Welfare and Institutions Code. Reference: Sections 5813.5, 5820, 5822 and 5848, Welfare and Institutions Code; and Section 3, MHSA.
HISTORY

1. New section filed 11-4-2009; operative 12-4-2009 (Register 2009, No. 45).
§3843. Residency and Internship Programs Funding Category.
Note     •     History

(a) The Residency and Internship Programs Funding Category may fund, but is not limited to, the following:
(1) Time required of staff, including university faculty, to supervise psychiatric residents training to work in the Public Mental Health System.
(2) Time required of staff, including university faculty, to supervise post-graduate interns training to work as psychiatric nurse practitioners, masters of social work, marriage and family therapists, or clinical psychologists in the Public Mental Health System.
(A) Only faculty time spent supervising interns in programs designed to lead to licensure is eligible.
(3) Time required of staff, including university faculty, to train psychiatric technicians to work in the Public Mental Health System. 
(4) Time required of staff, including university faculty, to train physician assistants to work in the Public Mental Health System and to prescribe psychotropic medications under the supervision of a physician.
(5) Addition of a mental health specialty to a physician assistant program.
(b) Participants in Residency and Internship programs shall be trained in the use of the General Standards in Section 3320.
(c) Funds may only be used for staff and program expenses required to address the occupational shortages identified in the County's Workforce Needs Assessment.
(d) All program content shall be consistent with the General Standards in Section 3320.
(e) The Residency and Internship Programs Funding Category shall not be used to pay for time spent by residents, interns and/or supervisors when providing direct services to clients. 
NOTE

Authority cited: Section 5898, Welfare and Institutions Code. Reference: Sections 5813.5, 5820 and 5822, Welfare and Institutions Code.
HISTORY

1. New section filed 11-4-2009; operative 12-4-2009 (Register 2009, No. 45).
§3844. Financial Incentive Programs Funding Category.
Note     •     History

(a) The Financial Incentive Programs Funding Category may fund financial assistance programs that address one or more of the occupational shortages identified in the County's Workforce Needs Assessment. Financial Incentive Programs include:
(1) Scholarships.
(2) Stipends.
(3) Loan assumption programs.
(b) Scholarships and stipends shall pay or reimburse individuals for expenses, or a portion of the expenses, associated with participation in programs and/or activities paid for under a funding category in Section 3840.
(c) Financial incentive programs may be utilized to encourage the recruitment and retention of the following populations:
(1) Individuals who can fill identified occupational shortages or have the skills needed by Public Mental Health System employers, as identified in the County's most recent Workforce Needs Assessment, such as those in a licensed profession or those with a proficiency in a language other than English.
(2) Individuals with client and/or family member experience who are participating in Workforce Education and Training programs and/or activities paid for through a funding category in Section 3840.
(3) Individuals with client and/or family member experience who are participating in an education or training program designed to lead to employment in the Public Mental Health System.
(d) The County may contract with a fiduciary entity, university or accredited educational institution to establish a financial incentive program. 
NOTE

Authority cited: Section 5898, Welfare and Institutions Code. Reference: Sections 5820 and 5822, Welfare and Institutions Code.
HISTORY

1. New section filed 11-4-2009; operative 12-4-2009 (Register 2009, No. 45).
§3844.1. Stipends.
Note     •     History

In addition to Section 3844(c), the following shall apply:
(a) Stipend recipients shall commit to work in the Public Mental Health System for a minimum of the equivalent of one calendar year for each year of stipend received.
(b) Stipends are paid directly to recipients, and may pay for the following expenses:
(1) Tuition, registration fees, books and supplies.
(2) Travel expenses including mileage, lodging and per diem if travel is for the purpose of participating in an educational or training activity.
(3) Any other expenses incurred as a result of participation in an educational or training activity.
(c) Stipends may pay for an employee's salary if he/she is pursuing a degree in an academic program that addresses the needs identified in the County's Workforce Needs Assessment.
(1) Employees may be compensated for work time when they are participating in employer approved Workforce Education and Training programs, under a signed agreement with the employer that both work time and personal time will be used to participate in the program.
NOTE

Authority cited: Section 5898, Welfare and Institutions Code. Reference: Sections 5820 and 5822, Welfare and Institutions Code; and Section 3, MHSA.
HISTORY

1. New section filed 11-4-2009; operative 12-4-2009 (Register 2009, No. 45).
§3845. Workforce Staffing Support Funding Category.
Note     •     History

(a) The Workforce Staffing Support Funding Category may fund, but is not limited to, the following:
(1) Public Mental Health System staff to plan, recruit, coordinate, administer, support and/or evaluate Workforce Education and Training programs and activities, when the staff is not funded through any of the other funding categories in Section 3840. 
(2) Staff to support Regional Partnerships, as defined in Section 3200.255, when performing activities that address the following:
(A) Shortages within the workforce or shortages of workforce skills identified as critical by the Regional Partnership. 
(B) Deficits in cultural and/or linguistic competence.
(C) Promotion of employment and career opportunities in the Public Mental Health System for clients and family members of clients.
(3) Staff to provide ongoing employment and educational counseling and support to:
(A) Clients entering or currently employed in the Public Mental Health System workforce.
(B) Family members of clients who are entering or currently employed in the Public Mental Health System workforce.
(C) Family members who are entering or currently employed in the Public Mental Health System workforce.
(4) Staff to provide education and support to employers and employees to assist with the integration of clients and/or family members of clients into the Public Mental Health System workforce.
(5) Staff necessary to support activities in multiple Workforce Education and Training funding categories when the staff time is not included in the budget for any other funding category in Section 3840.
(6) The Workforce Education and Training Coordinator required in Section 3810(b).
NOTE

Authority cited: Section 5898, Welfare and Institutions Code. Reference: Sections 5820 and 5822,Welfare and Institutions Code. 
HISTORY

1. New section filed 11-4-2009; operative 12-4-2009 (Register 2009, No. 45).
§3850. Mental Health Loan Assumption Program.
Note     •     History

(a) Workforce Education and Training funds may be used to establish a locally administered Mental Health Loan Assumption Program to pay a portion of the educational loans of individuals who make a commitment to work in the Public Mental Health System in a position that is hard-to-fill or in which it is hard to retain staff, as determined by the County. This program may be established at the county level.
(b) The educational loan liability shall be assumed after the participant has completed employment as follows:
(1) A loan assumption payment shall be made on behalf of the participant after each twelve (12) months of employment in a position as specified in (a) above.
(2) Months of employment shall be consecutive unless one of the exceptions in Section 3850(d) is met.
(3) Unless one of the exceptions in Section 3850(d) is met, no individual may participate in the Mental Health Loan Assumption program for more than seventy two (72) consecutive months.
(c) Payments. 
(1) Payments of up to ten thousand (10,000) dollars shall be made on the participant's behalf after each consecutive twelve (12) months of employment.
(2) Payments shall be made directly to the lending institution and shall be applied to the principal balance, if not otherwise prohibited by law or by the terms of the loan agreement between the participant and the educational lending institution. 
(3) No more than a total of sixty thousand (60,000) dollars of any participant's educational loan liability shall be assumed in a participant's lifetime.
(d) No individual may participate in the Mental Health Loan Assumption Program for more than seventy-two (72) consecutive months unless granted an exemption from this requirement due to pregnancy, serious illness or other cause deemed appropriate by the County.
NOTE

Authority cited: Section 5898, Welfare and Institutions Code. Reference: Sections 5820 and 5822, Welfare and Institutions Code.
HISTORY

1. New section filed 11-4-2009; operative 12-4-2009 (Register 2009, No. 45).
§3851. Terms of Mental Health Loan Assumption.
Note     •     History

(a) Loan assumption payments shall be made every twelve (12) months.
(b) Loan assumption payments shall be conditioned upon the participant providing:
(1) Application information as described in Sections 3854 and 3854.1.
(2) Renewal applications as described in 3855.
NOTE

Authority cited: Section 5898, Welfare and Institutions Code. Reference: Section 5822, Welfare and Institutions Code.
HISTORY

1. New section filed 11-4-2009; operative 12-4-2009 (Register 2009, No. 45).
§3851.1. Eligible Educational Loans.
Note     •     History

(a) Only loans held by an educational lending institution are eligible for assumption under the Mental Health Loan Assumption Program.
(b) Eligible educational loan programs include, but are not limited to:
(1) The Federal Family Education Loan Program in 20 U.S.C. Sec. 1071 et seq.
(2) The Federal Direct Loan Program in 20 U.S.C. Sec. 1087b et seq.
(c) The following fiscal liabilities are not eligible for assumption:
(1) An educational loan(s) that has not been disbursed at the time the applicant signs a loan assumption application and a loan assumption agreement.
(2) An educational loan that was used for the educational expenses of someone other than the applicant.
(3) An educational loan that has been consolidated with a loan of another person or with a non-educational loan.
(4) Lines of credit.
(5) Home equity loans.
(6) Credit card debt. 
(7) Business loans.
(8) Mortgages.
(9) Personal loans.
(10) Other consumer loans.
NOTE

Authority cited: Section 5898, Welfare and Institutions Code. Reference: Section 5822, Welfare and Institutions Code.
HISTORY

1. New section filed 11-4-2009; operative 12-4-2009 (Register 2009, No. 45).
§3852. Selection Process.
Note     •     History

(a) The County shall receive and review application packages for the Mental Health Loan Assumption Program.
(b) A process for selection and criteria for participation in the Mental Health Loan Assumption Program shall be developed.
(c) Each approved application shall include written certification by the County Mental Health Director or his/her authorized designee stating that the applicant is employed in a Public Mental Health System position that is hard-to-fill or in which it is hard to retain staff.
NOTE

Authority cited: Section 5898, Welfare and Institutions Code. Reference: Sections 5820 and 5822, Welfare and Institutions Code; and Section 3, MHSA.
HISTORY

1. New section filed 11-4-2009; operative 12-4-2009 (Register 2009, No. 45).
§3853. Requirements for Participation.
Note     •     History

(a) The applicant becomes a participant in the Mental Health Loan Assumption Program when the loan assumption application as described in 3854.1 has been approved and signed.
(b) A participant in the Mental Health Loan Assumption Program shall continue to make payments to the educational lending institution holding his/her loan, as required by the terms of the loan.
NOTE

Authority cited: Section 5898, Welfare and Institutions Code. Reference: Sections 5820 and 5822, Welfare and Institutions Code; and Section 3, MHSA.
HISTORY

1. New section filed 11-4-2009; operative 12-4-2009 (Register 2009, No. 45).
§3854. Application Requirements.
Note     •     History

(a) The applicant shall submit to the County an application package that includes:
(1) A completed loan assumption application as described in Section 3854.1.
(2) Written certification signed by the applicant's employer stating that the applicant is employed, or has made a commitment to commence employment in a Public Mental Health System position. 
(3) A signed proposed loan assumption agreement, as described in 3854.2.
NOTE

Authority cited: Section 5898, Welfare and Institutions Code. Reference: Section 5822, Welfare and Institutions Code.
HISTORY

1. New section filed 11-4-2009; operative 12-4-2009 (Register 2009, No. 45).
§3854.1. Mental Health Loan Assumption Application.
Note     •     History

(a) The loan assumption application shall include, at a minimum:
(1) Applicant's name and social security number.
(2) Applicant's address and telephone number(s).
(3) Applicant's date of birth.
(4) Name of educational lending institution(s).
(5) Balance(s) of the applicant's eligible educational loan(s).
NOTE

Authority cited: Section 5898, Welfare and Institutions Code. Reference: Section 5822, Welfare and Institutions Code.
HISTORY

1. New section filed 11-4-2009; operative 12-4-2009 (Register 2009, No. 45).
§3854.2. Mental Health Loan Assumption Agreement.
Note     •     History

(a) The term of the loan assumption agreement and each renewal shall be twelve (12) consecutive months.
(b) The loan assumption agreement shall include a statement that the applicant understands that his/her loan(s) will only be assumed after he/she has maintained employment for twelve (12) consecutive months in an eligible position.
(c) A participant in the Mental Health Loan Assumption Program may not enter into more than one loan assumption agreement at a time, but the agreement may include more than one loan.
NOTE

Authority cited: Section 5898, Welfare and Institutions Code. Reference: Section 5822, Welfare and Institutions Code.
HISTORY

1. New section filed 11-4-2009; operative 12-4-2009 (Register 2009, No. 45).
§3856. Participation Compliance.
Note     •     History

(a) The County shall verify the participant's compliance with all requirements of the Mental Health Loan Assumption Program. Any participant who does not comply with his/her loan assumption agreement shall be removed or suspended from the Program.
(b) If a participant is removed or suspended from the Mental Health Loan Assumption Program, no further loan assumption payments shall be made until the participant has achieved sufficient compliance for reinstatement.
(c) If a program participant withdraws, or is removed from the Mental Health Loan Assumption Program at any time prior to completing the employment required in his/her loan assumption agreement, he/she is liable for all educational loan obligations.
NOTE

Authority cited: Section 5898, Welfare and Institutions Code. Reference: Section 5822, Welfare and Institutions Code; and Section 3, MHSA.
HISTORY

1. New section filed 11-4-2009; operative 12-4-2009 (Register 2009, No. 45).
Chapter 15. Assessment of Sexually Violent Predators
§4000. Application of Chapter.
Note     •     History

This chapter applies to evaluators performing an assessment to determine whether a person is a sexually violent predator pursuant to Welfare and Institutions Code §6600 et seq.
NOTE

Authority cited: Sections 4005.1 and 4027, Welfare and Institutions Code. Reference: Sections 6600 and 6601, Welfare and Institutions Code.
HISTORY

1. New chapter 15 (sections 4000-4005) and section filed 2-6-2009 as an emergency; operative 2-6-2009 (Register 2009, No. 6). A Certificate of Compliance must be transmitted to OAL by 8-5-2009 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 2-6-2009 order transmitted to OAL 7-31-2009 and filed 9-14-2009 (Register 2009, No. 38).
§4005. Evaluator Requirements.
Note     •     History

The evaluator, according to his or her professional judgment, shall apply tests or instruments along with other static and dynamic risk factors when making the assessment. Such tests, instruments and risk factors must have gained professional recognition or acceptance in the field of diagnosing, evaluating or treating sexual offenders and be appropriate to the particular patient and applied on a case-by-case basis. The term “professional recognition or acceptance” as used in this section means that the test, instrument or risk factor has undergone peer review by a conference, committee or journal of a professional organization in the fields of psychology or psychiatry, including, but not limited to, the American Psychological Association, the American Psychiatric Association, and the Association for the Treatment  of Sexual Abusers.
NOTE

Authority cited: Section 4027, Welfare and Institutions Code. Reference: Sections 6600 and 6601, Welfare and Institutions Code.
HISTORY

1. New section filed 2-6-2009 as an emergency; operative 2-6-2009 (Register 2009, No. 6). A Certificate of Compliance must be transmitted to OAL by 8-5-2009 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 2-6-2009 order transmitted to OAL 7-31-2009 and filed 9-14-2009 (Register 2009, No. 38).
Chapter 16. State Hospital Operations
Article 1. General Provisions
§4100. Application of Chapter.
Note     •     History

The regulations set forth in Chapter 16 are applicable to all facilities owned and operated by the Department of Mental Health. 
NOTE

Authority cited: Sections 4005.1, 4027 and 4101, Welfare and Institutions Code. Reference: Sections 4027 and 4101, Welfare and Institutions Code.
HISTORY

1. New article 1 (sections 4100-4105) and section filed 8-9-2010; operative 8-9-2010 pursuant to Government Code section 11343.4 (Register 2010, No. 33).
§4105. Definitions.
Note     •     History

(a) The terms, “state hospital,” or “facility,” as used in this chapter shall mean “any hospital owned and operated by the Department of Mental Health.” 
(b) The terms, “individual patient,” or “patient,” as used in this chapter shall mean “any state hospital patient who is committed to and/or receiving treatment in a state hospital.”
NOTE

Authority cited: Sections 4005.1, 4027 and 4101, Welfare and Institutions Code. Reference: Sections 4027 and 4101, Welfare and Institutions Code.
HISTORY

1. New section filed 8-9-2010; operative 8-9-2010 pursuant to Government Code section 11343.4 (Register 2010, No. 33).
Article 2. Treatment
§4210. Interim Involuntary Medication Hearing Procedures Regarding Mentally Disordered Offenders and Sexually Violent Predators at State Hospitals.
Note     •     History

(a) State hospitals may conduct administrative hearings on hospital grounds to determine the necessity to administer non emergency interim involuntary antipsychotic medication to Mentally Disordered Offenders (MDOs) as currently described in Penal Code Section 2962; and Sexually Violent Predators as currently described in Welfare and Institutions Code Section 6600, pursuant to the applicable legal standard for each category of individual patient. The appropriate court hearing as required by applicable law shall be requested as soon as possible by the state hospitals concurrent with, or subsequent to, the administrative hearing. 
(b) Before initiating the administrative hearing process, the individual patient's treating physician must first determine that involuntary medication is appropriate, inform the individual patient of such diagnosis, explain why medication is necessary along with the anticipated benefits and possible side effects, and ascertain that the individual patient either refuses to give informed consent to accept or is incompetent to give informed consent to receive the medication.
(c) The administrative hearing shall be held according to the following criteria:
(1) The individual patient must be given at least 24 hours' written notice of the state hospital's intention to convene an involuntary medication hearing.
(2) The hearing shall be conducted by a panel of two psychiatrists and one psychologist, or three psychiatrists, none of whom have been directly involved in the individual patient's treatment.
(3) The state hospital shall present evidence of the individual patient's treatment history, current medical condition, and of the information enumerated in subsection (b) above.
(4) The individual patient shall be given the choice to be present at the hearing, present evidence, and cross examine witnesses. 
(5) The individual patient shall be given the choice to be represented by a disinterested lay adviser versed in the applicable psychological issues, and who will explain the hearing procedures and the applicable legal standard for the involuntary administration of anti-psychotic medication to, and serve the written hearing notice on, the individual patient.
(6) The decision of the hearing panel shall be by majority vote, and be in writing and include information as to the participants at the hearing, and whether the legal standard for involuntary medication applicable to the individual patient is met. 
(7) The written decision shall be given to the individual patient wherein the individual patient has 24 hours from the time of receipt of the written decision to appeal to the medical director of the state hospital or his or her designee. The state hospital medical director or his or her designee shall decide any appeal within 24 hours after its receipt. 
(8) The hearing panel's decision to allow involuntary medication may direct such treatment for up to14 days, unless superseded by a court decision pursuant to the court hearing that follow the interim administrative hearing process set forth in these regulations. After the 14-day treatment period, further treatment could be authorized only after the same panel conducts a second hearing pursuant to these same elements wherein the hearing panel may then direct that treatment may continue for the sooner of up to an additional 180 days or when a decision is made by a court pursuant to the court hearing that follow the interim administrative hearing process set forth in these regulations.
(d) Nothing in these regulations shall affect any existing legal rights of the individual patient to seek a judicial review of the hearing panel's determination for involuntary medication.
(e) Nothing in these regulations shall affect any existing legal authority of the state hospital to involuntarily medicate the individual patient in emergency situations.
NOTE

Authority cited: Sections 4005.1, 4027 and 4101, Welfare and Institutions Code. Reference: In Re Qawi (2004) 32 Cal.4th 1; In Re Calhoun (2004) 121 Cal.App.4th 1315; Section 2962, Penal Code; and Section 6600, Welfare and Institutions Code.
HISTORY

1. New article 2 (section 4210) and section filed 8-9-2010; operative 8-9-2010 pursuant to Government Code section 11343.4 (Register 2010, No. 33).
Article 1. General Provisions [Reserved]
Article 2. Treatment [Reserved]
Article 3. Safety and Security
§4300. Visits for Individual Patients.
Note     •     History

(a) Facility visiting hours shall be scheduled seven days a week for a minimum of five hours each day.
(b) The facility shall provide private areas for individual patients to consult with an attorney for confidential communications. 
(c) The facility may modify the visiting hours or suspend visiting days when necessary for safety and security concerns and staffing limitations.
(d) No conjugal visits shall be allowed.
NOTE

Authority cited: Sections 4005.1, 4027 and 4101, Welfare and Institutions Code. Reference: Sections 4027 and 5325, Welfare and Institutions Code.
HISTORY

1. New section filed 8-9-2010; operative 8-9-2010 pursuant to Government Code section 11343.4 (Register 2010, No. 33).
§4310. Offsite Visits of Individual Patients.
Note     •     History

(a) An individual patient who is committed pursuant to legal authority other than the Lanterman-Petris-Short Act and is being treated at an offsite hospital for longer than one week may be allowed to have visitors, subject to the visiting limitations of the hospital facility where the individual patient is being treated.
(b) An individual patient who is being treated at an offsite hospital and is either in critical condition or is being treated for a terminal illness may be allowed to have visitors each day beginning on the first day of offsite treatment, subject to the visiting limitations of the hospital facility where the individual patient is being treated.
NOTE

Authority cited: Sections 4005.1, 4027 and 4101, Welfare and Institutions Code. Reference: Sections 4027 and 5325, Welfare and Institutions Code.
HISTORY

1. New section filed 8-9-2010; operative 8-9-2010 pursuant to Government Code section 11343.4 (Register 2010, No. 33).
§4315. Department of Police Services.
Note     •     History

(a) The department of police services at each state hospital is the local authority for the investigation of criminal activity and criminal violations upon the grounds of the state hospital. The department of police services shall be responsible for the following:
(1) the enforcement of the law on hospital grounds; 
(2) maintaining peace and security on hospital grounds; 
(3) ensuring the security of all persons on hospital grounds;
(4) protecting and preserving the property on hospital grounds; and
(5) directing traffic, conducting traffic investigations and enforcement on the hospital grounds.
(b) The department of police services may work with, or obtain assistance from other local law enforcement agencies and/or the California Department of Corrections and Rehabilitation.
(c) The Hospital Administrator is the senior law enforcement official of a state hospital.
NOTE

Authority cited: Sections 4005.1, 4027 and 4101, Welfare and Institutions Code. Reference: Sections 4109, 4311, 4312 and 4313, Welfare and Institutions Code.
HISTORY

1. New section filed 8-9-2010; operative 8-9-2010 pursuant to Government Code section 11343.4 (Register 2010, No. 33).
§4320. Offsite Transportation.
Note     •     History

The facility may coordinate with any law enforcement agency, including but not limited to the state hospital's department of police services or the California Department of Corrections and Rehabilitation, to arrange for the transportation of an individual patient to and from an offsite location and supervision of the individual patient while at that location.
NOTE

Authority cited: Sections 4005.1, 4027 and 4101, Welfare and Institutions Code. Reference: Sections 4109, 4311, 4312 and 4313, Welfare and Institutions Code.
HISTORY

1. New section filed 8-9-2010; operative 8-9-2010 pursuant to Government Code section 11343.4 (Register 2010, No. 33).
§4325. Complaints Against Police Officers.
Note     •     History

(a) Each facility may require individuals and the public that complain against a police officer employed by the hospital to set forth such complaint in writing. The facility may offer an optional complaint form. The optional complaint form and the written complaint shall include the following information:
1. The written complaint shall include at least the following information:
a. Name and contact information of the complainant
b. Name and contact information of witnesses to the event
c. Information about the location of the incident
d. Information about the officer or officers involved
e. A description of the event or incident that led the complainant to file the form
f. Relevant time or date information which relates to the incident. 
g. Signature of the complainant and date of signature
h. Any other relevant information about the event or incident that led the complainant to file the form
(b) An investigation of each complaint shall be initiated within a reasonable time after receipt based on and subject to staffing limitations and workloads, and the complexity of the complaint. The investigation shall consist of the following procedures:
1. Examination of relevant documents
2. Interviewing relevant witnesses
3. Interviewing the complaining party and the peace officer who was implicated in the complaint
4. Examining other relevant evidence
(c) The disposition of the investigation shall be one of the following four findings based on the outcome of the investigation: 
1. Unfounded -- The action complained of did not occur, or the employee accused was not involved.
2. Exonerated -- The action complained of did occur, but was justified, lawful and/or proper.
3. Not Sustained -- The investigation failed to confirm the validity of the allegation.
4. Sustained -- The action complained of occurred, and it was improper, unlawful, or unacceptable.
NOTE

Authority cited: Sections 4005.1, 4027 and 4101, Welfare and Institutions Code. Reference: Sections 832.5 and 832.7, Penal Code.
HISTORY

1. New section filed 8-9-2010; operative 8-9-2010 pursuant to Government Code section 11343.4 (Register 2010, No. 33).
§4330. Counting of Individual Patients.
Note     •     History

In order to maintain the security and safety of individual patients, staff and visitors at state hospitals, each such state hospital may implement a system of counting individual patients. If a hospital chooses to implement such a system, it shall include the following: 
(a) A counting of individual patients shall be conducted a minimum of three times per day or once per shift, whichever is more frequent.
(b) The scope of the counting activities may be facility wide or focused on specific areas, subject to the discretion of the hospital staff based on safety and security concerns.
NOTE

Authority cited: Sections 4005.1, 4027 and 4101, Welfare and Institutions Code. Reference: Section 4027, Welfare and Institutions Code.
HISTORY

1. New section filed 8-9-2010; operative 8-9-2010 pursuant to Government Code section 11343.4 (Register 2010, No. 33).
§4350. Contraband Electronic Devices with Communication and Internet Capabilities.
Note     •     History

Electronic devices with the capability to connect to a wired (for example, Ethernet, Plain Old Telephone Service (POTS), Fiber Optic) and/or a wireless (for example, Bluetooth, Cellular, Wi-Fi [802.11a/b/g/n], WiMAX) communications network to send and/or receive information are prohibited, including devices without native capabilities that can be modified for network communication. The modification may or may not be supported by the product vendor and may be a hardware and/or software configuration change. Some examples of the prohibited devices include desktop computers, laptop computers, cellular phones, electronic gaming devices, personal digital assistant (PDA), graphing calculators, and radios (satellite, shortwave, CB and GPS). 
NOTE

Authority cited: Sections 4005.1, 4027 and 4101, Welfare and Institutions Code. Reference: Section 4027, Welfare and Institutions Code. 
HISTORY

1. New chapter 16 (articles 1-3, section 4350), article 3 (section 4350) and section filed 10-26-2009 as an emergency; operative 10-26-2009 (Register 2009, No. 44). A Certificate of Compliance must be transmitted to OAL by 4-26-2010 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 10-26-2009 order transmitted to OAL 3-23-2010 and filed 4-28-2010 (Register 2010, No. 18).
Article 4. Support Services
§4415. Definition of Mail.
Note     •     History

Mail is defined as paper documents sent in a standard sized, legal sized, or special handling envelope (Priority mail, express mail, etc.) with a weight of 16 ounces or less, and thickness of 1/2 inches or less.
NOTE

Authority cited: Sections 4005.1, 4027 and 4101, Welfare and Institutions Code. Reference: Section 5326, Welfare and Institutions Code. 
HISTORY

1. New article 4 (sections 4415-4420) and section filed 8-9-2010; operative 8-9-2010 pursuant to Government Code section 11343.4 (Register 2010, No. 33).
§4420. Limitations on Size, Weight, Volume and Frequency/Number of Packages Allowed.
Note     •     History

This section constitutes the formal facility policy on the size, weight, volume and frequency/number of packages allowed.
(a) All sent or received items that do not fall under the definition of “Mail” in Section 4415 of these regulations constitute packages.
(b) Each package sent and each package received shall not be more than 24 inches long by 19 inches in length by 12 inches high, and shall weigh no more than 30 pounds.
(c) A state hospital may limit an individual patient's maximum number of incoming packages based on staffing and hospital ground limitations. If the facility chooses to impose limits, such limits shall be according to the following: three packages per individual patient per calendar quarter for the first three quarters of the year (January-March, April-June, July-September) and four packages per individual patient during the fourth quarter of the year (October-December).
(d) Packages sent to the facility that are not within the limits set forth in subsection (b) and (c) above shall be returned to the sender.
(e) The limitations set forth in the section shall not apply to Confidential Mail as such term is defined in Section 881(c) of these regulations.
NOTE

Authority cited: Sections 4005.1, 4027 and 4101, Welfare and Institutions Code. Reference: Section 5326, Welfare and Institutions Code.
HISTORY

1. New section filed 8-9-2010; operative 8-9-2010 pursuant to Government Code section 11343.4 (Register 2010, No. 33).
Article 5. Contracts
§4500. Hospital Services.
Note     •     History

The term “hospital” as used in Welfare and Institutions Code Section 4101.5 shall have the meaning defined in Title 22, California Code of Regulations Sections 70003 and 70005.
NOTE

Authority cited: Sections 4005.1, 4027 and 4101, Welfare and Institutions Code. Reference: Section 4101.5, Welfare and Institutions Code.
HISTORY

1. New article 5 (sections 4500-4520) and section filed 8-8-2011; operative 8-8-2011. Exempt from OAL review pursuant to Welfare and Institutions Code section 4101.5 (Register 2011, No. 32).
§4510. Physician Services.
Note     •     History

The term “physician” as used in Welfare and Institutions Code Section 4101.5 does not include those physicians who are members of a registry of physician services with whom the Department of Mental Health contracts for temporary and as needed services.
NOTE

Authority cited: Sections 4005.1, 4027 and 4101, Welfare and Institutions Code. Reference: Section 4101.5, Welfare and Institutions Code.
HISTORY

1. New section filed 8-8-2011; operative 8-8-2011. Exempt from OAL review pursuant to Welfare and Institutions Code section 4101.5 (Register 2011, No. 32).
§4520. Ambulance Services.
Note     •     History

Entities that provide ambulance or any other emergency or non-emergency response services that were already selected through a competitive bid process by a federal, state, county, city or other local government entity to perform such service in a specific geographical area meet the competitively bid contracts exemption to the maximum rates requirement of Welfare and Institutions Code Section 4101.5(c). The Department of Mental Health may, without a further competitive bid, enter into a service contract with these entities at the previously accepted competitively bid rates.
NOTE

Authority cited: Sections 4005.1, 4027 and 4101, Welfare and Institutions Code. Reference: Section 4101.5, Welfare and Institutions Code.
HISTORY

1. New section filed 8-8-2011; operative 8-8-2011. Exempt from OAL review pursuant to Welfare and Institutions Code section 4101.5 (Register 2011, No. 32).
Division 3. Department of Rehabilitation*

*  Formerly in Title 22, Division 1.8, Chapter 1.
Chapter 1. Definitions and Terms
§7000. Definitions and Terms.
Note     •     History

Unless otherwise specified in this division, terms shall have the meanings specified in this chapter. The use of the words “shall” or “must” means mandatory, and the use of the word “may” means permissive.
The regulations in this division have been adopted by the authority of the Welfare and Institutions Code, Division 10, Part I, Chapter 1, Sections 19006 and 19016.
NOTE

Authority cited: Sections 19006 and 19016, Welfare and Institutions Code. Reference: Section 15, Welfare and Institutions Code.
HISTORY

1. New Chapter 3 (Subchapters 1-5, Sections 7000-7125, not consecutive) filed 10-24-78; effective thirtieth day thereafter (Register 78, No. 41).
2. Repealer of former Chapter 1 (section 7000) and renumbering of former Chapter 4 to Chapter 1 and renumbering and amendment of section 7020 to section 7000 filed 6-21-90; operative 7-21-90 (Register 90, No. 35). For prior history, see Register 78, No. 41.
3. Amendment filed 3-4-2004; operative 4-3-2004 (Register 2004, No. 10). 
§7000.2. Act.
Note     •     History

“Act” means the Rehabilitation Act of 1973, as amended (29 USC 701 et seq.). 
NOTE

Authority cited: Sections 19006 and 19016, Welfare and Institutions Code. Reference: 29 USC 701 et seq.; 34 CFR Part 361; and Section 19011, Welfare and Institutions Code. 
HISTORY

1. New section filed 3-4-2004; operative 4-3-2004 (Register 2004, No. 10). 
§7000.5. Alcohol Disability/Drug Disability. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 19006 and 19016, Welfare and Institutions Code. Reference: Section 19151, Welfare and Institutions Code.
HISTORY

1. New section filed 11-20-91; operative 1-20-92 (Register 92, No. 8).
2. Repealer filed 3-4-2004; operative 4-3-2004 (Register 2004, No. 10). 
§7001. Applicant.
Note     •     History

“Applicant” means an individual who submits an application for vocational rehabilitation services in accordance with Section 7041(b) of these regulations. 
NOTE

Authority cited: Sections 19006 and 19016, Welfare and Institutions Code. Reference: 34 CFR 361.5(b)(4); and Section 19011, Welfare and Institutions Code.
HISTORY

1. Renumbering and amendment of section 7020(a) to section 7001 filed 6-21-90; operative 7-21-90 (Register 90, No. 35).
2. Amendment of section and Note filed 3-4-2004; operative 4-3-2004 (Register 2004, No. 10). 
§7001.2. Appropriate Modes of Communication.
Note     •     History

“Appropriate Modes of Communication” means specialized aids and supports that enable an individual with a disability to comprehend and respond to information that is being communicated. Appropriate modes of communication include, but are not limited to, the use of interpreters, open and closed captioned videos, specialized telecommunications services and audio recordings, Brailled and large print materials, materials in electronic formats, augmentative communication devices, graphic presentations, and simple language materials. 
NOTE

Authority cited: Sections 19006 and 19016, Welfare and Institutions Code. Reference: 29 USC 701(c); 34 CFR 361.5(b)(5); and Sections 19011 and 19013.5, Welfare and Institutions Code. 
HISTORY

1. New section filed 3-4-2004; operative 4-3-2004 (Register 2004, No. 10). 
§7001.5. Assessment to Determine Eligibility and Vocational Rehabilitation Needs.
Note     •     History

“Assessment to Determine Eligibility and Vocational Rehabilitation Needs” means, as appropriate in each case: 
(a) A review of existing data--
(1) To determine if an individual is eligible for vocational rehabilitation services; and 
(2) To assign priority for an Order of Selection implemented pursuant to Section 7053 of these regulations. 
(b) To the extent necessary, the provision of appropriate assessment activities to obtain necessary additional data to make the eligibility determination and assignment. 
(c) To the extent additional data are necessary to make a determination of the employment outcome and the nature and scope of vocational rehabilitation services to be included in the Individualized Plan for Employment (IPE) of an eligible individual, a comprehensive assessment to determine the unique strengths, resources, priorities, concerns, abilities, capabilities, interests, and informed choice, including the need for supported employment, of the eligible individual. This comprehensive assessment--
(1) Is limited to information that is necessary to identify the rehabilitation needs of the individual and to develop the IPE of the eligible individual; 
(2) Uses as a primary source of information, to the maximum extent possible and appropriate and in accordance with confidentiality requirements--
(A) Existing information obtained for the purposes of determining the eligibility of the individual and assigning priority for an Order of Selection implemented pursuant to Section 7053 of these regulations; and 
(B) Information that can be provided by the individual and, if appropriate, by the family of the individual; 
(3) May include, to the degree needed to make such a determination, an assessment of the personality, interests, interpersonal skills, intelligence and related functional capacities, educational achievements, work experience, vocational aptitudes, personal and social adjustments, and employment opportunities of the individual and the medical, psychiatric, psychological, and other pertinent vocational, educational, cultural, social, recreational, and environmental factors that affect the employment and rehabilitation needs of the individual; and 
(4) May include, to the degree needed, an appraisal of the patterns of work behavior of the individual and services needed for the individual to acquire occupational skills and to develop work attitudes, work habits, work tolerance, and social and behavior patterns necessary for successful job performance, including the use of work in real job situations to assess and develop the capacities of the individual to perform adequately in a work environment. 
(d) Referral, for the provision of rehabilitation technology services to the individual, to assess and develop the capacities of the individual to perform in a work environment. 
(e) An exploration of the individual's abilities, capabilities, and capacity to perform in work situations, which must be assessed periodically during trial work experiences, including experiences in which the individual is provided appropriate supports and training. 
NOTE

Authority cited: Sections 19006 and 19016, Welfare and Institutions Code. Reference: 29 USC 705(2); 34 CFR Sections 361.5(b)(6), 361.42 and 361.45; and Section 19011, Welfare and Institutions Code. 
HISTORY

1. New section filed 3-4-2004; operative 4-3-2004 (Register 2004, No. 10). 
§7002. Assistive Technology Device.
Note     •     History

(a) “Assistive Technology Device” means any item, piece of equipment, or product system, whether acquired commercially off the shelf, modified, or customized, that is used to increase, maintain, or improve the functional capabilities of an individual with a disability.
(b) Assistive technology devices may be used to modify vehicles or vans, as a rehabilitation technology service pursuant to Section 7024.7 of these regulations. Assistive technology does not include the purchase and repair of a vehicle because that is included in the definition of transportation pursuant to Section 7029 of these regulations. 
(c) Installation of assistive technology devices on real property at the individual's home or workplace may not involve or require construction as defined in Section 7149.1 of these regulations. 
NOTE

Authority cited: Sections 19006 and 19016, Welfare and Institutions Code. Reference: 29 USC Sections 705(3) and (30), 723(a)(8) and (14), and 3002; 34 CFR Sections 361.5(b)(7), (45) and (57), and 361.48(h) and (q); and Sections 19011 and 19150(a)(10) and (15), Welfare and Institutions Code. 
HISTORY

1. New section filed 7-27-95 as an emergency; operative 7-27-95 (Register 95, No. 30). A Certificate of Compliance must be transmitted to OAL by 11-24-95 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 7-27-95 order transmitted to OAL 7-11-95 and filed 8-21-95 (Register 95, No. 34).
3. Amendment of section and Note filed 3-4-2004; operative 4-3-2004 (Register 2004, No. 10). 
§7002.5. Assistive Technology Service.
Note     •     History

“Assistive Technology Service” means any service that directly assists an individual with a disability in the selection, acquisition, or use of an assistive technology device, including: 
(a) The evaluation of the needs of an individual with a disability, including a functional evaluation of the individual in his or her customary environment; 
(b) Purchasing, leasing, or otherwise providing for the acquisition by an individual with a disability of an assistive technology device; 
(c) Selecting, designing, fitting, customizing, adapting, applying, maintaining, repairing, or replacing assistive technology devices; 
(d) Coordinating and using other therapies, interventions, or services with assistive technology devices, such as those associated with existing education and rehabilitation plans and programs; 
(e) Training or technical assistance for an individual with a disability or, if appropriate, the family members, guardians, advocates, or authorized representatives of the individual; and 
(f) Training or technical assistance for professionals (including individuals providing education and rehabilitation services), employers, or others who provide services to, employ, or are otherwise substantially involved in the major life functions of individuals with disabilities, to the extent that training or technical assistance is necessary to the achievement of an employment outcome by an individual with a disability. 
NOTE

Authority cited: Sections 19006 and 19016, Welfare and Institutions Code. Reference: 29 USC Sections 705(4) and (30), 723(a)(14) and 3002; 34 CFR Sections 361.5(b)(8) and (45) and 361.48(q); and Sections 19011 and 19150(a)(10), Welfare and Institutions Code. 
HISTORY

1. New section filed 3-4-2004; operative 4-3-2004 (Register 2004, No. 10). 
§7003. Blind. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 19006 and 19016, Welfare and Institutions Code. Reference: Section 19153, Welfare and Institutions Code.
HISTORY

1. Renumbering and amendment of section 7020(b) to section 7003 filed 6-21-90; operative 7-21-90 (Register 90, No. 35).
2. Repealer filed 3-4-2004; operative 4-3-2004 (Register 2004, No. 10). 
§7004. Case Record. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 19006 and 19016, Welfare and Institutions Code. Reference: Section 19010, Welfare and Institutions Code; 34 CFR Section 361.39.
HISTORY

1. Renumbering and amendment of section 7121 to section 7004 filed 6-21-90; operative 7-21-90 (Register 90, No. 35).
2. Repealer filed 3-4-2004; operative 4-3-2004 (Register 2004, No. 10). 
§7004.2. Case Staffing. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 19006 and 19016, Welfare and Institutions Code. Reference: Sections 19006, 19018, and 19150, Welfare and Institutions Code.
HISTORY

1. New section filed 3-25-91; operative 4-24-91 (Register 91, No. 15).
2. Repealer filed 3-4-2004; operative 4-3-2004 (Register 2004, No. 10). 
§7004.3. Chief Medical Consultant.
Note     •     History

“Chief Medical Consultant” means a licensed physician and surgeon employed by the Department to provide statewide technical supervision of medical services, including recommendations in the formulation of medical policies and procedures.
NOTE

Authority cited: Sections 19006 and 19016, Welfare and Institutions Code. Reference: Sections 19006 and 19016, Welfare and Institutions Code.
HISTORY

1. New section filed 2-28-92; operative 3-30-92 (Register 92, No. 16).
§7004.6. Clear and Convincing Evidence.
Note     •     History

(a) With respect to the determination of eligibility, “Clear and Convincing Evidence” means a high degree of certainty before it can be concluded that, due to the severity of the individual's disability, the individual is incapable of benefiting from vocational rehabilitation services in terms of an employment outcome in an integrated setting.
(b) Clear and convincing evidence may include a description of assessments, including situational assessments and supported employment assessments, from service providers who have concluded that they would be unable to meet the individual's needs due to the severity of the individual's disability. 
(c) The demonstration of clear and convincing evidence must include, if appropriate, a functional assessment of skill development activities, with any necessary supports (including assistive technology), in real life settings. 
NOTE

Authority cited: Sections 19006 and 19016, Welfare and Institutions Code. Reference: 29 USC 722(a); 34 CFR 361.42; and Sections 19011 and 19103(b), Welfare and Institutions Code. 
HISTORY

1. New section filed 6-6-94 as an emergency; operative 6-6-94 (Register 94, No. 23).  A Certificate of Compliance must be transmitted to OAL by 10-4-94 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 6-6-94 order transmitted to OAL 8-30-94 and filed 10-13-94 (Register 94, No. 41).
3. Amendment of section and Note filed 3-4-2004; operative 4-3-2004 (Register 2004, No. 10). 
§7005. Client. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 19006 and 19016, Welfare and Institutions Code. Reference: Sections 19006 and 19016, Welfare and Institutions Code.
HISTORY

1. Repealer of former subchapter 2 (section 7005) and renumbering and amendment of section 7020(c) to section 7005 filed 6-21-90; operative 7-21-90 (Register 90, No. 35) For prior history, see Register 78, No. 41.
2. Repealer filed 3-4-2004; operative 4-3-2004 (Register 2004, No. 10). 
§7006. Comparable Services and Benefits.
Note     •     History

(a) “Comparable Services and Benefits” means services and benefits that are: 
(1) Provided or paid for, in whole or in part, by other Federal, State, or local public agencies, by health insurance, or by employee benefits; 
(2) Available to the individual at the time needed to ensure the progress of the individual toward achieving the employment outcome in the individual's Individualized Plan for Employment (IPE); and 
(3) Commensurate to the services that the individual would otherwise receive from the Department. 
(b) For the purposes of this definition-- 
(1) Comparable services and benefits do not include awards and scholarships based on merit. 
(2) A Plan for Achieving Self-Support (PASS) issued to an individual with a disability by the Social Security Administration (SSA) does not constitute a comparable service and benefit. 
(3) A “ticket” issued to an individual with a disability under the Ticket to Work and Work Incentives Improvement Act of 1999 (TWWIIA) (42 USC 1320b-19) is considered a comparable service and benefit under the vocational rehabilitation program to the extent that a ticket holder is receiving services from another entity that is serving as that individual's employment network. 
(4) If the individual initially chooses the Department as its employment network under TWWIIA or otherwise transfers his or her ticket to the Department, the ticket would not be considered a comparable service and benefit. 
NOTE

Authority cited: Sections 19006 and 19016, Welfare and Institutions Code. Reference: 29 USC 721(a)(8); 34 CFR Sections 361.5(b)(10) and 361.53; and Sections 19011 and 19150(b), Welfare and Institutions Code. 
HISTORY

1. New section filed 3-4-2004; operative 4-3-2004 (Register 2004, No. 10). 
§7006.3. Competitive Employment.
Note     •     History

“Competitive employment” means work: 
(a) In the competitive labor market that is performed on a full-time or part-time basis in an integrated setting; and 
(b) For which an individual is compensated at or above the minimum wage, but not less than the customary wage and level of benefits paid by the employer for the same or similar work performed by individuals who are not disabled. 
NOTE

Authority cited: Sections 19006 and 19016, Welfare and Institutions Code. Reference: 29 USC Sections 705(11) and 720; 34 CFR 361.5(b)(11) and (16); and Sections 19000(e)(5) and 19011, Welfare and Institutions Code. 
HISTORY

1. New section filed 3-4-2004; operative 4-3-2004 (Register 2004, No. 10). 
§7007. Department.
Note     •     History

“Department” means the Department of Rehabilitation.
NOTE

Authority cited: Sections 19006 and 19016, Welfare and Institutions Code. Reference: Sections 19001 and 19005.1, Welfare and Institutions Code.
HISTORY

1. Renumbering and amendment of section 7020(d) to section 7007 filed 6-21-90; operative 7-21-90 (Register 90, No. 35).
2. Amendment of Note filed 3-4-2004; operative 4-3-2004 (Register 2004, No. 10). 
§7008. District Administrator.
Note     •     History

“District Administrator” means an employee of the Department responsible for the administration of Department offices including the vocational rehabilitation program, within a specific geographical area of the State.
NOTE

Authority cited: Sections 19006 and 19016, Welfare and Institutions Code. Reference: Sections 29 USC 720(a)(3)(E); and Section 19000(e)(9), Welfare and Institutions Code. 
HISTORY

1. New section filed 8-16-90; operative 9-15-90 (Register 90, No. 36).
2. Amendment of section and Note filed 3-4-2004; operative 4-3-2004 (Register 2004, No. 10). 
§7009. Eligible. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 19006 and 19016, Welfare and Institutions Code; and Section 35, Chapter 937, Statutes of 1993.  Reference: Sections 19010 and 19103, Welfare and Institutions Code;  and 29 U.S.C. 722(a).
HISTORY

1. Renumbering and amendment of section 7020(e) to section 7009 filed 6-21-90; operative 7-21-90 (Register 90, No. 35).
2. Repealer and amendment of Note filed 6-6-94 as an emergency; operative 6-6-94 (Register 94, No. 23).  A Certificate of Compliance must be transmitted to OAL by 10-4-94 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 6-6-94 order transmitted to OAL 8-30-94 and filed 10-13-94 (Register 94, No. 41).
§7009.1. Eligible Individual.
Note     •     History

“Eligible Individual” means an applicant for vocational rehabilitation services who meets the eligibility requirements specified in Section 7062 of these regulations. 
NOTE

Authority cited: Sections 19006 and 19016, Welfare and Institutions Code. Reference: 34 CFR 361.5(b)(15); and Section 19011, Welfare and Institutions Code. 
HISTORY

1. New section filed 3-4-2004; operative 4-3-2004 (Register 2004, No. 10). 
§7010. Objectives. [Repealed]
History

HISTORY

1. Repealer of former subchapter 3 (section 7010-7012) filed 6-21-90; operative 7-21-90 (Register 90, No. 35). For prior history, see Register 78, No. 41.
§7011. Employment Outcome.
Note     •     History

“Employment Outcome” means, with respect to an individual, entering or retaining full-time or, if appropriate, part-time competitive employment as defined in Section 7006.3 of these regulations in the integrated labor market, supported employment, or any other type of employment in an integrated setting (including self-employment, telecommuting, or business ownership) that is consistent with an individual's strengths, resources, priorities, concerns, abilities, capabilities, interests, and informed choice. Employment outcomes of homemaker and unpaid family worker are available in the community, are considered to occur in integrated settings as defined in Section 7018.4 of these regulations, and meet the definition of employment outcome.
NOTE

Authority cited: Sections 19006 and 19016, Welfare and Institutions Code. Reference: 34 CFR 361.5(b)(16); and Section 19011, Welfare and Institutions Code. 
HISTORY

1. Renumbering of former section 7011 to section 7048 and renumbering and amendment of section 7020(f) to section 7011 filed 6-21-90; operative 7-21-90 (Register 90, No. 35). For prior history, see Register 78, No. 41.
2. Designation and amendment of subsection (a) and renumbering and amendment of section 7013 to subsections (a)(1)-(8) filed 3-16-93; operative 4-15-93 (Register 93, No. 12).
3. Amendment of section heading, text and Note filed 6-6-94 as an emergency; operative 6-6-94 (Register 94, No. 23).  A Certificate of Compliance must be transmitted to OAL by 10-4-94 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 6-6-94 order including amendment of subsection (a)(4) and Note transmitted to OAL 8-30-94 and filed 10-13-94 (Register 94, No. 41).
5. Amendment of section and Note filed 3-4-2004; operative 4-3-2004 (Register 2004, No. 10). 
§7012. Selection for Vocational Rehabilitation Services. [Repealed]
History

HISTORY

1. Repealer filed 6-21-90; operative 7-21-90 (Register 90, No. 35). For prior history, see Register 78, No. 41.
§7013. Employment. [Renumbered]
Note     •     History

NOTE

Authority cited: Sections 19006 and 19016, Welfare and Institutions Code. Reference: Section 19010, Welfare and Institutions Code; 34 CFR Section 361.1(c)(2).
HISTORY

1. Renumbering and amendment of section 7020(g) to section 7013 filed 6-21-90; operative 7-21-90 (Register 90, No. 35).
2. Renumbering and amendment of section 7013 to section 7011(a)(1)-(8) filed 3-16-93; operative 4-15-93 (Register 93, No. 12).
§7013.2. Equipment.
Note     •     History

“Equipment” means a machine, mechanical or electronic device, or appliance or fixture, that an individual operates or activates to perform a task, excluding “Assistive Technology Devices” as defined in Section 7002 of these regulations, and “Tools” as defined in Section 7028.4 of these regulations. 
NOTE

Authority cited: Sections 19006 and 19016, Welfare and Institutions Code. Reference: 29 USC 723; 34 CFR 361.48; and Section 19150, Welfare and Institutions Code. 
HISTORY

1. New section filed 3-4-2004; operative 4-3-2004 (Register 2004, No. 10). 
§7013.5. Entry Level. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 19006 and 19016, Welfare and Institutions Code. Reference: Section 19150, Welfare and Institutions Code.
HISTORY

1. New section filed 8-16-90; operative 9-15-90 (Register 90, No. 38).
2. Repealer filed 3-4-2004; operative 4-3-2004 (Register 2004, No. 10). 
§7013.6. Extended Employment.
Note     •     History

(a) “Extended Employment” means work in a non-integrated or sheltered setting for a public or private nonprofit agency or organization that provides compensation in accordance with the Fair Labor Standards Act (FLSA) (29 USC 214(c)). 
(b) For purposes of the Department's vocational rehabilitation program, extended employment may be provided as an interim and transitional step in the rehabilitation process to prepare the individual for employment in an integrated setting. Extended employment is not an end-point in the rehabilitation process and is not considered an employment outcome as defined in Section 7011 of these regulations. 
(c) The Department shall refer individuals to extended employment providers under any one of the following conditions: 
(1) An applicant under the vocational rehabilitation program is unable to work in an integrated setting; 
(2) An individual who was initially found eligible for vocational rehabilitation services is later determined unable to work in an integrated setting; or 
(3) An individual makes an informed choice to pursue long-term employment in a non-integrated setting. 
(d) Before referring an individual who makes an informed choice to pursue extended employment as an employment goal to an extended employment provider, the Department shall provide information and referral services in accordance with Section 7038 of these regulations. 
NOTE

Authority cited: Sections 19006 and 19016, Welfare and Institutions Code. Reference: 34 CFR Sections 361.5(b)(19) and 361.37; and Section 19011, Welfare and Institutions Code. 
HISTORY

1. New section filed 3-4-2004; operative 4-3-2004 (Register 2004, No. 10). 
§7014. Extended Evaluation.
Note     •     History

(a) “Extended Evaluation” means the exploration of an individual's abilities, capabilities, and capacity to perform in realistic work situations, through the provision of only those services that are necessary for the Department to determine either-- 
(1) There is sufficient evidence to conclude that the individual can benefit from the provision of vocational rehabilitation services in terms of an employment outcome in an integrated setting; or 
(2) There is clear and convincing evidence, as defined in Section 7004.6 of these regulations, that due to the severity of the individual's disability, the individual is incapable of benefiting from vocational rehabilitation services in terms of an employment outcome in an integrated setting. 
(b) An extended evaluation must be conducted under those limited circumstances where: 
(1) An individual cannot take advantage of trial work experiences as defined in Section 7029.1 of these regulations; or 
(2) Options for trial work experiences have been exhausted before the Department is able to make the determinations described in (a) of this section. 
(c) During the extended evaluation period, vocational rehabilitation services must be provided in the most integrated setting possible, consistent with the informed choice and rehabilitation needs of the individual. 
(d) During the extended evaluation period, the Rehabilitation Counselor must develop a written plan for providing the services necessary to make the determinations described in (a) of this section, including periodic assessments of the individual's abilities, capabilities, and capacity to perform in realistic work situations. 
(e) Extended evaluation services shall be terminated when the Department is able to make the determinations specified in (a) of this section. 
NOTE

Authority cited: Sections 19006 and 19016, Welfare and Institutions Code. Reference: 29 USC 723(a)(1); 34 CFR Sections 361.42(f), 361.47(a)(5) and 361.48(a); and Sections 19011 and 19150(a)(1), Welfare and Institutions Code. 
HISTORY

1. New section filed 3-4-2004; operative 4-3-2004 (Register 2004, No. 10). For prior history, see Register 94, No. 41.
§7014.1. Extended Services.
Note     •     History

“Extended Services” means ongoing support services and other appropriate services that are needed to support and maintain an individual with a most significant disability in supported employment and that are provided by a State agency (including habilitation services provided by the State of California), a private nonprofit organization, employer, or any other appropriate resource, after an individual with a most significant disability has made the transition from support provided as a vocational rehabilitation service by the Department. 
NOTE

Authority cited: Sections 19006 and 19016, Welfare and Institutions Code. Reference: 34 CFR 361.5(b)(20); and Section 19011, Welfare and Institutions Code. 
HISTORY

1. New section filed 3-4-2004; operative 4-3-2004 (Register 2004, No. 10). 
§7015. Family Member.
Note     •     History

“Family Member,” for purposes of receiving vocational rehabilitation services in accordance with Section 7149(i) of these regulations, means an individual:
(a) Who either --
(1) Is a relative or guardian of an applicant or eligible individual; or 
(2) Lives in the same household as an applicant or eligible individual; 
(b) Who has a substantial interest in the well-being of that individual; and 
(c) Whose receipt of vocational rehabilitation services is necessary to enable the applicant or eligible individual to achieve an employment outcome. 
NOTE

Authority cited: Sections 19006 and 19016, Welfare and Institutions Code. Reference: 29 USC 723(a)(17); 34 CFR Sections 361.5(b)(23) and 361.48(i); and Sections 19011 and 19150(a)(17), Welfare and Institutions Code.
HISTORY

1. Renumbering and amendment of section 7020(h) to section 7015 filed 6-21-90; operative 7-21-90 (Register 90, No. 35).
2. Amendment of section and Note filed 3-4-2004; operative 4-3-2004 (Register 2004, No. 10). 
§7016. Functional Limitation. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 19006 and 19016, Welfare and Institutions Code. Reference: Sections 19018, 19150, and 19151, Welfare and Institutions Code.
HISTORY

1. New section filed 3-25-91; operative 4-24-91 (Register 91, No. 15).
2. Repealer filed 3-4-2004; operative 4-3-2004 (Register 2004, No. 10). 
§7016.1. Group Placement.
Note     •     History

“Group Placement,” for purposes of supported employment, means the supported employment model in which a group of at least three, but not more than eight, eligible individuals engages in paid work in an integrated setting. 
NOTE

Authority cited: Sections 19006 and 19016, Welfare and Institutions Code. Reference: Sections 19011, 19150(a)(2) and 19150(a)(5), Welfare and Institutions Code; 29 USC Sections 705(27)(C)(ii), (35) and (36), 723(a)(4) and (16); and 34 CFR Sections 361.48(l) and (m), 361.49, 363.1 and 363.6(c)(1), (2)(ii), (iii) and (3)(iii)(B). 
HISTORY

1. New section filed 10-4-2011; operative 11-3-2011 (Register 2011, No. 40).
§7017. Individual with a Disability.
Note     •     History

(a) “Individual with a Disability” means an individual:
(1) Who has a physical or mental impairment;
(2) Whose impairment constitutes or results in a substantial impediment to employment; and
(3) Who can benefit in terms of an employment outcome  from the provision of vocational rehabilitation services.
NOTE

Authority cited: Sections 19006 and 19016, Welfare and Institutions Code. Reference: 29 USC 705(20)(A); 34 CFR 361.5(b)(28); and Sections 19011 and 19151, Welfare and Institutions Code.
HISTORY

1. Renumbering and amendment of section 7020(i) to section 7017 filed 6-21-90; operative 7-21-90 (Register 90, No. 35).
2. Amendment filed 5-2-91; operative 6-1-91 (Register 91, No. 25).
3. Amendment of section heading, text and Note filed 6-6-94 as an emergency; operative 6-6-94 (Register 94, No. 23).  A Certificate of Compliance must be transmitted to OAL by 10-4-94 or emergency language will be repealed by operation of law on the following day. 
4. Certificate of Compliance as to 6-6-94 order transmitted to OAL 8-30-94 and filed 10-13-94 (Register 94, No. 41).
5. Amendment of section and Note filed 3-4-2004; operative 4-3-2004 (Register 2004, No. 10). 
§7017.2. Individual with a Most Significant Disability.
Note     •     History

(a) “Individual with a Most Significant Disability” means an individual with a significant disability whose level of significance of disability (LSOD) is “most significantly disabled,” as defined in Section 7051 of these regulations. 
(b) All references to “individual with a most severe disability” in Title 9, Division 3, California Code of Regulations, shall be deemed a reference to “individual with a most significant disability.” 
NOTE

Authority cited: Sections 19006 and 19016, Welfare and Institutions Code. Reference: 29 USC Sections 705(21)(E) and 721(a)(5); 34 CFR Sections 361.5(b)(30) and 361.36; and Sections 19011 and 19102, Welfare and Institutions Code. 
HISTORY

1. New section filed 3-4-2004; operative 4-3-2004 (Register 2004, No. 10). 
§7017.5. Individual with a Significant Disability.
Note     •     History

(a) “Individual with a Significant Disability” means an individual with a disability: 
(1) Who has a severe physical or mental impairment that seriously limits one or more functional capacities (such as mobility, communication, self-care, self-direction, interpersonal skills, work tolerance, or work skills) in terms of an employment outcome; 
(2) Whose vocational rehabilitation can be expected to require multiple vocational rehabilitation services over an extended period of time; and 
(3) Who has one or more physical or mental disabilities resulting from acquired traumatic brain injury, amputation, arthritis, autism, blindness, burn injury, cancer, cerebral palsy, cystic fibrosis, deafness, head injury, heart disease, hemiplegia, hemophilia, HIV, respiratory or pulmonary dysfunction, mental retardation, mental illness, multiple sclerosis, muscular dystrophy, musculo-skeletal disorders, neurological disorders (including stroke and epilepsy), spinal cord conditions (including paraplegia and quadriplegia), sickle cell anemia, specific learning disability, end-stage renal disease, or another disability or combination of disabilities determined on the basis of an assessment for determining eligibility and vocational rehabilitation needs to cause comparable substantial functional limitation. 
(b) All references to “individual with a severe disability” in Title 9, Division 3, California Code of Regulations, shall be deemed a reference to “individual with a significant disability.” 
NOTE

Authority cited: Sections 19006 and 19016, Welfare and Institutions Code. Reference: 29 USC 705(21)(A); 34 CFR 361.5(b)(31); and Section 19011, Welfare and Institutions Code. 
HISTORY

1. New section filed 3-4-2004; operative 4-3-2004 (Register 2004, No. 10). 
§7017.7. Individual's Representative.
Note     •     History

“Individual's Representative” means any representative chosen by an applicant or eligible individual, as appropriate, including a parent, guardian, other family member, or advocate, unless a representative has been appointed by a court to represent the individual, in which case the court-appointed representative is the individual's representative. 
NOTE

Authority cited: Sections 19006 and 19016, Welfare and Institutions Code. Reference: 34 CFR 361.5(b)(32); and Section 19011, Welfare and Institutions Code. 
HISTORY

1. New section filed 3-4-2004; operative 4-3-2004 (Register 2004, No. 10). 
§7018. Individualized Plan for Employment (IPE).
Note     •     History

(a) “Individualized Plan for Employment (IPE)” means a written plan developed in accordance with Chapter 2, Article 5 of these regulations. 
(b) All references to the Individualized Written Rehabilitation Program (IWRP) in Title 9, Division 3, California Code of Regulations, shall be deemed a reference to the Individualized Plan for Employment (IPE). 
NOTE

Authority cited: Sections 19006 and 19016, Welfare and Institutions Code. Reference: 29 USC 722; 34 CFR Sections 361.45 and 361.46; and Section 19011, Welfare and Institutions Code.
HISTORY

1. Amendment filed 2-10-83; designated effective 2-20-83 pursuant to Government Code Section 11346.2(d) (Register 83, No. 7).
2. Renumbering and amendment of section 7131 to section 7018 filed 6-21-90; operative 7-21-90 (Register 90, No. 35).
3. Amendment of section heading, repealer and new section and amendment of Note filed 3-4-2004; operative 4-3-2004 (Register 2004, No. 10). 
§7018.4. Integrated Setting.
Note     •     History

“Integrated Setting” -- 
(a) With respect to the provision of services, means a setting typically found in the community in which applicants or eligible individuals interact with non-disabled individuals other than non-disabled individuals who are providing services to those applicants or eligible individuals. 
(b) With respect to an employment outcome, means a setting typically found in the community in which applicants or eligible individuals interact with non-disabled individuals other than non-disabled individuals who are providing services to those applicants or eligible individuals, to the same extent that non-disabled individuals in comparable positions interact with other persons. 
NOTE

Authority cited: Sections 19006 and 19016, Welfare and Institutions Code. Reference: 34 CFR Sections 361.5(b)(16) and (33); and Section 19011, Welfare and Institutions Code. 
HISTORY

1. New section filed 3-4-2004; operative 4-3-2004 (Register 2004, No. 10). 
§7018.5. Job Club. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 19006 and 19016, Welfare and Institutions Code. Reference: Section 19150, Welfare and Institutions Code.
HISTORY

1. New section filed 3-25-91; operative 4-24-91 (Register 91, No. 15).
2. Repealer filed 3-4-2004; operative 4-3-2004 (Register 2004, No. 10). 
§7019. Maintenance.
Note     •     History

(a) “Maintenance” means monetary support provided to an individual for expenses, such as food, shelter, and clothing, that are in excess of the normal expenses of the individual and that are necessitated by the individual's participation in an assessment for determining eligibility and vocational rehabilitation needs or the individual's receipt of vocational rehabilitation services under an Individualized Plan for Employment (IPE). 
(b) Examples of expenses that meet the definition of maintenance include, but are not limited to: 
(1) The cost of a uniform or other suitable clothing that is required for an individual's job placement or job-seeking activities. 
(2) The cost of short-term shelter that is required in order for an individual to participate in assessment activities or vocational training at a site that is not within commuting distance of an individual's home. 
(3) The initial one-time costs, such as a security deposit or charges for the initiation of utilities, that are required in order for an individual to relocate for a job placement or participate in training. 
(4) The costs of an individual's participation in enrichment activities related to that individual's training program. For students this includes, but is not limited to, student trips, visits to museums, and supplemental lectures, when such activities are essential components of the training. 
(c) Nothing in this section shall be construed to mean that the Department will provide maintenance on a long-term or ongoing basis to support an individual's everyday living expenses or take the place of, provide the services of, or become a payment program similar to, welfare and other social service agencies. 
NOTE

Authority cited: Sections 19006 and 19016, Welfare and Institutions Code. Reference: 29 USC 723(a)(7); 34 CFR Sections 361.5(b)(35) and 361.48(g); and Sections 19011 and 19150(a)(8), Welfare and Institutions Code.
HISTORY

1. Renumbering and amendment of section 7020(j) to section 7019 filed 6-21-90; operative 7-21-90 (Register 90, No. 35).
2. Amendment of section heading and section filed 3-4-2004; operative 4-3-2004 (Register 2004, No. 10). 
§7019.1. Medical Consultant.
Note     •     History

“Medical Consultant” means a licensed physician and surgeon who is either employed by the Department or under contract with the Department as a staff member and who is administratively responsible to the District Administrator while under the technical supervision of the Chief Medical Consultant. He or she functions to interpret medical information, provide consultation and appropriate medical recommendations, give training to Counselors in the medical aspects of the rehabilitation process, and establish cooperative relationships with the medical community.
NOTE

Authority cited: Sections 19006 and 19016, Welfare and Institutions Code. Reference: Sections 19006 and 19016, Welfare and Institutions Code.
HISTORY

1. New section filed 2-28-92; operative 3-30-92 (Register 92, No. 16).
2. Editorial correction of Reference cite (Register 95, No. 10).
§7019.2. Medical Services Officer.
Note     •     History

“Medical Services Officer” means a Rehabilitation Supervisor who is administratively responsible to the District Administrator and has the responsibility for coordinating the provision of medical services in the district. He or she communicates frequently with the Chief Medical Consultant and his or her staff to ensure statewide uniformity in the provisions of medical services.
NOTE

Authority cited: Sections 19006 and 19016, Welfare and Institutions Code. Reference: Sections 19006 and 19016, Welfare and Institutions Code.
HISTORY

1. New section filed 2-28-92; operative 3-30-92 (Register 92, No. 16).
§7019.5. Ongoing Support Services.
Note     •     History

(a) “Ongoing Support Services,” as used in the definition of “Supported Employment,” means services that are: 
(1) Needed to support and maintain an individual with a most significant disability in supported employment; 
(2) Identified based on a determination by the Department of the individual's need as specified in the Individualized Plan for Employment (IPE); and 
(3) Furnished by the Department from the time of job placement until transition to extended services, unless post-employment services are provided following transition, and thereafter by one or more extended services providers throughout the individual's term of employment in a particular job placement, or multiple placements if those placements are being provided under a program of transitional employment. 
(b) Ongoing support services must include an assessment of employment stability and provision of specific services or the coordination of services at or away from the worksite that are needed to maintain stability based on: 
(1) At a minimum, twice-monthly monitoring at the worksite of each individual in supported employment; or 
(2) If under specific circumstances, especially at the request of the individual, the IPE provides for off-site monitoring, twice-monthly meetings with the individual. 
(c) Ongoing support services shall consist of: 
(1) Any particularized assessment supplementary to the comprehensive assessment of rehabilitation needs described in Section 7001.5(c) of these regulations; 
(2) The provision of skilled job trainers who accompany the individual for intensive job skill training at the worksite; 
(3) Job development and training; 
(4) Social skills training; 
(5) Regular observation or supervision of the individual; 
(6) Follow-up services including regular contact with the employers, the individuals, the parents, family members, guardians, advocates, or authorized representatives of the individuals, and other suitable professional and informed advisors, in order to reinforce and stabilize the job placement; 
(7) Facilitation of natural supports at the worksite; 
(8) Any other service identified in the scope of vocational rehabilitation services for individuals described in Section 7149 of these regulations; or 
(9) Any service similar to the foregoing services. 
NOTE

Authority cited: Sections 19006 and 19016, Welfare and Institutions Code. Reference: 34 CFR Sections 361.5(b)(38) and (54) and 361.48(m); and Section 19011, Welfare and Institutions Code. 
HISTORY

1. New section filed 3-4-2004; operative 4-3-2004 (Register 2004, No. 10). For prior history, see Register 94, No. 41.
§7019.6. Percent of Intervention.
Note     •     History

“Percent of Intervention,” for purposes of supported employment, means the percent produced by the following formula: the total number of hours that the eligible individual received job coaching services between the first work day and last work day of a calendar month, divided by the total number of hours the individual worked during that month. 
NOTE

Authority cited: Sections 19006 and 19016, Welfare and Institutions Code. Reference: Sections 19011 and 19150(a)(5), Welfare and Institutions Code; 29 USC Sections 705(13), (27)(C)(ii), (35) and (36) and 723(a)(16); and 34 CFR Sections 361.47, 361.48(m), 363.1 and 363.6(c)(1), (2)(iii), (iv) and (3)(iii)(B). 
HISTORY

1. New section filed 10-4-2011; operative 11-3-2011 (Register 2011, No. 40). 
§7019.7. Personal Assistance Services.
Note     •     History

“Personal Assistance Services” means a range of services provided by one or more persons designed to assist an individual with a disability to perform daily living activities on or off the job that the individual would typically perform without assistance if the individual did not have a disability. The services must be designed to increase the individual's control in life and ability to perform everyday activities on or off the job. The services must be necessary for the achievement of an employment outcome and may be provided only while the individual is receiving other vocational rehabilitation services. The services may include training in managing, supervising, and directing personal assistance services. 
NOTE

Authority cited: Sections 19006 and 19016, Welfare and Institutions Code. Reference: 29 USC Sections 705(28) and 723(a)(9); 34 CFR Sections 361.5(b)(39) and 361.48(n); and Sections 19011 and 19150(a)(2) and (11), Welfare and Institutions Code. 
HISTORY

1. New section filed 7-27-95 as an emergency; operative 7-27-95 (Register 95, No. 30). A Certificate of Compliance must be transmitted to OAL by 11-24-95 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 7-27-95 order transmitted to OAL 7-11-95 and filed 8-21-95 (Register 95, No. 34).
3. Amendment of section and Note filed 3-4-2004; operative 4-3-2004 (Register 2004, No. 10).
§7020. Physical and Mental Restoration Services.
Note     •     History

(a) “Physical and Mental Restoration Services” means --
(1) Corrective surgery or therapeutic treatment that is likely, within a reasonable period of time, to correct or modify substantially a stable or slowly progressive physical or mental impairment that constitutes a substantial impediment to employment; 
(2) Diagnosis of and treatment for mental or emotional disorders by qualified personnel in accordance with State licensure laws; 
(3) Dentistry;
(4) Nursing services;
(5) Necessary hospitalization (either inpatient or outpatient care) in connection with surgery or treatment and clinic services;
(6) Drugs and supplies;
(7) Prosthetic and orthotic devices;
(8) Eyeglasses and visual services, including visual training, and the examination and services necessary for the prescription and provision of eyeglasses, contact lenses, microscopic lenses, telescopic lenses, and other special visual aids prescribed by personnel that are qualified in accordance with State licensure laws;
(9) Podiatry;
(10) Physical therapy;
(11) Occupational therapy;
(12) Speech or hearing therapy;
(13) Mental health services;
(14) Treatment of either acute or chronic medical complications and emergencies that are associated with or arise out of the provision of physical and mental restoration services, or that are inherent in the condition under treatment;
(15) Special services for the treatment of individuals with end-stage renal disease, including transplantation, dialysis, artificial kidneys, and supplies; and
(16) Other medical or medically-related rehabilitation services, including wheelchair and hearing aids.
(b) Physical and mental restoration services may be provided only to the extent that financial support is not readily available from a source other than the Department (such as through health insurance or a comparable service and benefit as defined in Section 7006 of these regulations). 
NOTE

Authority cited: Sections 19006 and 19016, Welfare and Institutions Code. Reference: 29 USC 723(a)(6); 34 CFR Sections 361.5(b)(40) and 361.48(e); and Section 19011, Welfare and Institutions Code.
HISTORY

1. Renumbering and amendment of former section 7020 to section 7000, section 7020(a) to section 7001, section 7020(b) to section 7003, section 7020(c) to section 7005, section 7020(d) to section 7007, section 7020(e) to section 7009, section 7020(f) to section 7011, section 7020(g) to section 7013, section 7020(h) to section 7015, section 7020(i) to section 7017, section 7020(j) to section 7019, section 7020(l) to section 7021, section 7020(m) to section 7023, section 7020(n) to section 7025, section 7020(o) to section 7027, section  7020(p) to section 7029, section 7020(q) to section 7024, and section 7020(k) to new section 7020 filed 6-21-90; operative 7-21-90 (Register 90, No. 35).
2. Amendment of section and Note filed 3-4-2004; operative 4-3-2004 (Register 2004, No. 10).
§7021. Physical or Mental Impairment.
Note     •     History

(a) “Physical or Mental Impairment” means --
(1) Any physiological disorder or condition, cosmetic disfigurement, or anatomical loss affecting one or more of the following body systems: neurological, musculo-skeletal, special sense organs, respiratory (including speech organs), cardiovascular, reproductive, digestive, genitourinary, hemic and lymphatic, skin, and endocrine; or 
(2) Any mental or psychological disorder such as mental retardation, organic brain syndrome, emotional or mental illness, and specific learning disabilities. 
(b) The presence of a physical or mental impairment alone does not qualify an individual to receive vocational rehabilitation services from the Department. To be eligible for services, the individual must meet all three of the basic requirements for eligibility established in Section 7062(a)(1)-(3) of these regulations. 
NOTE

Authority cited: Sections 19006 and 19016, Welfare and Institutions Code. Reference: 29 USC 705(20)(A); 34 CFR 361.5(b)(28) and (41); and Sections 19011 and 19151, Welfare and Institutions Code. 
HISTORY

1. Renumbering and amendment of section 7020(l) to section 7021 filed 6-21-90; operative 7-21-90 (Register 90, No. 35).
2. Amendment of section heading, section and Note filed 3-4-2004; operative 4-3-2004 (Register 2004, No. 10).
§7021.5. Post-Employment Services.
Note     •     History

(a) “Post-Employment Services” means one or more of the services identified in Section 7149 of these regulations that are provided subsequent to the achievement of an employment outcome and that are necessary for an individual to maintain, regain, or advance in employment, consistent with the individual's strengths, resources, priorities, concerns, abilities, capabilities, interests, and informed choice. 
(b) Post-employment services may be provided to meet only those rehabilitation needs that do not require a complex and comprehensive provision of services. Thus, post-employment services shall be limited in scope and duration. If more comprehensive services are required, then a new rehabilitation plan shall be considered. 
(c) Post-employment services shall be provided under an amended Individualized Plan for Employment (IPE). A re-determination of eligibility is not required. 
NOTE

Authority cited: Sections 19006 and 19016, Welfare and Institutions Code. Reference: 29 USC 723(a)(18); 34 CFR Sections 361.5(b)(42) and 361.48(o); and Sections 19011 and 19150(a)(2), Welfare and Institutions Code. 
HISTORY

1. New section filed 3-4-2004; operative 4-3-2004 (Register 2004, No. 10).
§7022. Psychiatric Consultant.
Note     •     History

“Psychiatric Consultant” means a licensed physician and surgeon who is either employed by the Department or under contract with the Department as a staff member and who is administratively responsible to the District Administrator while under the technical supervision of the Chief Medical Consultant. He or she functions to interpret medical information which is primarily psychiatric, to provide consultation and training to Counselors in aspects of psychiatry, and to establish cooperative relationships with the psychiatric community.
NOTE

Authority cited: Sections 19006 and 19016, Welfare and Institutions Code. Reference: Sections 19006 and 19016, Welfare and Institutions Code.
HISTORY

1. New section filed 2-28-92; operative 3-30-92 (Register 92, No. 16).
§7023. Referral. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 19006 and 19016, Welfare and Institutions Code. Reference: Section 19006 and 19016, Welfare and Institutions Code.
HISTORY

1. Renumbering and amendment of section 7020(m) to section 7023 filed 6-21-90; operative 7-21-90 (Register 90, No. 35).
2. Repealer filed 3-4-2004; operative 4-3-2004 (Register 2004, No. 10).
§7023.5. Rehabilitated. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 19006 and 19016, Welfare and Institutions Code; and Section 35, Chapter 937, Statutes of 1993. Reference: Sections 19000 through 19856, Welfare and Institutions Code; and 34 CFR Section 361.43.
HISTORY

1. New section filed 3-25-91; operative 4-25-91 (Register 91, No. 15).
2. Editorial correction of printing error in Reference (Register 91, No. 30).
3. Repealer and amendment of Note filed 6-6-94 as an emergency; operative 6-6-94 (Register 94, No. 23).  A Certificate of Compliance must be transmitted to OAL by 10-4-94 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 6-6-94 order transmitted to OAL 8-30-94 and filed 10-13-94 (Register 94, No. 41).
§7024. Rehabilitation Counselor.
Note     •     History

“Rehabilitation Counselor” means an employee of the Department who: 
(a) Provides information, counseling, and referral services to individuals with disabilities in accordance with Sections 7035, 7037 and 7038 of these regulations; 
(b) Determines an applicant's eligibility and priority for services under conditions specified in Section 7062 of these regulations; 
(c) Assesses an eligible individual's level of significance of disability (LSOD) in accordance with Section 7054 for the purposes of an Order of Selection implemented pursuant to Section 7053 of these regulations; 
(d) Assists an eligible individual to develop the Individualized Plan for Employment (IPE), as appropriate, evaluates the contents of the IPE, and, if appropriate, approves and signs the IPE in accordance with Chapter 2, Article 5 of these regulations; 
(e) Reviews the IPE at least annually, as appropriate, to assess the eligible individual's progress toward achieving the employment outcome in the IPE under conditions specified in Section 7133 of these regulations and collaborates, as appropriate, with the individual or, as appropriate, the individual's representative to amend the IPE, as necessary, as specified in Section 7130(a)(6) and (7) of these regulations; 
(f) Coordinates and facilitates all aspects of the individual's vocational rehabilitation program; 
(g) Maintains the record of services in accordance with Section 7122 of these regulations; 
(h) Evaluates the appropriateness of closing an individual's record of services and conducts mandatory reviews after the record of services has been closed under conditions specified in Chapter 4 of these regulations; and 
(i) Assists the individual to exercise informed choice throughout the vocational rehabilitation process. 
NOTE

Authority cited: Sections 19006 and 19016, Welfare and Institutions Code. Reference: 29 USC Sections 720(a)(3)(E), 721(a)(5) and (20), 722 and 723; 34 CFR Sections 361.13, 361.36, 361.37, 361.41, 361.42, 361.43, 361.44, 361.45, 361.47, 361.48, 361.52 and 361.56; and Sections 19000(e)(9), 19011 and 19102, Welfare and Institutions Code. 
HISTORY

1. Renumbering and amendment of section 7020(q) to section 7024 filed 6-21-90; operative 7-21-90 (Register 90, No. 35).
2. Repealer and new section and amendment of Note filed 3-4-2004; operative 4-3-2004 (Register 2004, No. 10).
§7024.4. Rehabilitation Engineering.
Note     •     History

“Rehabilitation Engineering” means the systematic application of engineering sciences to design, develop, adapt, test, evaluate, apply, and distribute technological solutions to problems confronted by individuals with disabilities in functional areas, such as mobility, communications, hearing, vision, and cognition, and in activities associated with employment, independent living, education, and integration into the community. 
NOTE

Authority cited: Sections 19006 and 19016, Welfare and Institutions Code. Reference: 29 USC 723(a)(14); 34 CFR Sections 361.5(b)(44) and 361.48(q); and Sections 19011 and 19150(a)(10), Welfare and Institutions Code. 
HISTORY

1. New section filed 1-2-92; operative 3-2-92 (Register 92, No. 18).
2. Amendment filed 4-9-92; operative 4-9-92 pursuant to Government Code section 11346.2(d) (Register 92, No. 21).
3. Amendment of section and Note filed 3-4-2004; operative 4-3-2004 (Register 2004, No. 10).
§7024.5. Rehabilitation Supervisor.
Note     •     History

“Rehabilitation Supervisor” means an employee of the Department whose primary responsibility is to provide direct supervision to Rehabilitation Counselors.
NOTE

Authority cited: Sections 19006 and 19016, Welfare and Institutions Code. Reference: 29 USC 720(a)(3)(E); and Section 19000(e)(9), Welfare and Institutions Code.
HISTORY

1. New section filed 8-16-90; operative 9-15-90 (Register 90, No. 36).
2. Editorial correction of Authority cite (Register 95, No. 10).
3. Amendment of section and Note filed 3-4-2004; operative 4-3-2004 (Register 2004, No. 10).
§7024.7. Rehabilitation Technology.
Note     •     History

(a) “Rehabilitation Technology” means the systematic application of technologies, engineering methodologies, or scientific principles to meet the needs of, and address the barriers confronted by, individuals with disabilities in areas that include education, rehabilitation, employment, transportation, independent living, and recreation. The term includes rehabilitation engineering, assistive technology devices, and assistive technology services. The term also includes vehicular modification and telecommunications, sensory, and other technological aids and devices. 
(b) Rehabilitation technology does not include the purchase and repair of a vehicle because that is defined as transportation pursuant to Section 7029 of these regulations. 
NOTE

Authority cited: Sections 19006 and 19016, Welfare and Institutions Code. Reference: 29 USC Sections 705(30) and 723(a)(14); 34 CFR Sections 361.5(b)(45) and (57) and 361.48(q); and Sections 19011 and 19150(a)(10), Welfare and Institutions Code. 
HISTORY

1. New section filed 3-4-2004; operative 4-3-2004 (Register 2004, No. 10).
§7024.8. Sensory and Other Technological Aids and Devices. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 19006 and 19016, Welfare and Institutions Code. Reference: Section 19150, Welfare and Institutions Code.
HISTORY

1. New section filed 3-25-91; operative 4-24-91 (Register 91, No. 15).
2. Repealer filed 3-4-2004; operative 4-3-2004 (Register 2004, No. 10).
§7024.9. Self-Employment Setting.
Note     •     History

“Self-employment Setting” means an employment setting in which an eligible individual works in a chosen occupation, for profit or fee, in his or her own small business, with control and responsibility for decisions affecting the conduct of the business.
NOTE

Authority cited: Sections 19006 and 19016, Welfare and Institutions Code. Reference: 29 USC Sections 705(11) and 722(b)(3); 34 CFR Sections 361.5(b)(15), 361.5(b)(16), 361.45, 361.46 and 361.81; and Section 19011, Welfare and Institutions Code.
HISTORY

1. New section filed 2-28-2008; operative 3-29-2008 (Register 2008, No. 9).
§7025. Severely Handicapped Individual. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 19006 and 19016, Welfare and Institutions Code. Reference: Section 19010, Welfare and Institutions Code; 34 CFR Section 361.1(c)(2).
HISTORY

1. Renumbering and amendment of section 7020(n) to section 7025 filed 6-21-90; operative 7-21-90 (Register 90, No. 35).
2. Amendment filed 5-2-91; operative 6-1-91 (Register 91, No. 25).
3. Repealer filed 3-4-2004; operative 4-3-2004 (Register 2004, No. 10).
§7025.3. Similar Benefits or Comparable Services and Benefits. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 19006 and 19016, Welfare and Institutions Code. Reference: Section 19150(b), Welfare and Institutions Code; and 34 CFR Section 361.47.
HISTORY

1. New section filed 4-4-80; effective thirtieth day thereafter (Register 80, No. 14).
2. Renumbering and amendment of former subsection 7032(c) to section 7026 filed 1-2-92; operative 3-2-92 (Register 92, No. 18).
3. Change without regulatory effect renumbering the section 7026 entitled “Similar Benefits or Comparable Services and Benefits” to new section 7025.3 filed 6-11-92 pursuant to section 100, title 1, California Code of Regulations (Register 92, No. 24).
4. Repealer filed 3-4-2004; operative 4-3-2004 (Register 2004, No. 10).
§7025.4. Small Business Consultant.
Note     •     History

“Small Business Consultant” means an individual who is qualified by education, training, and experience to provide consultation to the Department and to an eligible individual who is interested in working in a proposed self-employment setting regarding the development of a small business plan and the establishment and operation of a small business, consistent with Section 7149(s) of these regulations.
NOTE

Authority cited: Sections 19006 and 19016, Welfare and Institutions Code. Reference: 29 USC Sections 705(11) and 723(a)(13); 34 CFR Sections 361.5(b)(15), 361.5(b)(16), 361.48(s) and 361.50; and Section 19011, Welfare and Institutions Code.
HISTORY

1. New section filed 2-28-2008; operative 3-29-2008 (Register 2008, No. 9).
§7025.5. Social Security Disability Insurance. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 19006 and 19016, Welfare and Institutions Code. Reference: Sections 19006 and 19016, Welfare and Institutions Code.
HISTORY

1. New section filed 8-16-90; operative 9-15-90 (Register 90, No. 36).
2. Editorial correction of Authority cite (Register 95, No. 10).
3. Repealer filed 3-4-2004; operative 4-3-2004 (Register 2004, No. 10).
§7025.7. Source of Extended Services.
Note     •     History

“Source of Extended Services” means the person, entity or fund that pays for extended services after Department funding ends. 
NOTE

Authority cited: Sections 19006 and 19016, Welfare and Institutions Code. Reference: Sections 19011, 19150(a)(2) and 19150(a)(5), Welfare and Institutions Code; 29 USC Section 705(13) and (35); and 34 CFR Sections 363.1 and 363.6(c)(1) and (2)(iv). 
HISTORY

1. New section filed 10-4-2011; operative 11-3-2011 (Register 2011, No. 40).
§7026. Specific Learning Disability. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 19006 and 19016, Welfare and Institutions Code. Reference: Section 19151, Welfare and Institutions Code.
HISTORY

1. New section filed 11-20-91; operative 1-20-92 (Register 92, No. 8).
2. Repealer filed 3-4-2004; operative 4-3-2004 (Register 2004, No. 10).
§7026.2. Statewide Dental Consultant. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 19006 and 19016, Welfare and Institutions Code. Reference: Sections 19006 and 19016, Welfare and Institutions Code.
HISTORY

1. New section filed 2-28-92; operative 3-30-92 (Register 92, No. 16).
2. Change without regulatory effect renumbering the section 7026 entitled “Statewide Dental Consultant” to new section 7026.2 filed 6-11-92 pursuant to section 100, title 1, California Code of Regulations (Register 92, No. 24).
3. Repealer filed 3-4-2004; operative 4-3-2004 (Register 2004, No. 10).
§7026.3. Statewide Optometric Consultant. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 19006 and 19016, Welfare and Institutions Code. Reference: Sections 19006 and 19016, Welfare and Institutions Code.
HISTORY

1. New section filed 2-28-92; operative 3-30-92 (Register 92, No. 16).
2. Repealer filed 3-4-2004; operative 4-3-2004 (Register 2004, No. 10).
§7026.5. Statewide Psychiatric Consultant. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 19006 and 19016, Welfare and Institutions Code. Reference: Sections 19006 and 19016, Welfare and Institutions Code.
HISTORY

1. New section filed 2-28-92; operative 3-30-92 (Register 92, No. 16).
2. Repealer filed 3-4-2004; operative 4-3-2004 (Register 2004, No. 10).
§7027. Substantial Impediment to Employment.
Note     •     History

“Substantial Impediment to Employment” means that a physical or mental impairment (in light of attendant medical, psychological, vocational, educational, communication, and other related factors) hinders an individual from preparing for, entering into, engaging in, or retaining employment consistent with the individual's abilities and capabilities.
NOTE

Authority cited: Sections 19006 and 19016, Welfare and Institutions Code. Reference: 29 USC 705(20)(A); 34 CFR 361.5(b)(28) and (52); and Sections 19011 and 19151, Welfare and Institutions Code.
HISTORY

1. Renumbering and amendment of section 7020(o) to section 7027 filed 6-21-90; operative 7-21-90 (Register 90, No. 35).
2. Amendment of section heading, text and Note filed 6-6-94 as an emergency; operative 6-6-94 (Register 94, No. 23).  A Certificate of Compliance must be transmitted to OAL by 10-4-94 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 6-6-94 order transmitted to OAL 8-30-94 and filed 10-13-94 (Register 94, No. 41).
4. Amendment of section and Note filed 3-4-2004; operative 4-3-2004 (Register 2004, No. 10).
§7028. Supported Employment.
Note     •     History

“Supported Employment” means: 
(a) Competitive employment in an integrated setting, or employment in integrated work settings in which individuals are working toward competitive employment, consistent with the strengths, resources, priorities, concerns, abilities, capabilities, interests, and informed choice of the individuals with ongoing support services for individuals with the most significant disabilities-- 
(1) For whom competitive employment has not traditionally occurred or for whom competitive employment has been interrupted or intermittent as a result of a significant disability; and 
(2) Who, because of the nature and severity of their disabilities, need intensive supported employment services from the Department and extended services after transition as described in Section 7014.1 of these regulations to perform this work. 
(b) Transitional employment, as defined in Section 7028.8 of these regulations, for individuals with the most significant disabilities due to mental illness. 
NOTE

Authority cited: Sections 19006 and 19016,  Welfare and Institutions Code. Reference: 29 USC 705(35); 34 CFR 361.5(b)(53); and Section 19011, Welfare and Institutions Code.
HISTORY

1. New section filed 8-16-90; operative 9-15-90 (Register 90, No. 36).
2. Editorial correction of Authority cite (Register 95, No. 10).
3. Amendment of section heading, repealer and new section and amendment of Note filed 3-4-2004; operative 4-3-2004 (Register 2004, No. 10).
§7028.1. Supported Employment Services.
Note     •     History

“Supported Employment Services” means ongoing support services and other appropriate services needed to support and maintain an individual with a most significant disability in supported employment that are provided by the Department-- 
(a) For a period of time not to exceed 18 months, unless under special circumstances the eligible individual and the Rehabilitation Counselor jointly agree to extend the time to achieve the employment outcome identified in the Individualized Plan for Employment (IPE); and 
(b) Following transition, as post-employment services that are unavailable from an extended services provider and that are necessary to maintain or regain the job placement or advance in employment. 
NOTE

Authority cited: Sections 19006 and 19016, Welfare and Institutions Code. Reference: 34 CFR Sections 361.5(b)(54) and 361.48(m); and Section 19011, Welfare and Institutions Code. 
HISTORY

1. New section filed 3-4-2004; operative 4-3-2004 (Register 2004, No. 10).
§7028.2. Telecommunication. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 19006 and 19016, Welfare and Institutions Code. Reference: Section 19150, Welfare and Institutions Code.
HISTORY

1. New section filed 3-25-91; operative 4-24-91 (Register 91, No. 15).
2. Repealer filed 3-4-2004; operative 4-3-2004 (Register 2004, No. 10).
§7028.4. Tools.
Note     •     History

“Tool” means an implement, utensil, or instrument, usually hand held, that an individual controls and manipulates to perform a task, and that is typically required for use in a skilled trade such as carpentry, plumbing or electrical work, or auto mechanics. A tool is distinguished from an “Assistive Technology Device” as defined in Section 7002 of these regulations, and “Equipment” as defined in Section 7013.2 of these regulations. 
NOTE

Authority cited: Sections 19006 and 19016, Welfare and Institutions Code. Reference: 29 USC 723; 34 CFR 361.48; and Section 19150, Welfare and Institutions Code.
HISTORY

1. New section filed 3-25-91; operative 4-24-91 (Register 91, No. 15).
2. Repealer and new section and amendment of Note filed 3-4-2004; operative 4-3-2004 (Register 2004, No. 10).
§7028.5. Training Services. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 19006 and 19016, Welfare and Institutions Code. Reference: Section 19150, Welfare and Institutions Code.
HISTORY

1. Renumbering and amendment of former section 7154(a) to section 7028.5 filed 8-16-90; operative 9-15-90 (Register 90, No. 38).
2. Repealer filed 3-4-2004; operative 4-3-2004 (Register 2004, No. 10).
§7028.6. Transition Services.
Note     •     History

“Transition Services” means a coordinated set of activities for a student, designed within an outcome-oriented process, that promotes movement from school to post-school activities, including post-secondary education, vocational training, integrated employment (including supported employment), continuing and adult education, adult services, independent living, or community participation. The coordinated set of activities must be based upon the individual student's needs, taking into account the student's preferences and interests, and must include instruction, community experiences, the development of employment and other post-school adult living objectives, and, if appropriate, acquisition of daily living skills and functional vocational evaluation. Transition services must promote or facilitate the achievement of the employment outcome identified in the student's Individualized Plan for Employment (IPE). 
NOTE

Authority cited: Sections 19006 and 19016, Welfare and Institutions Code. Reference: 29 USC Sections 705(37) and 723(a)(15); 34 CFR Sections 361.5(b)(55) and 361.48(r); and Sections 19011, 19013 and 19150(a)(12), Welfare and Institutions Code. 
HISTORY

1. New section filed 3-4-2004; operative 4-3-2004 (Register 2004, No. 10).
§7028.7. Transition to Extended Services.
Note     •     History

“Transition to extended services,” for purposes of supported employment, means the change of responsibility for funding ongoing support services from the Department to a source of extended services. 
NOTE

Authority cited: Sections 19006 and 19016, Welfare and Institutions Code. Reference: Sections 19011, 19150(a)(2) and 19150(a)(5), Welfare and Institutions Code; 29 USC Sections 705(13) and (35); and 34 CFR Sections 363.1, 363.6(c)(1) and (2)(iv) and 363.55.  
HISTORY

1. New section filed 10-4-2011; operative 11-3-2011 (Register 2011, No. 40).
§7028.8. Transitional Employment.
Note     •     History

“Transitional Employment,” as used in the definition of “Supported Employment,” means a series of temporary job placements in competitive work in integrated settings with ongoing support services for individuals with the most significant disabilities due to mental illness. In transitional employment, the provision of ongoing support services must include continuing sequential job placements until job permanency is achieved. 
NOTE

Authority cited: Sections 19006 and 19016, Welfare and Institutions Code. Reference: 29 USC 705(35)(B); 34 CFR 361.5(b)(53) and (56); and Section 19011, Welfare and Institutions Code. 
HISTORY

1. New section filed 3-4-2004; operative 4-3-2004 (Register 2004, No. 10).
§7029. Transportation.
Note     •     History

(a) “Transportation” means travel and related expenses that are necessary to enable an applicant or eligible individual to participate in a vocational rehabilitation service. 
(b) The following are examples of expenses that meet the definition of transportation: 
(1) Actual cost of public transportation such as buses, light rail, rapid transit, or paratransit, including passes for bus, light rail, or rapid transit, and expenses for training in the use of public transportation vehicles and systems. 
(2) Necessary bridge tolls, parking, gasoline or oil upon a determination that an applicant's or eligible individual's vehicle must be used. 
(3) Travel and related expenses for a personal care attendant or aide if the services of that person are necessary to enable the applicant or eligible individual to travel to participate in any vocational rehabilitation service. 
(4) Relocation expenses incurred by an eligible individual in connection with a job placement that is a significant distance from the eligible individual's current residence. 
(5) The purchase and repair of vehicles, including vans, but not the modification of these vehicles, as vehicle modification is considered a rehabilitation technology service. 
NOTE

Authority cited: Sections 19006 and 19016, Welfare and Institutions Code. Reference: 29 USC 723(a)(8); 34 CFR Sections 361.5(b)(57) and 361.48(h); and Sections 19011 and 19150(a)(15), Welfare and Institutions Code.
HISTORY

1. Renumbering and amendment of section 7020(p) to section 7029 filed 6-21-90; operative 7-21-90 (Register 90, No. 34).
2. Amendment of section and Note filed 3-4-2004; operative 4-3-2004 (Register 2004, No. 10).
§7029.1. Trial Work Experience.
Note     •     History

(a) “Trial Work Experience” means the exploration of an individual's abilities, capabilities, and capacity to perform in realistic work situations and must be conducted prior to a determination that, due to the severity of the individual's disability, the individual is incapable of benefiting from vocational rehabilitation services in terms of an employment outcome in an integrated setting. 
(b) Trial work experience: 
(1) Includes supported employment, on-the-job-training, and other experiences using realistic work settings; 
(2) Must be provided in the most integrated setting possible, consistent with the informed choice and rehabilitation needs of the individual; 
(3) Must be provided pursuant to a written plan to periodically assess the individual's abilities, capabilities, and capacity to perform in work situations; and 
(4) Must include appropriate supports provided by the Department, including assistive technology devices and services and personal assistance services to accommodate the rehabilitation needs of the individual during trial work experience. 
(c) Trial work experience must be of sufficient variety and over a sufficient period of time for the Department to make a determination that: 
(1) There is sufficient evidence to conclude that the individual can benefit from the provision of vocational rehabilitation services in terms of an employment outcome in an integrated setting; or 
(2) There is clear and convincing evidence, as defined in Section 7004.6 of these regulations, that the individual is incapable of benefiting from vocational rehabilitation services in terms of an employment outcome in an integrated setting due to the severity of the individual's disability. 
NOTE

Authority cited: Sections 19006 and 19016, Welfare and Institutions Code. Reference: 29 USC Sections 705(2)(D), 722(a)(2)(B) and 723(a)(1); 34 CFR Sections 361.42(e), 361.47(a)(5) and 361.48(a); and Sections 19011 and 19150(a)(1), Welfare and Institutions Code. 
HISTORY

1. New section filed 3-4-2004; operative 4-3-2004 (Register 2004, No. 10).
§7029.3. Vocational Psychologist.
Note     •     History

“Vocational Psychologist” means an employee of the Department who assists Department staff by: conducting psychological testing; providing consultation and recommendations; providing training to Department staff; establishing cooperative relationships in the psychological community; and, if licensed by the Board of Psychology, providing diagnostic evaluation within the scope of his/her licensure.
NOTE

Authority cited: Sections 19006 and 19016, Welfare and Institutions Code. Reference: 29 USC 720(a)(3)(E); and Section 19000(e)(9), Welfare and Institutions Code.
HISTORY

1. New section filed 2-28-92; operative 3-30-92 (Register 92, No. 16).
2. Amendment of section and Note filed 3-4-2004; operative 4-3-2004 (Register 2004, No. 10).
§7029.5. Workshop. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 19006 and 19016, Welfare and Institutions Code. Reference: Section 19150, Welfare and Institutions Code.
HISTORY

1. New section filed 3-25-91; operative 4-24-91 (Register 91, No. 15).
2. Repealer filed 3-4-2004; operative 4-3-2004 (Register 2004, No. 10).
Chapter 1.5. Informed Choice
§7029.6. Informed Choice.
Note     •     History

(a) Applicants and eligible individuals or, as appropriate, their representatives shall be provided information and support services to assist them in exercising informed choice throughout the rehabilitation process consistent with the requirements of this section. 
(b) To assist applicants and eligible individuals to exercise informed choice throughout the vocational rehabilitation process, the Department shall: 
(1) Inform each applicant and eligible individual (including students with disabilities who are making the transition from programs under the responsibility of an educational agency to the Department's programs), through appropriate modes of communication, about the availability of and opportunities to exercise informed choice, including the availability of support services for individuals with cognitive or other disabilities who require assistance in exercising informed choice throughout the vocational rehabilitation process; 
(2) Assist applicants and eligible individuals in exercising informed choice in decisions related to the provision of assessment services; 
(3) Afford eligible individuals meaningful choices among methods used to procure vocational rehabilitation services, consistent with applicable State procurement laws and regulations and federal policy directives issued by the U.S. Department of Education, Office of Special Education and Rehabilitative Services (OSERS), Rehabilitation Services Administration; and 
(4) Assist eligible individuals or, as appropriate, the individuals' representatives to acquire information that enables them to exercise informed choice in the development of their Individualized Plans for Employment (IPEs) with respect to the selection of the -- 
(A) Employment outcome, as defined in and consistent with Section 7011 of these regulations; 
(B) Specific vocational rehabilitation services needed to achieve the employment outcome, as defined in and consistent with Section 7149 of these regulations; 
(C) Entity that will provide the services; 
(D) Employment setting and the settings in which the services will be provided; and 
(E) Methods available for procuring the services, consistent with State procurement laws and regulations and federal policy directives issued by the U.S. Department of Education, Office of Special Education and Rehabilitative Services (OSERS), Rehabilitation Services Administration. 
(c) The availability and scope of informed choice shall be consistent with the Department's obligations under the Act and federal regulations and with the Department's responsibilities for the administration of the vocational rehabilitation program. Statutory and regulatory requirements that affect the exercise of informed choice include all of the following: 
(1) Section 101(a)(6)(C) of the Act and 34 CFR 361.51, which require that any facility used in connection with the delivery of vocational rehabilitation services is accessible to individuals with disabilities. 
(2) Section 101(a)(8)(A) of the Act and 34 CFR 361.53, which require that prior to providing any vocational rehabilitation service to an eligible individual, or to members of the individual's family, the Department shall determine whether comparable services and benefits as defined in Section 7006 of these regulations are available under any other program in accordance with and under conditions specified in Chapter 5, Article 3 of these regulations. 
(3) Section 101(a)(9)(B) of the Act and 34 CFR 361.45, which require that vocational rehabilitation services be provided in accordance with the provisions of the Individualized Plan for Employment (IPE). 
(4) 34 CFR 361.50, which authorizes the Department to develop and maintain written policies covering the nature and scope of each of the vocational rehabilitation services specified in Section 7149 of these regulations and the criteria under which each service is provided. 
(5) 34 CFR 361.54, which permits the Department to consider the financial need of eligible individuals, or individuals who are receiving services through trial work experience under Section 7062(h) or during an extended evaluation under Section 7062(i) of these regulations, for purposes of determining the extent of their participation in the costs of vocational rehabilitation services under conditions specified in Chapter 5, Article 1 of these regulations. 
(6) 34 CFR 80.36(a) of the Education Department General Administrative Regulations (EDGAR), which governs the procurement of property and services under a grant. 
(7) 34 CFR 361.13(c), which specifies activities that are the responsibility of the Department in the administration of the vocational rehabilitation program. These activities include, but are not limited to: 
(A) All decisions affecting eligibility for vocational rehabilitation services, the nature and scope of available services, and the provision of these services; and 
(B) The allocation and expenditure of vocational rehabilitation funds. 
(8) 34 CFR 361.12, which requires, in part, that the Department ensure financial accountability in administering the vocational rehabilitation program. 
(9) 34 CFR 361.48 which requires, in part, that vocational rehabilitation services must be appropriate to the vocational rehabilitation needs of the individual. 
(10) 34 CFR 361.45, which requires, in part, that the employment outcome chosen by the eligible individual must be consistent with the individual's strengths, resources, priorities, concerns, abilities, capabilities, and interests. 
(d) When assisting an applicant and eligible individual to exercise informed choice during the assessment for determining eligibility and vocational rehabilitation needs and during development of the IPE, the Department must provide the individual or the individual's representative, or assist the individual or the individual's representative to acquire, information necessary to make an informed choice about the specific vocational rehabilitation services, including the providers of those services, that are needed to achieve the individual's employment outcome. This information must include, at a minimum, information relating to the -- 
(1) Cost, accessibility, and duration of potential services; 
(2) Consumer satisfaction with those services, to the extent that this information is available; 
(3) Qualifications of potential service providers; 
(4) Types of services offered by the potential providers; 
(5) Degree to which services are provided in integrated settings; and 
(6) Outcomes achieved by individuals working with service providers, to the extent that this information is available. 
(e) In providing, or assisting the individual or the individual's representative to acquire, the information specified in (d) of this section, the Department may use, but is not limited to, the following methods or sources of information. 
(1) Lists of services and service providers. 
(2) Periodic consumer satisfaction surveys and reports. 
(3) Referrals to other consumers, consumer groups, or disability advisory councils qualified to discuss the services or service providers. 
(4) Relevant accreditation, certification, or other information relating to the qualifications of service providers. 
(5) Opportunities for individuals to visit or experience various work and service provider settings. 
NOTE

Authority cited: Sections 19006 and 19016, Welfare and Institutions Code. Reference: 29 USC Sections 701(a)(6) and (c)(1), 721(a)(19) and 722(b) and (d); 34 CFR Sections 361.50 and 361.52; and Sections 19000(d)(1) and (e)(6), 19005, 19011 and 19012, Welfare and Institutions Code. 
HISTORY

1. New chapter 1.5 (section 7029.6) and section filed 3-4-2004; operative 4-3-2004 (Register 2004, No. 10).
Chapter 1.7. Rights and Responsibilities of Individuals with Disabilities; Applicants; Eligible Individuals
§7029.7. Rights of Individuals with Disabilities; Applicants; Eligible Individuals.
Note     •     History

(a) Any individual with a disability shall have a right to: 
(1) Be treated with respect for individual dignity, personal responsibility, self-determination, and pursuit of a meaningful career based on informed choice, consistent with principles established in Section 2 of the Act. 
(2) Apply for services from the Department in accordance with Section 7041 of these regulations. 
(3) Be referred by the Department to other appropriate Federal and State programs, including other components of the workforce investment system, under conditions specified in Section 7037 of these regulations, or be referred to a local extended employment provider under conditions specified in Section 7038 of these regulations. 
(b) Any applicant or eligible individual, as appropriate, shall have a right to: 
(1) Be an active and full partner in the vocational rehabilitation process and exercise informed choice throughout the vocational rehabilitation process in accordance with Section 7029.6 of these regulations. 
(2) Have his or her eligibility determined within 60 days of the date of application, under conditions specified in Section 7060 of these regulations. 
(3) If determined to be eligible, have his or her priority category determined for the purposes of an Order of Selection in accordance with Chapter 2, Article 2 of these regulations. 
(4) Have personal information collected and maintained by the Department kept confidential and request that documentation in his or her record of services be amended in accordance with the requirements of Chapter 2, Article 6 of these regulations. The right to confidentiality shall continue after the record of services is closed. 
(5) If determined to be eligible, develop all or part of his or her Individualized Plan for Employment (IPE) in accordance with Chapter 2, Article 5 of these regulations and receive a periodic, but at least annual, review of his or her IPE in accordance with Section 7133 of these regulations. 
(6) Receive appropriate services without undue delay, except where the delay results from circumstances beyond the Department's control, such as the absence of training openings at schools or facilities, or unanticipated changes in the program due to new information or conditions. 
(7) Appeal any determination made by the Department that affects the provision of vocational rehabilitation services through administrative review, mediation, and fair hearing under conditions specified in Chapter 12 of these regulations. Determinations that may be appealed include a determination that an applicant is ineligible for services or that an individual who was previously eligible is no longer eligible for services. 
NOTE

Authority cited: Sections 19006 and 19016, Welfare and Institutions Code. Reference: 29 USC Sections 701(a) and (c), 720, 721(a)(5), (19) and (20), and 722; 34 CFR Sections 361.36, 361.37, 361.38, 361.41, 361.42, 361.43, 361.45, 361.50, 361.52 and 361.57; Sections 1798.1, 1798.21 and 1798.35, Civil Code; and Sections 19000(d) and (e), 19011 and 19102, Welfare and Institutions Code. 
HISTORY

1. New chapter 1.7 (sections 7029.7-7029.9) and section filed 3-4-2004; operative 4-3-2004 (Register 2004, No. 10).
§7029.9. Responsibilities of Individuals with Disabilities; Applicants; Eligible Individuals.
Note     •     History

(a) Any individual with a disability who wishes to receive vocational rehabilitation services from the Department is responsible for completing the application process in accordance with the requirements of Section 7041 of these regulations. 
(b) Any applicant or eligible individual, as appropriate, shall have the responsibility to: 
(1) Participate and cooperate in obtaining and providing the information needed by the Department to: 
(A) Determine eligibility and priority for services in accordance with Section 7062 of these regulations; 
(B) Determine level of significance of disability (LSOD) for the purposes of an Order of Selection in accordance with Section 7054 of these regulations; 
(C) Determine whether the individual's chosen employment outcome is consistent with the individual's strengths, resources, priorities, concerns, abilities, capabilities, and interests; 
(D) Determine the nature and scope of vocational rehabilitation services to be included in the Individualized Plan for Employment (IPE) in accordance with Section 7130.5 of these regulations; and 
(E) Make any other determinations that are required by or consistent with federal or state statutes and regulations. 
(2) Be an active and full partner in the vocational rehabilitation process and exercise informed choice throughout the vocational rehabilitation process, with assistance from the Rehabilitation Counselor as appropriate, by engaging in the following activities to the extent possible: 
(A) Gathering and evaluating information and participating in planning and problem solving and decisions related to the assessment process, selection of the employment outcome and settings in which employment occurs, vocational rehabilitation services, service providers, settings in which services will be provided, and methods for procuring services; 
(B) Seeking or identifying needed resources; 
(C) Evaluating the consequences of the various options; 
(D) Making decisions in ways that reflect the individual's strengths, resources, priorities, concerns, abilities, capabilities, and interests; and 
(E) Taking personal responsibility for implementing the chosen options and achievement of the employment outcome the individual selected. 
(3) Report any changes in circumstances that may affect: 
(A) Eligibility for vocational rehabilitation services; 
(B) Priority category under an Order of Selection; 
(C) The services and/or the employment outcome specified in the Individualized Plan for Employment (IPE); and 
(D) The Department's ability to contact the individual. 
(4) Cooperate in the assessment process and in developing and meeting the objectives identified in the IPE including, but not limited to, active participation, reasonable effort, regular attendance at scheduled appointments and training, and regular communication with the Rehabilitation Counselor regarding progress toward achievement of the employment outcome. Failure to cooperate, make reasonable effort, lack of regular attendance, or failure to maintain regular communication may result in loss of further services and closure of the record of services. 
(5) Participate in the cost of services under conditions specified in Chapter 5, Article 1 of these regulations. 
(6) Apply for, secure and use comparable services and benefits to the extent to which the individual is eligible for such benefits in accordance with Chapter 5, Article 3 of these regulations. 
NOTE

Authority cited: Sections 19006 and 19016, Welfare and Institutions Code. Reference: 29 USC Sections 701(c), 720, 721(a)(5) and (8) and 722; 34 CFR Sections 361.13, 361.36, 361.38, 361.41(b), 361.42, 361.45, 361.46, 361.48, 361.53 and 361.54; Section 1798.15, Civil Code; and Sections 19011, 19018, 19102 and 19150(b), Welfare and Institutions Code. 
HISTORY

1. New section filed 3-4-2004; operative 4-3-2004 (Register 2004, No. 10).
Chapter 2. Referral and Application Processes; Order of Selection; Eligibility; Record of Services; Individualized Plan for Employment (IPE)
Article 1. Referral and Application Processes
§7030. Vocational Rehabilitation Services. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 19006 and 19016, Welfare and Institutions Code; and Section 35, Chapter 937, Statutes of 1993. Reference: Sections 19006 and 19016, Welfare and Institutions Code; and 29 U.S.C. 722(a).
HISTORY

1. Renumbering and amendment of former chapter 5 heading to chapter 2 filed 6-21-90; operative 7-21-90 (Register 90, No. 35).
2. Repealer and amendment of Note filed 6-6-94 as an emergency; operative 6-6-94 (Register 94, No. 23).  A Certificate of Compliance must be transmitted to OAL by 10-4-94 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 6-6-94 order transmitted to OAL 8-30-94 and filed 10-13-94 (Register 94, No. 41).
4. Amendment of chapter and article headings filed 3-4-2004; operative 4-3-2004 (Register 2004, No. 10).
§7031. Rights of Individuals with Disabilities. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 19006 and 19016, Welfare and Institutions Code; and Section 35, Chapter 937, Statutes of 1993. Reference: Sections 19006 and 19016, Welfare and Institutions Code; and 29 U.S.C. 722(a) and (b).
HISTORY

1. Renumbering and amendment of former section 7048 to section 7031 filed 6-6-94 as an emergency; operative 6-6-94 (Register 94, No. 23).  A Certificate of Compliance must be transmitted to OAL by 10-4-94 or emergency language will be repealed by operation of law on the following day.  For prior history, see Register 92, No. 18.
2. Certificate of Compliance as to 6-6-94 order transmitted to OAL 8-30-94 and filed 10-13-94 (Register 94, No. 41).
3. Editorial correction of History 1 (Register 95, No. 10).
4. Repealer filed 3-4-2004; operative 4-3-2004 (Register 2004, No. 10).
§7032. Definitions. [Renumbered]
Note     •     History

NOTE

Authority cited: Sections 19006 and 190016, Welfare and Institutions Code. Reference: 34 CFR 361.42(b)(4) and 361.47(b).
HISTORY

1. New section filed 4-4-80; effective thirtieth day thereafter (Register 80, No. 14).
2. Amendment filed 2-10-83; designated effective 2-20-83 pursuant to Government Code section 11346.2(d) (Register 83, No. 7).
3. Renumbering and amendment of section 7032 to section 7197 filed 1-2-92; operative 3-2-92 (Register 92, No. 18).
§7033. Responsibilities of Applicants and Clients. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 19006 and 19016, Welfare and Institutions Code; and Section 35, Chapter 937, Statutes of 1993. Reference: Section 19102, Welfare and Institutions Code; and 29 U.S.C. 722(a) and (b).
HISTORY

1. New section filed 6-6-94 as an emergency; operative 6-6-94 (Register 94, No. 23).  A Certificate of Compliance must be transmitted to OAL by 10-4-94 or emergency language will be repealed by operation of law on the following day.  For prior history, see Register 92, No. 18. 
2. Certificate of Compliance as to 6-6-94 order transmitted to OAL 8-30-94 and filed 10-13-94 (Register 94, No. 41).
3. Repealer filed 3-4-2004; operative 4-3-2004 (Register 2004, No. 10).
§7034. Similar Benefit Review. [Renumbered]
Note     •     History

NOTE

Authority cited: Sections 19006 and 190016, Welfare and Institutions Code. Reference: 45 CFR 1361.45(b).
HISTORY

1. New section filed 4-4-80; effective thirtieth day thereafter (Register 80, No. 14).
2. Renumbering and amendment of section 7034 to subsection 7096(c) filed 1-2-92; operative 3-2-92 (Register 92, No. 18).
§7035. Processing Referrals of Individuals to the Department.
Note     •     History

(a) The purpose of this section is to provide standards for the prompt and equitable handling of referrals of individuals made to the Department for vocational rehabilitation services, including referrals of individuals made through the One-Stop service delivery systems established under the Workforce Investment Act of 1998 (29 USC 2841). 
(b) The Department shall provide all individuals referred to the Department with information about: 
(1) The application process and requirements under Section 7041 of these regulations, including the requirement that the individual provide the Department with information necessary to initiate an assessment to determine eligibility and priority for services as a condition of application; 
(2) The basis for a determination of eligibility and priority category in accordance with Section 7062 of these regulations; and 
(3) The Order of Selection process as specified in Chapter 2, Article 2 of these regulations. 
(c) The information specified in (b) of this section shall be provided in writing to the potential applicant and/or his or her authorized representative no later than 15 working days after the initial contact from the potential applicant and/or his or her authorized representative or from a third party referring the potential applicant. 
NOTE

Authority cited: Sections 19006 and 19016, Welfare and Institutions Code. Reference: 34 CFR 361.41; and Section 19011, Welfare and Institutions Code. 
HISTORY

1. New section filed 3-4-2004; operative 4-3-2004 (Register 2004, No. 10).
§7037. Processing Referrals of Individuals to Other Agencies.
Note     •     History

(a) The Department shall provide individuals with disabilities, including eligible individuals who are not in a priority category being served under an Order of Selection implemented pursuant to Chapter 2, Article 2 of these regulations, with accurate vocational rehabilitation information and guidance (which may include counseling and referral for job placement) to assist those individuals to prepare for, secure, retain, or regain employment. The Department shall provide this information using appropriate modes of communication. 
(b) The Department shall refer individuals with disabilities to other appropriate Federal and State programs, including other components of the statewide workforce investment system such as One-Stop Centers. In making these referrals, the Department must-- 
(1) Refer the individual to Federal or State programs, including programs carried out by other components of the statewide workforce investment system, best suited to address the specific employment needs of an individual with a disability; and 
(2) Provide the individual who is being referred with all of the following: 
(A) A notice of referral by the Department to the agency carrying out the program; 
(B) Information identifying a specific point of contact within the agency to which the individual is being referred; 
(C) Information and advice regarding the most suitable services to assist the individual to prepare for, secure, retain, or regain employment; and 
(D) Information about the Client Assistance Program and how to contact that program. 
NOTE

Authority cited: Sections 19006 and 19016, Welfare and Institutions Code. Reference: 29 USC Sections 721(a)(20) and 723(a)(3); 34 CFR Sections 361.37, and 361.48(d); and Section 19011, Welfare and Institutions Code. 
HISTORY

1. New section filed 3-4-2004; operative 4-3-2004 (Register 2004, No. 10).
§7038. Processing Referrals of Individuals to Local Extended Employment Providers.
Note     •     History

The Department must refer to local extended employment providers an individual with a disability who makes an informed choice to pursue extended employment, as defined in Section 7013.6 of these regulations, as an employment goal. Before making this referral, the Department must-- 
(a) Consistent with Section 7041(d)(6) of these regulations, explain to the individual that the purpose of the vocational rehabilitation program is to assist individuals to achieve an employment outcome, as defined in Section 7011 of these regulations (i.e., employment in an integrated setting); 
(b) Consistent with informed choice as described in Section 7029.6 of these regulations, provide the individual with information concerning the availability of employment options and of vocational rehabilitation services in integrated settings; 
(c) Inform the individual that services under the vocational rehabilitation program may be provided to eligible individuals in an extended employment setting if necessary for the purposes of training or otherwise preparing for employment in an integrated setting; 
(d) Inform the individual that, if he or she initially chooses not to pursue employment in an integrated setting, he or she may seek services from the Department at a later date if, at that time, he or she chooses to pursue employment in an integrated setting; and 
(e) Refer the individual, as appropriate, to the Social Security Administration (SSA) in order to obtain information concerning the ability of individuals with disabilities to work while receiving benefits from the SSA. 
NOTE

Authority cited: Sections 19006 and 19016, Welfare and Institutions Code. Reference: 34 CFR Sections 361.5(b)(19) and 361.37; and Section 19011, Welfare and Institutions Code. 
HISTORY

1. New section filed 3-4-2004; operative 4-3-2004 (Register 2004, No. 10).
§7040. Referrals. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 19006 and 19016, Welfare and Institutions Code. Reference: Sections 19006 and 19016, Welfare and Institutions Code.
HISTORY

1. Editorial correction of Reference cite (Register 95, No. 10).
2. Repealer filed 3-4-2004; operative 4-3-2004 (Register 2004, No. 10).
§7041. Processing Applications.
Note     •     History

(a) Application forms shall be available at all Department offices and in One-Stop centers established pursuant to the Workforce Investment Act of 1998 (29 USC 2841). 
(b) An individual is considered to have submitted an application when the individual or the individual's representative, as appropriate: 
(1) Has applied for or requested services by: 
(A) Completing and signing a DR 222, Vocational Rehabilitation Services Application (Rev. 03/04), incorporated by reference herein; or 
(B) Completing a common intake application form in a One-Stop center requesting vocational rehabilitation services; or 
(C) Otherwise requesting services from the Department; and 
(2) Has provided the Department with information necessary to initiate an assessment to determine eligibility and priority for services; and 
(3) Is available to complete the assessment process. 
(c) For the purposes of determining eligibility within the timelines established in Section 7060 of these regulations, the date of application shall be the date upon which all three conditions specified in (b)(1) through (3) of this section are met. 
(d) All applicants shall be provided all of the following information: 
(1) The date of application as established in (c) of this section. 
(2) Timelines for an eligibility determination in accordance with Section 7060(a)(1) and (2) of these regulations. 
(3) The basis for establishing a priority for services under an Order of Selection as set forth in Chapter 2, Article 2 of these regulations. 
(4) The right to appeal any determination made by the Department that affects the provision of vocational rehabilitation services through administrative review, mediation, and fair hearing as provided in Chapter 12 of these regulations and the availability of assistance from the Client Assistance Program. 
(5) The confidentiality of personal information, and Department policies and procedures regarding its use and release, as specified in Chapter 2, Article 6 of these regulations. 
(6) That individuals who receive vocational rehabilitation services from the Department must intend to achieve an employment outcome. The applicant's completion of the application process, as specified in (b) of this section, is sufficient evidence of the individual's intent to achieve an employment outcome. 
NOTE

Authority cited: Sections 19006 and 19016, Welfare and Institutions Code. Reference: 29 USC Sections 721(a)(5) and 722(c); 34 CFR Sections 361.36, 361.38, 361.41(b), 361.42(a)(4) and 361.57; and Sections 19011 and 19102, Welfare and Institutions Code.
HISTORY

1. Repealer and new section filed 3-25-91; operative 4-25-91 (Register 91, No. 15). 
2. Change without regulatory effect amending subsection (a)(2) filed 9-12-91 pursuant to section 100, title 1, California Code of Regulations (Register 92, No. 5).
3. Amendment of section and Note filed 6-6-94 as an emergency; operative 6-6-94 (Register 94, No. 23).  A Certificate of Compliance must be transmitted to OAL by 10-4-94 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 6-6-94 order transmitted to OAL 8-30-94 and filed 10-13-94 (Register 94, No. 41).
5. Amendment of section heading, repealer and new section and amendment of Note filed 3-4-2004; operative 4-3-2004 (Register 2004, No. 10).
§7041.5. Date of Application. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 19006 and 19016, Welfare and Institutions Code; and Section 35, Chapter 937, Statutes of 1993. Reference: Sections 19005, 19100 and 19102, Welfare and Institutions Code;  29 U.S.C. 721(a)(5) and 722(a); and 34 CFR 361.36.
HISTORY

1. New section filed 6-6-94 as an emergency; operative 6-6-94  (Register 94, No. 23).  A Certificate of Compliance must be transmitted to OAL by 10-4-94 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 6-6-94 order transmitted to OAL 8-30-94 and filed 10-13-94 (Register 94, No. 41).
3. Amendment of subsection (b)(2)(B) and Note filed 7-27-95 as an emergency; operative 7-27-95 (Register 95, No. 30). A Certificate of Compliance must be transmitted to OAL by 11-24-95 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 7-27-95 order transmitted to OAL 7-11-95 and filed 8-21-95 (Register 95, No. 34).
5. Repealer filed 3-4-2004; operative 4-3-2004 (Register 2004, No. 10).
§7042. Reapplication.
Note     •     History

(a) When a former applicant or eligible individual whose record of services has been closed reapplies for services, the Rehabilitation Counselor shall: 
(1) Determine the individual's eligibility; and 
(2) If the individual is determined to be eligible, determine the individual's priority category under an Order of Selection implemented pursuant to Section 7053 of these regulations. 
(b) The determinations specified in (a)(1) and (2) of this section shall be made in accordance with the established criteria for first-time applicants specified in Chapter 2, Articles 2 and 3 of these regulations. 
(c) In making the determinations specified in (a)(1) and (2) of this section, the Rehabilitation Counselor shall consider pertinent information contained in the individual's prior record of services. 
NOTE

Authority cited: Sections 19006 and 19016, Welfare and Institutions Code. Reference: 29 USC Sections 721(a)(5) and 722(a); 34 CFR Sections 361.36 and 361.42; and Sections 19011, 19102 and 19103(c), Welfare and Institutions Code.
HISTORY

1. Editorial correction of Reference cite (Register 95, No. 10).
2. Repealer and new section and amendment of Note filed 3-4-2004; operative 4-3-2004 (Register 2004, No. 10).
§7043. Paper Referral Screening. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 19006 and 19016, Welfare and Institutions Code; and Section 35, Chapter 937, Statutes of 1993. Reference: Section 19010, Welfare and Institutions Code; and 34 CFR Section 361.30.
HISTORY

1. New section filed 3-25-91; operative 4-25-91 (Register 91, No. 15).
2. Amendment of subsection (d) and Note filed 6-6-94  as an emergency; operative 6-6-94 (Register 94, No. 23).  A Certificate of Compliance must be transmitted to OAL by 10-4-94 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 6-6-94 order including amendment of subsection (a) transmitted to OAL 8-30-94 and filed 10-13-94 (Register 94, No. 41).
4. Repealer and new section and amendment of Note filed 3-4-2004; operative 4-3-2004 (Register 2004, No. 10).
§7043.5. Screened-In Referrals Receiving SSDI or SSI/SSP Benefits. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 19006 and 19016, Welfare and Institutions Code. Reference: Section 19010, Welfare and Institutions Code.
HISTORY

1. New section filed 1-14-92; operative 2-13-92 (Register 92, No. 13).
2. Repealer filed 3-4-2004; operative 4-3-2004 (Register 2004, No. 10).
§7045. Initial Interview.
Note     •     History

(a) As part of the Department's application process, an initial interview shall be conducted with the applicant. Whenever possible, the initial interview shall be conducted within two weeks of the date of application established in Section 7041(c) of these regulations. 
(b) The Department shall take the following actions before or during the initial interview: 
(1) Have the individual or his or her authorized representative complete and sign a DR 222, Vocational Rehabilitation Services Application (Rev. 03/04), incorporated by reference herein, if he or she has not already done so. 
(2) Obtain any additional information needed to initiate an assessment of eligibility and priority for services as described in Section 7062 of these regulations. 
(3) Provide information about the vocational rehabilitation program, including, but not limited to, information that explains: 
(A) Eligibility requirements, consistent with Section 7062 of these regulations; 
(B) Department priorities for serving individuals with disabilities under an Order of Selection implemented pursuant to Section 7053 of these regulations, consistent with Chapter 2, Article 2 of these regulations; 
(C) Services that may be provided to the applicant during an assessment to determine eligibility and priority for services, including the provision of rehabilitation technology when needed, and services that may be provided to an eligible individual under an Individualized Plan for Employment (IPE); 
(D) Informed choice, consistent with Section 7029.6 of these regulations; 
(E) Protection, use, and release of personal information collected and maintained by the Department, consistent with Chapter 2, Article 6 of these regulations; 
(F) Rights and responsibilities of the applicant, consistent with Sections 7029.7 and 7029.9 of these regulations, respectively; and 
(G) The Client Assistance Program, including the services provided by the program and how to contact the program. 
(4) Provide the applicant with the Client Information Handbook. 
(c) The applicant shall be advised that individuals who receive services under the Department's vocational rehabilitation program must intend to achieve an employment outcome. 
NOTE

Authority cited: Sections 19006 and 19016, Welfare and Institutions Code. Reference: 29 USC Sections 701(a)(6) and (c)(1), 705(20), 721(a)(5) and (19), and 722(b)(2) and (d); 34 CFR Sections 361.5(b)(28), 361.36, 361.38, 361.41, 361.42, 361.52 and 361.57; and Sections 19000(d)(1) and (e)(6), 19011, 19102 and 19151, Welfare and Institutions Code.
HISTORY

1. New section filed 3-25-91; operative 4-25-91 (Register 91, No. 15).
2. Amendment of section and Note filed 6-6-94 as an emergency; operative 6-6-94 (Register 94, No. 23).  A Certificate of Compliance must be transmitted to OAL by 10-4-94 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 6-6-94 order including amendment of subsection (b)(5)  transmitted to OAL 8-30-94 and filed 10-13-94 (Register 94, No. 41).
4. Amendment of section heading, repealer and new section and amendment of Note filed 3-4-2004; operative 4-3-2004 (Register 2004, No. 10).
§7045.2. Intake Interview--SSDI and SSI/SSP Recipients. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 19006 and 19016, Welfare and Institutions Code. Reference: Section 19010, Welfare and Institutions Code.
HISTORY

1. New section filed 1-14-92; operative 2-13-92 (Register 92, No. 13).
2. Repealer filed 3-4-2004; operative 4-3-2004 (Register 2004, No. 10).
§7048. Rights of Disabled Individuals. [Renumbered]
Note     •     History

NOTE

Authority cited: Sections 19006 and 19016, Welfare and Institutions Code. Reference: Sections 19006 and 19016, Welfare and Institutions Code.
HISTORY

1. Renumbering and amendment of NOTE of former section 7011 to section 7048 filed 6-21-90; operative 7-21-90 (Register 90, No. 35).
2. Renumbering of former section 7048 to section 7031 filed 6-6-94 as an emergency; operative 6-6-94 (Register 94, No. 23).  A Certificate of Compliance must be transmitted to OAL by 10-4-94 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 6-6-94 order transmitted to OAL 8-30-94 and filed 10-13-94 (Register 94, No. 41).
Article 2. Order of Selection for Vocational Rehabilitation Services
§7050. General Provisions.
Note     •     History

(a) The purpose and intent of this article is:
(1) To provide an organized and equitable method to serve individuals with disabilities, if it is anticipated that all eligible individuals who apply for vocational rehabilitation services cannot be served, by:
(A) determining the need for an Order of Selection for Vocational Rehabilitation Services;
(B) timing the establishment of an Order of Selection for Vocational Rehabilitation Services;
(C) developing priority categories for an Order of Selection for Vocational Rehabilitation Services;
(D) implementing and monitoring an Order of Selection for Vocational Rehabilitation Services; and
(E) determining a priority category for each eligible individual.
(2) To manage the resources available for the provision of vocational rehabilitation services for each fiscal year.
(3) To assure that first priority for vocational rehabilitation services is given to individuals with the most significant disabilities as defined herein.
(4) To assure the statewideness of the Order of Selection for Vocational Rehabilitation Services.
(5) To define the circumstances under which the Department will not require an Order of Selection for Vocational Rehabilitation Services.
(b) Order of Selection for Vocational Rehabilitation Services shall not be based on the following:
(1) Any geographical location of residency within the state;
(2) Any duration of residency requirement, provided the individual is present in the State;
(3) Type of disability;
(4) Sex, race, age, religious creed, color, ancestry, national origin, sexual orientation, or marital status;
(5) Source of referral;
(6) Type of expected employment outcome;
(7) The particular service needs or anticipated cost of services required by an individual; and
(8) The income level of an individual or an individual's family.
NOTE

Authority cited: Sections 19006 and 19016, Welfare and Institutions Code. Reference: 29 USC Sections 705(21) and 721(a)(5); 34 CFR Sections 361.5(b)(30) and 361.36; and Sections 19011 and 19102, Welfare and Institutions Code.
HISTORY

1. Repealer and new section filed 12-18-80 as an emergency; effective upon filing (Register 80, No. 51). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 4-17-81.
2. Order of Repeal of 12-18-80 order filed 12-23-80 by OAL pursuant to Government Code Section 11349.6 (Register 80, No. 51).
3. Repealer and new section filed 5-8-81; effective thirtieth day thereafter (Register 81, No. 19).
4. Amendment of subsection (a)(1) filed 6-21-90; operative 7-21-90 (Register 90, No. 35).
5. Amendment of article 2 heading, repealer and new section filed 7-27-95 as an emergency; operative 7-27-95 (Register 95, No. 30). A Certificate of Compliance must be transmitted to OAL by 11-24-95 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 7-27-95 order transmitted to OAL 7-11-95 and filed 8-21-95 (Register 95, No. 34).
7. Amendment of subsections (a)(1) and (a)(3) and amendment of Note filed 6-28-2001 as an emergency; operative 7-1-2001 (Register 2001, No. 26). A Certificate of Compliance must be transmitted to OAL by 10-29-2001 or emergency language will be repealed by operation of law on the following day.
8. Certificate of Compliance as to 6-28-2001 order, including further amendment of section and Note, transmitted to OAL 10-24-2001 and filed 12-10-2001 (Register 2001, No. 50).
§7051. Definitions.
Note     •     History

(a) For the purposes of this Article, the following definitions shall apply:
(1) “Accommodation” for the purpose of evaluating the impact in a functional capacity area means any type of assistance required as a result of an impairment including, but not limited to, work site adaptation, job restructuring, assistive technology devices, personal assistance services, prescribed medication, alternate media, or prosthesis.
(2) “Assess” or “assessment,” for the purposes of Order of Selection for Vocational Rehabilitation Services only, means quantifying the impact of the limitations presented by an individual's disability considered in a full range of environments. This assessment takes place after an individual has been determined to be eligible for services from the Department of Rehabilitation.
(3) “Extended period of time” means more than six months.
(4) “Functional Capacity Area” means communication, interpersonal skills, mobility, self-care, work skills, and work tolerance, which are impacted by an individual's disability.
(A) “Communication” means the ability to use, give and/or receive information.
(B) “Interpersonal Skills” means the ability to establish and/or maintain appropriate interactions with others.
(C) “Mobility” means the ability to move from place to place.
(D) “Self-Care” means the ability to plan and/or perform activities of daily living.
(E) “Work Skills” means the ability to learn and/or perform work functions.
(F) “Work Tolerance” means the ability to sustain the required level of work functions.
(5) “Level of significance of disability” means one the following: disabled, significantly disabled, or most significantly disabled as determined by the following criteria:
(A) “Disabled” means an eligible individual:
1. who has no serious limitation in terms of an employment outcome in any functional capacity area; or
2. whose vocational rehabilitation is not expected to require multiple vocational rehabilitation services; or
3. whose vocational rehabilitation is not expected to require an extended period of time.
(B) “Significantly disabled” means an eligible individual:
1. who meets the following criteria:
a. who has a serious limitation in terms of an employment outcome in at least one functional capacity area; and
b. whose vocational rehabilitation can be expected to require multiple vocational rehabilitation services; and
c. whose vocational rehabilitation can be expected to require an extended period of time; and
d. who has one or more physical or mental disabilities resulting from amputation, arthritis, autism, blindness, burn injury, cancer, cerebral palsy, cystic fibrosis, deafness, head injury, acquired traumatic brain injury, heart disease, hemiplegia, hemophilia, HIV infection, respiratory or pulmonary dysfunction, mental retardation, mental illness, multiple sclerosis, muscular dystrophy, musculo-skeletal disorders, neurological disorders (including stroke and epilepsy), spinal cord conditions (including paraplegia and quadriplegia), sickle cell anemia, specific learning disability, end-stage renal disease, or another disability or combination of disabilities determined on the basis of an assessment for determining eligibility and vocational rehabilitation needs to cause comparable substantial functional limitation; or
2. who has a disability or is blind as determined pursuant to Title II or Title XVI of the Social Security Act (42 USC 401 et seq. and 1381 et seq.). If the Department is serving only individuals who are the Most Significantly Disabled under Order of Selection, the Department shall complete a form DR 213A, Significance of Disability Instrument (New 06/01), incorporated by reference herein, pursuant to Section 7054, for individuals who have a disability or are blind as determined pursuant to Title II or Title XVI of the Social Security Act (42 USC 401 et seq. and 1381 et seq.) to determine whether they are Most  Significantly Disabled.
(C) “Most significantly disabled” means an eligible individual:
1. who meets the following criteria:
a. who has a serious limitation in terms of an employment outcome in at least four functional capacity areas; and
b. whose vocational rehabilitation can be expected to require multiple vocational rehabilitation services; and
c. whose vocational rehabilitation can be expected to require an extended period of time; and 
d. who has one or more physical or mental disabilities resulting from amputation, arthritis, autism, blindness, burn injury, cancer, cerebral palsy, cystic fibrosis, deafness, head injury, acquired traumatic brain injury, heart disease, hemiplegia, hemophilia, HIV infection, respiratory or pulmonary dysfunction, mental retardation, mental illness, multiple sclerosis, muscular dystrophy, musculo-skeletal disorders, neurological disorders (including stroke and epilepsy), spinal cord conditions (including paraplegia and quadriplegia), sickle cell anemia, specific learning disability, end-stage renal disease, or another disability or combination of disabilities determined on the basis of an assessment for determining eligibility and vocational rehabilitation needs to cause comparable substantial functional limitation; or
2. who has a disability or is blind as determined pursuant to Title II or TItle XVI of the Social Security Act (42 USC 401 et seq. and 1381 et seq.) and who has a serious limitation in terms of an employment outcome in at least four functional capacity areas.
(6) “Multiple vocational rehabilitation services” means two or more vocational rehabilitation services, excluding counseling and guidance, services to family members, and transportation.
(7) “Priority Category” means the order in which individuals will be served. The category shall be established, first, based on their level of significance of disability, and second, their date of application.
(8) “Serious limitation in terms of an employment outcome” means a reduction of one's capacity to perform, due to severe physical or mental impairment, to the degree that the individual requires services or accommodations in order for the individual to work or be a fully functioning member of the community. 
(9) “Transportation,” for the purposes of Order of Selection for Vocational Rehabilitation Services only, means the use of public or private modes of travel. The purchase of a vehicle, vehicle modification, repair, and mobility evaluation are not defined as transportation for purposes of determining the need for multiple vocational rehabilitation services.
NOTE

Authority cited: Sections 19006 and 19016, Welfare and Institutions Code. Reference: 29 USC Sections 705(21) and 721(a)(5); 34 CFR Sections 361.5(b)(30) and (31) and 361.36; and Sections 19011 and 19102, Welfare and Institutions Code.
HISTORY

1. New section filed 7-27-95 as an emergency; operative 7-27-95 (Register 95, No. 30). A Certificate of Compliance must be transmitted to OAL by 11-24-95 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 7-27-95 order, including amendment of subsection (a)(6)(C), transmitted to OAL 7-11-95 and filed 8-21-95 (Register 95, No. 34).
3. Repealer of subsection (a)(3), subsection renumbering, amendment of newly designated subsection (a)(8), and amendment of Note filed 4-27-99 as an emergency; operative 4-27-99 (Register 99, No. 18). A Certificate of Compliance must be transmitted to OAL by 8-25-99 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 4-27-99 order transmitted to OAL 7-23-99 and filed 8-30-99 (Register 99, No. 36).
5. Amendment of section and Note filed 11-4-99 as an emergency; operative 11-4-99 (Register 99, No. 45). A Certificate of Compliance must be transmitted to OAL by 3-3-2000 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 11-4-99 order transmitted to OAL 3-3-2000 and filed 3-29-2000 (Register 2000, No. 13).
7. Amendment of section and Note filed 6-28-2001 as an emergency; operative 7-1-2001 (Register 2001, No. 26). A Certificate of Compliance must be transmitted to OAL by 10-29-2001 or emergency language will be repealed by operation of law on the following day.
8. Certificate of Compliance as to 6-28-2001 order, including further amendment of section and Note, transmitted to OAL 10-24-2001 and filed 12-10-2001 (Register 2001, No. 50).
§7052. Determination of Need for Order of Selection for Vocational Rehabilitation Services.
Note     •     History

(a) Prior to the beginning of each fiscal year, the Department shall:
(1) project the cost of determining eligibility for all applicants for vocational rehabilitation services in the next fiscal year; and
(2) project the cost of serving, in the next fiscal year, the projected number of individuals with IWRPs in place at the end of the current fiscal year; and
(3) project the cost of serving, in the next fiscal year, individuals whose IWRPs will be put in place in that year.
(b) The Director shall declare the Department under Order of Selection for Vocational Rehabilitation Services when the budget information available indicates that the projected resources available for vocational rehabilitation services identified in subsection (a), are not adequate to meet all the projected costs under subsection (a).
(c) After the start of a fiscal year, the Director shall declare the Department under Order of Selection for Vocational Rehabilitation Services when the budget information available indicates that the projected resources available for vocational rehabilitation services identified in subsection (a), for the remainder of the fiscal year, are not adequate to meet all projected costs under subsection (a) for the remainder of the year.
NOTE

Authority cited: Sections 19006 and 19016, Welfare and Institutions Code. Reference: 29 USC 721(a)(5); 34 CFR 361.36; and Sections 19005, 19011 and 19102, Welfare and Institutions Code.
HISTORY

1. New section filed 7-27-95 as an emergency; operative 7-27-95 (Register 95, No. 30). A Certificate of Compliance must be transmitted to OAL by 11-24-95 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 7-27-95 order transmitted to OAL 7-11-95 and filed 8-21-95 (Register 95, No. 34).
3. Amendment of subsection (a) and amendment of Note filed 4-27-99 as an emergency; operative 4-27-99 (Register 99, No. 18). A Certificate of Compliance must be transmitted to OAL by 8-25-99 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 4-27-99 order transmitted to OAL 7-23-99 and filed 8-30-99 (Register 99, No. 36).
§7053. Order of Selection for Vocational Rehabilitation Services Process.
Note     •     History

(a) If the number of individuals eligible to receive vocational rehabilitation services must be limited, the following Order of Selection for Vocational Rehabilitation Services shall be implemented:
(1) A determination will be made as to which priority categories can be served by comparing the projected costs of serving all individuals assigned to a priority category, and the projected resources available to meet these costs.
(2) All eligible individuals assigned to a priority category, who do not have a signed IWRP, shall be notified, in writing, of the Department's intention to implement Order of Selection for Vocational Rehabilitation Services. If the individual chooses, a designated representative may receive notification on his/her behalf.
(3) The Order of Selection for Vocational Rehabilitation Services shall be effective ten (10) working days following the Director's declaration. The application date used to establish the order in which services will be provided under subsection (5) may be prior to the date of the Director's declaration.
(4) Upon implementation of the Order of Selection for Vocational Rehabilitation Services:
(A) Individuals whose IWRP was written and signed prior to implementation shall continue to receive services including additional services subsequently identified as necessary to complete their IWRP.
(B) Individuals who were determined eligible prior to implementation, but for whom the IWRPs have not been written and signed, shall be assigned to a priority category.
(5) Following implementation, services shall be provided to individuals in priority categories in the following order:
(A) Eligible individuals determined to be most significantly disabled, as defined in Section 7051(a)(5)(C), beginning with the earliest application date.
(B) Eligible individuals determined to be significantly disabled, as defined in Section 7051(a)(5)(B), beginning with the earliest application date.
(C) All other eligible individuals determined to be disabled as defined in Section 7051(a)(5)(A), beginning with the earliest application date.
(D) When eligible individuals determined to be significantly disabled can be served, all eligible individuals determined to be most significantly disabled shall be served regardless of the date of application.
(E) When eligible individuals determined to be disabled can be served, all eligible individuals determined to be significantly disabled shall be served regardless of the date of application.
(6) Individuals who are not included in the priority category(ies) being served shall be placed on a waiting list pursuant to Section 7056.
NOTE

Authority cited: Sections 19006 and 19016, Welfare and Institutions Code. Reference: 29 USC Sections 705(21) and 721(a)(5); 34 CFR Sections 361.5(b)(30) and (31) and 361.36; and Sections 19011 and 19102, Welfare and Institutions Code.
HISTORY

1. New section filed 7-27-95 as an emergency; operative 7-27-95 (Register 95, No. 30). A Certificate of Compliance must be transmitted to OAL by 11-24-95 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 7-27-95 order transmitted to OAL 7-11-95 and filed 8-21-95 (Register 95, No. 34).
3. Amendment of subsections (a)(3) and (a)(5)(A)-(C), repealer and new subsection (a)(5)(D), new subsection (a)(5)(E) and amendment of Note filed 4-27-99 as an emergency; operative 4-27-99 (Register 99, No. 18). A Certificate of Compliance must be transmitted to OAL by 8-25-99 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 4-27-99 order transmitted to OAL 7-23-99 and filed 8-30-99 (Register 99, No. 36).
5. Amendment of subsections (a)(5)(A)-(E) and amendment Note filed 6-28-2001 as an emergency; operative 7-1-2001 (Register 2001, No. 26). A Certificate of Compliance must be transmitted to OAL by 10-29-2001 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 6-28-2001 order, including further amendment of Note, transmitted to OAL 10-24-2001 and filed 12-10-2001 (Register 2001, No. 50).
§7053.5. Modifying Order of Selection for Vocational Rehabilitation Services.
Note     •     History

(a) When the Director of the Department has declared the Department in Order of Selection for Vocational Rehabilitation Services, at least a quarterly review will be done to determine whether the projected resources available to serve individuals in priority category/ies currently being served are adequate to meet all projected costs for such individuals for the remainder of the fiscal year.
(b) If the review indicates that the projected resources are inadequate to serve individuals in priority categories currently being served, the priority categories being served will be reduced accordingly. Individuals in a priority category no longer being served, whose IWRP was written and signed prior to implementation of the reduction shall continue to receive services including additional services subsequently identified as necessary to complete their IWRP.
(c) If the review indicates that the projected resources are adequate to serve only individuals in priority categories currently being served, no change will be made in the priority categories being served.
(d) If the review indicates that the projected resources are adequate to serve individuals in additional priority categories, those categories will be served.
(e) The Director shall make a declaration of any change in priority categories.
NOTE

Authority cited: Sections 19006 and 19016, Welfare and Institutions Code. Reference: 29 U.S.C. 721(a)(5) and (13)(B); 34 CFR 361.36; and Sections 19005 and 19102, Welfare and Institutions Code.
HISTORY

1. New section filed 7-27-95 as an emergency; operative 7-27-95 (Register 95, No. 30). A Certificate of Compliance must be transmitted to OAL by 11-24-95 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 7-27-95 order transmitted to OAL 7-11-95 and filed 8-21-95 (Register 95, No. 34).
3. Editorial correction of subsection (e) (Register 96, No. 10).
§7054. Determining Level of Significance of Disability.
Note     •     History

(a) Assessing the level of significance of disability shall be:
(1) a collaborative effort on the part of Departmental staff and the individual with a disability and, as appropriate, his/her family, or advocates, or designated representative; and
(2) based on information collected from a wide variety of sources; and
(3) based on a review of the individual's daily life, including community, home, school, and work, considering an individual's ability to participate in major life activities, as they impact an employment outcome; and
(4) a consideration of the impact of an individual's impairment/s in each of the functional capacity areas (communication, interpersonal skills, mobility, self-care, work skills and work tolerance).
(b) When assessing the functional impact of the disability, Departmental staff shall, in collaboration with the individual and/or the individual's representative, complete a form DR 213A, Significance of Disability Instrument (New 06/01), incorporated herein by reference, indicating whether any serious limitation in terms of an employment outcome exists in each of the functional capacity areas.
The following factors are to be considered in determining if a serious limitation in terms if an employment outcome exists in each functional capacity area. The factors listed below and on the form DR 213A, Significance of Disability Instrument (New 06/01) for each of the functional capacity areas are not considered to be all-inclusive or fully comprehensive.
(1) A serious limitation in terms of an employment outcome is indicated in the area of communication when, as a result of the physical and/or mental impairment:
(A) The individual requires accommodation to use, give and/or receive verbal/auditory information; or
(B) The individual requires accommodation to use, give and/or receive visual information.
(2) A serious limitation in terms of an employment outcome is indicated in the area of mobility when, as a result of the physical and/or mental impairment:
(A) The individual requires accommodation to move from place to place; or
(B) The individual is limited in terms of distance and/or terrain that can be traveled.
(3) A serious limitation in terms of an employment outcome is indicated in the area of interpersonal skills when, as a result of the physical and/or mental impairment, the individual requires accommodation to establish and/or maintain appropriate interactions with others.
(4) A serious limitation in terms of an employment outcome is indicated in the area of self-care when, as a result of the physical and/or mental impairment, the individual requires accommodation to plan and/or perform activities of daily living.
(5) A serious limitation in terms of an employment outcome is indicated in the area of work skills when, as a result of the physical and/or mental impairment:
(A) The individual requires accommodation to learn and/or perform work functions; or
(B) The individual requires accommodation to plan, problem solve and/or organize work functions.
(6) A serious limitation in terms of an employment outcome is indicated in the area of work tolerance when, as a result of the physical and/or mental impairment:
(A) The individual requires accommodation to sustain the required level of work function; or
(B) The individual is restricted from working in certain work environments which may include, but are not limited to, cold, heat and noise.
(c) The individual shall receive a copy of form DR 213, Significance of Disability Determination (Rev. 07/01), incorporated by reference herein, within 30 days of determination of the level of significance of disability. The individual, or the individual's designated representative, and the counselor shall sign the form and it shall be included in the individual's record of services.
NOTE

Authority cited: Sections 19006 and 19016, Welfare and Institutions Code. Reference: 29 USC Sections 705(21) and 721(a)(5); 34 CFR Sections 361.5(b)(30) and (31) and 361.36; and Sections 19011 and 19102, Welfare and Institutions Code.
HISTORY

1. New section filed 7-27-95 as an emergency; operative 7-27-95 (Register 95, No. 30). A Certificate of Compliance must be transmitted to OAL by 11-24-95 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 7-27-95 order transmitted to OAL 7-11-95 and filed 8-21-95 (Register 95, No. 34).
3. Change without regulatory effect amending subsection (e) filed 10-2-95 pursuant to section 100, title 1, California Code of Regulations (Register 95, No. 40).
4. Amendment of subsection (e), repealer of subsections (e)(1)-(5) and amendment of Note filed 8-30-99; operative 8-30-99 pursuant to Government Code section 11343.4(d) (Register 99, No. 36).
5. Amendment of section heading and section filed 6-28-2001 as an emergency; operative 7-1-2001 (Register 2001, No. 26). A Certificate of Compliance must be transmitted to OAL by 10-29-2001 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 6-28-2001 order, including further amendment of section and Note, transmitted to OAL 10-24-2001 and filed 12-10-2001 (Register 2001, No. 50).
§7055. Waiting List.
Note     •     History

(a) Upon a determination in accordance with Section 7052 that an Order of Selection for Vocational Rehabilitation Services must be implemented, the Department shall establish a statewide waiting list of eligible individuals in priority categories.
(b) The Department, through the local offices, shall notify each individual placed on the waiting list, or his/her designated representative, in writing, of all of the following:
(1) The priority category to which he/she has been assigned.
(2) The priority category(ies) that are currently being served.
(3) His/her appeal rights as specified in Sections 7350 through 7361.
(4) His/her right to a re-evaluation of his/her priority category placement per Section 7055(f).
(c) Ninety (90) days after an individual is placed on the waiting list and in ninety (90) day increments thereafter, the Department shall contact the individual, in writing, to inform him/her of the priority category to which he/she has been assigned, the priority category(ies) that are currently being served, and his/her waiting list status in order to determine if he/she wishes to remain on the waiting list.
(d) If an individual does not respond within thirty (30) days of contact to the information contained in the ninety (90) day notice, the individual will be notified that his/her case will be closed if there is no contact with the rehabilitation counselor within the next sixty (60) days. If the individual chooses, a designated representative may receive notification on his/her behalf. If departmental staff is unable to contact the individual, or if the individual declines to remain on the waiting list, a notice of case closure letter will be sent to the individual or to his/her designated representative.
(e) The final notice of case closure in Section 7055(d) shall contain all of the following:
(1) the date of case closure;
(2) the information regarding re-evaluation as stated in Section 7055(f); and
(3) the individual's appeal rights as stated in Sections 7350 through 7361.
(f) Individuals on the waiting list may request a re-evaluation of his/her priority category placement at anytime he/she believes that his/her situation has changed sufficiently to place him/her in a different priority category. The Department shall conduct a re-evaluation and notify individuals of the results within thirty (30) days of the request. If the re-evaluation takes longer than thirty (30) days, the rehabilitation counselor shall inform the client of the reason for the delay, and the estimated date the re-evaluation shall be completed.
NOTE

Authority cited: Sections 19006 and 19016, Welfare and Institutions Code. Reference: 29 U.S.C. 721(a)(5); 34 CFR 361.36; and Sections 19005 and 19102, Welfare and Institutions Code.
HISTORY

1. New section filed 7-27-95 as an emergency; operative 7-27-95 (Register 95, No. 30). A Certificate of Compliance must be transmitted to OAL by 11-24-95 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 7-27-95 order transmitted to OAL 7-11-95 and filed 8-21-95 (Register 95, No. 34).
§7056. Monitoring the Order of Selection for Vocational Rehabilitation Services.
Note     •     History

(a) The Department shall review at least annually the order of selection for all eligible individuals in priority categories, including those being served and those on the waiting list. This review shall be conducted to assure that:
(1) services are being provided on a statewide basis; and
(2) the determination of priority category does not bar or discriminate against any eligible individual based on the factors specified in Section 7050(b) of these regulations.
(b) If the Department's review discloses the Order of Selection for Vocational Rehabilitation Services is barring or discriminating against any eligible individual(s) based on factors specified in (a)(2) of this section, the Department shall remedy that situation by promulgating emergency regulations within 90 days.
NOTE

Authority cited: Sections 19006 and 19016, Welfare and Institutions Code. Reference: 29 USC 721(a)(5); 34 CFR 361.36; and Section 19102, Welfare and Institutions Code.
HISTORY

1. New section filed 7-27-95 as an emergency; operative 7-27-95 (Register 95, No. 30). A Certificate of Compliance must be transmitted to OAL by 11-24-95 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 7-27-95 order transmitted to OAL 7-11-95 and filed 8-21-95 (Register 95, No. 34).
3. Amendment of subsections (a)(2) and (b) filed 6-28-2001 as an emergency; operative 7-1-2001 (Register 2001, No. 26). A Certificate of Compliance must be transmitted to OAL by 10-29-2001 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 6-28-2001 order, including further amendment of section and Note, transmitted to OAL 10-24-2001 and filed 12-10-2001 (Register 2001, No. 50).
§7057. Ending the Order of Selection for Vocational Rehabilitation Services.
Note     •     History

(a) When the Department determines that the available resources are adequate to fund vocational rehabilitation services to all eligible individuals, it will begin to provide vocational rehabilitation services to all priority categories.
(b) The factors to make the determination will be the same as Section 7052.
(c) All individuals on the waiting list will be notified, in writing, within thirty (30) days of the determination to end Order of Selection for Vocational Rehabilitation Services, that the Department is no longer under an Order of Selection for Vocational Rehabilitation Services. If the individual chooses, a designated representative may receive notification on his/her behalf. 
(d) The Department will continue to complete the level of significance of disability determination with each eligible individual and maintain its priority category information.
NOTE

Authority cited: Sections 19006 and 19016, Welfare and Institutions Code. Reference: 29 USC 721(a)(5); 34 CFR 361.36; and Section 19102, Welfare and Institutions Code.
HISTORY

1. New section filed 7-27-95 as an emergency; operative 7-27-95 (Register 95, No. 30). A Certificate of Compliance must be transmitted to OAL by 11-24-95 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 7-27-95 order transmitted to OAL 7-11-95 and filed 8-21-95 (Register 95, No. 34).
3. Amendment of subsection (d) filed 6-28-2001 as an emergency; operative 7-1-2001 (Register 2001, No. 26). A Certificate of Compliance must be transmitted to OAL by 10-29-2001 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 6-28-2001 order, including further amendment of Note, transmitted to OAL 10-24-2001 and filed 12-10-2001 (Register 2001, No. 50).
Article 3. Determination of Eligibility and Priority for Services; Ineligibility Determination
§7060. General Provisions -- Eligibility.
Note     •     History

(a) Once an individual has submitted an application for vocational rehabilitation services in accordance with 7041(b) of these regulations, an eligibility determination must be made within 60 days, unless--
(1) Exceptional and unforeseen circumstances beyond the control of the Department preclude making an eligibility determination within 60 days and the Department and the individual agree to a specific extension of time; or 
(2) Information required to make an eligibility determination must be obtained through trial work experience in accordance with Section 7062(h) or extended evaluation in accordance with Section 7062(i) of these regulations and cannot be obtained within 60 days. 
(b) If the applicant does not agree to specific extension of time as specified in (a)(1) of this section, an eligibility determination shall be made based on the information available. 
(1) If the applicant does not agree with the eligibility determination, the applicant and/or his or her authorized representative shall be informed of the right to appeal the determination made by the Department through administrative review, mediation, and fair hearing as provided in Chapter 12 of these regulations. 
(c) Prohibited factors: 
(1) The Department shall not impose, as part of determining eligibility, a duration of residence requirement that excludes from services any applicant who is present in the State. 
(2) In making a determination of eligibility, the Department shall assure that-- 
(A) No applicant or group of applicants is excluded or found ineligible solely on the basis of the type of disability; and 
(B) The eligibility requirements are applied without regard to the: 
1. Age, gender, race, color, or national origin of the applicant; 
2. Type of expected employment outcome; 
3. Source of referral for vocational rehabilitation services; and 
4. Particular service needs or anticipated cost of services required by an applicant or the income level of an applicant or applicant's family. 
NOTE

Authority cited: Sections 19006 and 19016, Welfare and Institutions Code. Reference: 29 USC Sections 721(a)(12) and 722; 34 CFR Sections 361.41, 361.42, 361.45 and 361.57; and Sections 19009, 19011 and 19103, Welfare and Institutions Code.
HISTORY

1. Amendment of article 3 heading and repealer of article 4 heading (sections 7075 and 7077), article 5 heading (sections 7090-7094) and article 6 heading (sections 7100-7102) filed 6-21-90; operative 7-21-90 (Register 90, No. 35).
2. Amendment of section and Note and adoption of text from former section 7061 filed 6-6-94 as an emergency; operative 6-6-94 (Register 94, No. 23).  A Certificate of Compliance must be transmitted to OAL by 10-4-94 or emergency language will be repealed by operation of law on the following day.
3. Amendment of section and  Note filed 7-6-94; operative 8-5-94 (Register 94, No. 27).
4. Certificate of Compliance as to 6-6-94 order including designations of subsections (a) and (b) and amendment of Note transmitted to OAL 8-30-94 and filed 10-13-94 (Register 94, No. 41).
5. Amendment of article and section headings, repealer and new section and amendment of Note filed 3-4-2004; operative 4-3-2004 (Register 2004, No. 10).
§7061. Residence Requirement. [Renumbered]
Note     •     History

NOTE

Authority cited: Sections 19006 and 19016, Welfare and Institutions Code. Reference: Sections 19006 and 19016, Welfare and Institutions Code.
HISTORY

1. Relocation of text of former section 7061 to section 7060 filed 6-6-94 as an emergency; operative 6-6-94 (Register 94, No. 23).  A Certificate of Compliance must be transmitted to OAL by 10-4-94 or emergency language will be repealed by operation of law on the following day.
2. Editorial correction of Reference cite (Register 95, No. 10).
§7062. Assessment for Determining Eligibility and Priority for Services.
Note     •     History

In order to determine whether an individual is eligible for vocational rehabilitation services, and the individual's priority under an Order of Selection implemented pursuant to Section 7053 of these regulations, the Department must conduct an assessment in the most integrated setting possible, consistent with the individual's needs and informed choice, and in accordance with the following provisions. 
(a) The Department's determination of an applicant's eligibility for vocational rehabilitation services must be based only on the following requirements: 
(1) A determination by qualified personnel, who need not be Department employees, that the applicant has a physical or mental impairment; 
(2) A determination by qualified personnel, who need not be Department employees, that the applicant's physical or mental impairment constitutes or results in a substantial impediment to employment for the applicant; 
(3) A determination by a Rehabilitation Counselor employed by the Department that the applicant requires vocational rehabilitation services to prepare for, secure, retain, or regain employment consistent with the applicant's unique strengths, resources, priorities, concerns, abilities, capabilities, interests, and informed choice; and 
(4) A presumption, in accordance with (c) of this section, that the applicant can benefit from the provision of vocational rehabilitation services in terms of an employment outcome in an integrated setting. 
(b) Personnel not employed by the Department who make the determination(s) specified in (a)(1) or (2) must: 
(1) Possess the knowledge and expertise needed to make the determination(s); and 
(2) Base the determination(s) on current information that is relevant and sufficient to support such determination(s). 
(c) The Department must presume that an applicant who meets the eligibility requirements specified in (a)(1) and (2) of this section can benefit in terms of an employment outcome in an integrated setting, unless it demonstrates, based on clear and convincing evidence, that the applicant is incapable of benefiting from vocational rehabilitation services in terms of an employment outcome in an integrated setting due to the severity of the applicant's disability. 
(d) When determining the eligibility of Social Security recipients and beneficiaries the following conditions shall apply: 
(1) Any applicant who has been determined by the Social Security Administration (SSA) to be eligible for Social Security benefits under Title II (Social Security Disability Insurance (SSDI)) or Title XVI (Supplemental Security Income (SSI)) of the Social Security Act (42 USC Section 401 and 1381) because the individual is blind or disabled is-- 
(A) Presumed eligible for vocational rehabilitation services under (a) and (c) of this section; and 
(B) Considered an individual with a significant disability as defined in Section 7017.5 of these regulations. 
(2) If an applicant for vocational rehabilitation services asserts that he or she is eligible for Social Security benefits under Title II or Title XVI of the Social Security Act (and therefore is presumed eligible for vocational rehabilitation services under (d)(1)(A) of this section), but is unable to provide appropriate evidence, such as an award letter to support that assertion, the Department must verify the applicant's eligibility under Title II or Title XVI of the Social Security Act by contacting the Social Security Administration. The Department shall obtain verification within a reasonable period of time that enables the Department to determine the applicant's eligibility for vocational rehabilitation services within 60 days of the individual submitting an application for services in accordance with Section 7041(b) of these regulations. 
(e) Any eligible individual, including an individual whose eligibility for vocational rehabilitation services is based on the individual being eligible for Social Security benefits under Title II or Title XVI of the Social Security Act, must intend to achieve an employment outcome that is consistent with the applicant's unique strengths, resources, priorities, concerns, abilities, capabilities, interests, and informed choice. 
(f) Nothing in this section, including the provisions of (d)(1), shall be construed to create an entitlement to any vocational rehabilitation service. 
(g) Except as provided in (h) and (i) of this section, the Department-- 
(1) Must base its determination of each of the basic eligibility requirements in (a) of this section on-- 
(A) A review and assessment of existing data, including: 
1. Counselor observations including, but not limited to, observation of an obvious impairment, as in the case of loss of a limb. 
2. Medical records. 
3. Education records. 
4. Information provided by the individual or the individual's family, particularly information used by education officials. 
5. Determinations made by officials of other agencies. 
(B) To the extent existing data do not describe the current functioning of the individual or are unavailable, insufficient, or inappropriate to make an eligibility determination, an assessment of additional data resulting from the provision of vocational rehabilitation services, including trial work experiences, assistive technology devices and services, personal assistance services, and any other support services that are necessary to determine whether an individual is eligible. 
(2) Must base its presumption under (d)(1) of this section that an applicant who has been determined eligible for Social Security benefits under Title II or Title XVI of the Social Security Act satisfies each of the basic eligibility requirements in (a) of this section on determinations made by the Social Security Administration. 
(h) Prior to any determination that an individual with a disability is incapable of benefiting from vocational rehabilitation services in terms of an employment outcome in an integrated setting due to the severity of the individual's disability, the Department must conduct trial work experience as defined in Section 7029.1 of these regulations to determine whether or not there is clear and convincing evidence to support such a determination. 
(i) Under limited circumstances if an individual cannot take advantage of trial work experiences or if options for trial work experiences have been exhausted before the Department is able to determine whether the individual can benefit from the provision of vocational rehabilitation services in terms of an employment outcome in an integrated setting, or whether there is clear and convincing evidence that the individual is incapable of benefiting from vocational rehabilitation services in terms of an employment outcome in an integrated setting due to the severity of the individual's disability, the Department must conduct an extended evaluation as defined in Section 7014 of these regulations. 
(j) When the Department is operating under an Order of Selection implemented pursuant to Section 7053 of these regulations, the Department must base its priority category assignments on-- 
(1) A review of the data that was developed under (g) and (h) of this section to make the eligibility determination; and 
(2) An assessment of additional data, including data developed under (i) of this section, to the extent necessary. 
(k) The Rehabilitation Counselor shall document the basis on which the individual's eligibility has been established in a notice of eligibility. This notice, signed and dated by the Rehabilitation Counselor, shall be provided to the individual and a copy placed in the individual's record of services. 
NOTE

Authority cited: Sections 19006 and 19016, Welfare and Institutions Code. Reference: 29 USC 722; 34 CFR Sections 361.5(b)(16), 361.13, 361.42 and 361.47; and Sections 19011 and 19100, Welfare and Institutions Code.
HISTORY

1. New subsection (b) filed 3-25-91; operative 4-24-91 (Register 91, No. 15).
2. New subsection (c) and amendment of NOTE filed 11-20-91; operative 1-20-92 (Register 92, No. 8).
3. Amendment of section heading, text and Note filed 6-6-94 as an emergency; operative 6-6-94 (Register 94, No. 23).  A Certificate of Compliance must be transmitted to OAL by 10-4-94 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 6-6-94 order including amendment of subsection (a) transmitted to OAL 8-30-94 and filed 10-13-94 (Register 94, No. 41).
5. Amendment of section heading, repealer and new section and amendment of Note filed 3-4-2004; operative 4-3-2004 (Register 2004, No. 10).
§7062.5. Documentation of an Impairment. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 19006 and 19016, Welfare and Institutions Code; and Section 35, Chapter 937, Statutes of 1993. Reference: Sections  19101 and 19151, Welfare and Institutions Code; and 29 U.S.C. 706(22).
HISTORY

1. New section filed 6-6-94 as an emergency; operative 6-6-94 (Register 94, No. 23). A Certificate of Compliance must be transmitted to OAL by 10-4-94 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 6-6-94 order transmitted to OAL 8-30-94 and filed 10-13-94 (Register 94, No. 41).
3. Repealer filed 3-4-2004; operative 4-3-2004 (Register 2004, No. 10).
§7063. Interim Determination of Eligibility. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 19006 and 19016, Welfare and Institutions Code; and Section 35, Chapter 937, Statutes of 1993. Reference: Sections 19101 and 19151, Welfare and Institutions Code; 29 U.S.C. 706(22); and 34 CFR 361.31(c).
HISTORY

1. New section filed 7-27-83; effective thirtieth day thereafter (Register 83, No. 31).
2. Amendment of subsections (a) and (c) filed 6-21-90; operative 7-21-90 (Register 90, No. 34).
3. Repealer and amendment of Note filed 6-6-94 as an emergency; operative 6-6-94 (Register 94, No. 23).  A Certificate of Compliance must be transmitted to OAL by 10-4-94 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 6-6-94 order transmitted to OAL 8-30-94 and filed 10-13-94 (Register 94, No. 41).
§7064. Eligibility Based on Unsuitable Employment. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 19006 and 19016, Welfare and Institutions Code; and Section 35, Chapter 937, Statutes of 1993. Reference: Section 19103, Welfare and Institutions Code; and 29 U.S.C. 722(b)(1)(B).
HISTORY

1. New section filed 1-14-92; operative 2-13-92 (Register 92, No. 13).
2. Repealer and amendment of Note filed 6-6-94 as an emergency; operative 6-6-94 (Register 94, No. 23).  A Certificate of Compliance must be transmitted to OAL by 10-4-94 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 6-6-94 order transmitted to OAL 8-30-94 and filed 10-13-94 (Register 94, No. 41).
§7075. Diagnostic Studies. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 19006 and 19016, Welfare and Institutions Code; and Section 35, Chapter 937, Statutes of 1993. Reference: Sections 19006 and 19016, Welfare and Institutions Code; and 29 U.S.C. 706(22).
HISTORY

1. Editorial correction deleting article 4 heading erroneously placed prior to section 7075 (Register 91, No. 19).
2. Amendment filed 1-2-92; operative 3-2-92 (Register 92, No. 18).
3. Amendment filed 4-9-92; operative 4-9-92 pursuant to Government Code section 11346.2(d) (Register 92, No. 21).
4. Repealer and amendment of Note filed 6-6-94 as an emergency; operative 6-6-94 (Register 94, No. 23).  A Certificate of Compliance must be transmitted to OAL by 10-4-94 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 6-6-94 order transmitted to OAL 8-30-94 and filed 10-13-94 (Register 94, No. 41).
§7077. Required Examinations. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 19006 and 19016, Welfare and Institutions Code; and Section 35, Chapter 937, Statutes of 1993. Reference: Section 19151, Welfare and Institutions Code; and 29 U.S.C. 706(22).
HISTORY

1. Repealer and new section filed 2-10-83; designated effective 2-20-83 pursuant to Government Code section 11346.2(d) (Register 83, No. 7).
2. Amendment filed 11-20-91; operative 1-20-92 (Register 92, No. 8).
3. Amendment filed 5-6-92 as an emergency; operative 5-6-92 (Register 92, No. 19). A Certificate of Compliance must be transmitted to OAL 9-3-92 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 5-6-92 order transmitted to OAL 7-10-92 and filed 8-11-92 (Register 92, No. 33).
5. Repealer and amendment of Note filed 6-6-94 as an emergency; operative 6-6-94 (Register 94, No. 23).  A Certificate of Compliance must be transmitted to OAL by 10-4-94 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 6-6-94 order transmitted to OAL 8-30-94 and filed 10-13-94 (Register 94, No. 41).
§7079. Work or Vocational Evaluation Services. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 19006 and 19016, Welfare and Institutions Code. Reference: Section 19150, Welfare and Institutions Code; 34 CFR Sections 361.42 and 363.4.
HISTORY

1. New section filed 3-25-91; operative 4-24-91 (Register 91, No. 15).
2. Amendment filed 3-16-93; operative 4-15-93 (Register 93, No. 12).
3. Repealer filed 3-4-2004; operative 4-3-2004 (Register 2004, No. 10).
§7090. Purpose of Extended Evaluation. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 19006 and 19016, Welfare and Institutions Code; and Section 35, Chapter 937, Statutes of 1993. Reference: Sections 19006 and 19016,  Welfare and Institutions Code; and 29 U.S.C. 706(22)(C).
HISTORY

1. Amendment of section heading filed 6-21-90; operative 7-21-90 (Register 90, No. 35).
2. Editorial correction deleting article 5 heading erroneously placed prior to section 7090 (Register 91, No. 19). 
3. Repealer and amendment of Note filed 6-6-94 as an emergency; operative 6-6-94 (Register 94, No. 23).  A Certificate of Compliance must be transmitted to OAL by 10-4-94 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 6-6-94 order including amendment of Note transmitted to OAL 8-30-94 and filed 10-13-94 (Register 94, No. 41).
§7091. Definitions. [Renumbered]
Note     •     History

NOTE

Authority cited: Sections 19006 and 19016, Welfare and Institutions Code. Reference: Sections 19006 and 19016, Welfare and Institutions Code.
HISTORY

1. Renumbering and amendment of Section 7091 to Section 7014 filed 6-21-90; operative 7-21-90 (Register 90, No. 35). For prior history, see Register 78, No. 41.
2. Editorial correction of Reference cite (Register 95, No. 10).
§7092. Purpose of Extended Evaluations. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 19006 and 19016, Welfare and Institutions Code; and Section 35, Chapter 937, Statutes of 1993. Reference: Section 19151, Welfare and Institutions Code; and 29 U.S.C. 722(a)(4)(B).
HISTORY

1. Amendment of section heading filed 6-21-90; operative 7-21-90 (Register 90, No. 35).
2. Amendment of section heading, text and Note filed 6-6-94 as an emergency; operative 6-6-94 (Register 94, No. 23).  A Certificate of Compliance must be  transmitted to OAL by 10-4-94 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 6-6-94 order transmitted to OAL 8-30-94 and filed 10-13-94 (Register 94, No. 41).
4. Repealer filed 3-4-2004; operative 4-3-2004 (Register 2004, No. 10).
§7093. Scope and Duration of Extended Evaluation Services. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 19006 and 19016, Welfare and Institutions Code; and Section 35, Chapter 937, Statutes of 1993. Reference: Sections 19150 and 19151, Welfare and Institutions Code; 34 CFR 361.34 and 361.35; and 29 U.S.C. 722(a)(4)(B).
HISTORY

1. Amendment of section heading filed 6-21-90; operative 7-21-90 (Register 90, No. 35).
2. Amendment filed 3-25-91; operative 4-24-91 (Register 91, No. 15).
3. Amendment of subsections (a), (d), (d)(5)  and Note  filed 6-6-94 as an emergency; operative 6-6-94 (Register 94, No. 23).  A Certificate of Compliance must be transmitted to OAL by 10-4-94 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 6-6-94 order transmitted to OAL 8-30-94 and filed 10-13-94 (Register 94, No. 41).
5. Repealer filed 3-4-2004; operative 4-3-2004 (Register 2004, No. 10).
§7094. Extended Evaluations--Review and Assessment. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 19006 and 19016, Welfare and Institutions Code; and Section 35, Chapter 937, Statutes of 1993. Reference: Sections 19150 and 19151, Welfare and Institutions Code; 34 CFR Sections 361.34 and 361.40; and 29 U.S.C. 706(22)(C)(iii).
HISTORY

1. Amendment of section heading filed 6-21-90; operative 7-21-90 (Register 90, No. 35).
2. Amendment filed 3-25-91; operative 4-24-91 (Register 91, No. 15).
3. Amendment of subsections (a)(2), (b) and Note filed 6-6-94 as an emergency; operative 6-6-94 (Register 94, No. 23).  A Certificate of Compliance must be transmitted to OAL by 10-4-94 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 6-6-94 order transmitted to OAL 8-30-94 and filed 10-13-94 (Register 94, No. 41).
5. Repealer filed 3-4-2004; operative 4-3-2004 (Register 2004, No. 10).
§7098. Ineligibility Determination.
Note     •     History

If the Department determines that an applicant is ineligible for vocational rehabilitation services from the Department or determines that an eligible individual is no longer eligible for services, the Department must-- 
(a) Make the ineligibility determination only after providing an opportunity for full consultation with the individual or, as appropriate, the individual's representative. 
(b) Notify the individual in writing, supplemented as necessary by other appropriate modes of communication consistent with the informed choice of the individual, of the ineligibility determination including--
(1) The reasons for the ineligibility determination; 
(2) The requirements of this section; and 
(3) A description of the means by which the individual may obtain review of the ineligibility determination, including the individual's right to an administrative review, mediation, and fair hearing pursuant to Chapter 12 of these regulations. 
(c) Provide the individual with a description of services available from the Client Assistance Program and information on how to contact that program. 
(d) Refer the individual: 
(1) To other programs that are part of the One-Stop service delivery system under the Workforce Investment Act of 1998 (29 USC 2841) that can address the individual's training or employment-related needs; or 
(2) To local extended employment providers if the ineligibility determination is based on a finding that the individual is incapable of achieving an employment outcome as defined in Section 7011 of these regulations. 
(e) Place a copy of the written notice of ineligibility described in (b) of this section in the individual's record of services and close the record of services in accordance with the provisions of Chapter 4 of these regulations. 
NOTE

Authority cited: Sections 19006 and 19016, Welfare and Institutions Code. Reference: 29 USC 722(a)(5); 34 CFR Sections 361.43 and 361.47; and Section 19011, Welfare and Institutions Code. 
HISTORY

1. New section filed 3-4-2004; operative 4-3-2004 (Register 2004, No. 10).
2. Amendment of first paragraph and subsection (a) filed 10-4-2011; operative 11-3-2011 (Register 2011, No. 40).
§7100. Required Certification. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 19006 and 19016, Welfare and Institutions Code. Reference: Section 19010, Welfare and Institutions Code; 34 CFR Sections 3612.35 and 361.40(d)(2).
HISTORY

1. Amendment of section heading filed 6-21-90; operative 7-21-90 (Register 90, No. 34).
2. Amendment of subsection (a) and new subsection (b) filed 3-25-91; operative 4-25-91 (Register 91, No. 15).
3. Editorial correction of Article 6 heading erroneously placed prior to section 7100 (Register 91, No. 19).
4. Repealer filed 3-4-2004; operative 4-3-2004 (Register 2004, No. 10).
§7101. Certification of Eligibility. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 19006 and 19016, Welfare and Institutions Code; and Section 35, Chapter 937, Statutes of 1993. Reference: Section 19151, Welfare and Institutions Code; 34 CFR 361.35(a); and 29 U.S.C. 722(a).
HISTORY

1. Amendment filed 2-10-83; designated effective 2-20-83 pursuant to Government Code section 11346.2(d) (Register 83, No. 7).
2. Amendment of section and Note filed 6-6-94 as an emergency; operative 6-6-94 (Register 94, No. 23).  A Certificate of Compliance must be transmitted to OAL by 10-4-94 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 6-6-94 order transmitted to OAL 8-30-94 and filed 10-13-94 (Register 94, No. 41).
4. Repealer filed 3-4-2004; operative 4-3-2004 (Register 2004, No. 10).
§7102. Certification for an Extended Evaluation. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 19006 and 19016, Welfare and Institutions Code; and Section 35, Chapter 937, Statutes of 1993. Reference: Section 19151, Welfare and Institutions Code; 34 CFR 361.35(b); and 29 U.S.C. 706(22)(C).
HISTORY

1. Amendment filed 2-10-83; designated effective 2-20-83 pursuant to Government Code section 11346.2(d) (Register 83, No. 7).
2. Amendment of section heading, text and Note filed 6-6-94 as an emergency; operative 6-6-94 (Register 94, No. 23).  A Certificate of Compliance must be transmitted to OAL by 10-4-94 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 6-6-94 order transmitted to OAL 8-30-94 and filed 10-13-94 (Register 94, No. 41).
4. Repealer filed 3-4-2004; operative 4-3-2004 (Register 2004, No. 10).
§7103. Certification of Ineligibility--Additional Requirements. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 19006 and 19016, Welfare and Institutions Code; and Section 35, Chapter 937, Statutes of 1993. Reference: Sections 19010 and 19100, Welfare and Institutions Code; 34 CFR Sections  361.35 and 361.40(d); and 29 U.S.C. 722(a)(6).
HISTORY

1. Amendment filed 6-28-90; operative 7-28-90 (Register 90, No. 35).
2. Amendment filed 3-25-91; operative 4-25-91 (Register 91, No. 15).
3. Amendment of section and Note filed 6-6-94 as an emergency; operative 6-6-94 (Register 94, No. 23).  A Certificate of Compliance must be transmitted to OAL by 10-4-94 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 6-6-94 order including amendment of subsection (c) transmitted to OAL 8-30-94 and filed 10-13-94 (Register 94, No. 41).
5. Repealer filed 3-4-2004; operative 4-3-2004 (Register 2004, No. 10).
Article 4. The Record of Services
§7120. Purpose. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 19006 and 19016, Welfare and Institutions Code. Reference: Sections 19006 and 19016, Welfare and Institutions Code.
HISTORY

1. Renumbering of former Article 7 to Article 4 filed 6-21-90; operative 7-21-90 (Register 90, No. 35).
2. Editorial correction of Reference cite (Register 95, No. 10).
3. Amendment of article 4 heading filed 7-27-95 as an emergency; operative 7-27-95 (Register 95, No. 30). A Certificate of Compliance must be transmitted to OAL by 11-24-95 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 7-27-95 order transmitted to OAL 7-11-95 and filed 8-21-95 (Register 95, No. 34).
5. Repealer filed 3-4-2004; operative 4-3-2004 (Register 2004, No. 10).
§7121. Definition. [Renumbered]
Note     •     History

NOTE

Authority cited: Sections 19006 and 19016, Welfare and Institutions Code. Reference: Section 19006 and 19016, Welfare and Institutions Code.
HISTORY

1. Renumbering and amendment of Section 7121 to Section 7004 filed 6-21-90; operative 7-21-90 (Register 90, No. 35). For prior history, see Register 79, No. 31.
2. Editorial correction of Reference cite (Register 95, No. 10).
§7122. Content of the Record of Services.
Note     •     History

The Department must maintain for each applicant and eligible individual a record of services that includes, to the extent pertinent, the following documentation: 
(a) If an applicant has been determined to be an eligible individual, a notice of eligibility and documentation supporting that determination in accordance with the requirements under Section 7062 of these regulations. 
(b) If an applicant or eligible individual receiving services under an Individualized Plan for Employment (IPE) has been determined to be ineligible, a notice of ineligibility and documentation supporting that determination in accordance with the requirements under Section 7098 of these regulations. 
(c) Documentation that describes the justification for closing an applicant's or eligible individual's record of services if that closure is based on reasons other than ineligibility. 
(d) Documentation supporting the level of significance of disability and priority category for each eligible individual in the form of the DR 213, Significance of Disability Determination (Rev. 03/04) and the DR 213A, Significance of Disability Instrument (New 06/01), incorporated by reference herein, required when the Department is under an Order of Selection pursuant to Chapter 2, Article 2 of these regulations. 
(e) If an individual with a significant disability requires an exploration of abilities, capabilities, and capacity to perform in realistic work situations through the use of trial work experiences or, as appropriate, an extended evaluation to determine whether the individual is an eligible individual: 
(1) Documentation supporting the need for, and the plan relating to, trial work experience or, as appropriate, extended evaluation; and 
(2) Documentation regarding the periodic assessments carried out during the trial work experiences or, as appropriate, results of the extended evaluation, in accordance with Sections 7014(d), 7029.1(b)(3), and 7062(h) and (i) of these regulations. 
(f) The IPE and any amendments to the IPE, consistent with the requirements of Section 7131. 
(g) Documentation describing the extent to which the applicant or eligible individual exercised informed choice in the development of the IPE, consistent with Section 7029.6(b) of these regulations. 
(h) In the event that an individual's IPE provides for vocational rehabilitation services in a non-integrated setting, a justification to support the need for the non-integrated setting. 
(i) In the event that an individual obtains competitive employment, verification that the individual is compensated at or above the minimum wage and that the individual's wage and level of benefits are not less than that customarily paid by the employer for the same or similar work performed by non-disabled individuals in accordance with Section 7006.3(b) of these regulations. 
(j) In the event an individual achieves an employment outcome in which the individual is compensated in accordance with section 14(c) of the Fair Labor Standards Act (FLSA) (29 USC 214(c)), or the Department closes the record of services of an individual in extended employment on the basis that the individual is unable to achieve an employment outcome consistent with Section 7011 of these regulations, or that an eligible individual through informed choice chooses to remain in extended employment, documentation of the results of mandatory reviews after the record of services has been closed required by Section 7181.1(b) of these regulations, the individual's input into those reviews, and the individual's or, if appropriate, the individual's representative's signed acknowledgement that those reviews were conducted. 
(k) Documentation concerning any action or decision resulting from a request by an individual for a review of determinations made by Department personnel in accordance with Chapter 12 of these regulations. 
(l) In the event that an applicant or eligible individual requests that documentation in the record of services be amended and the documentation is not amended, documentation of the request. 
(m) In the event an individual is referred to another program through the Department's information and referral system under Section 7037 of these regulations, including other components of the statewide workforce investment system, documentation on the nature and scope of services provided by the Department to the individual and on the referral itself, consistent with the requirements of Section 7037 of these regulations. 
(n) In the event an individual's record of services is closed with a determination that an employment outcome has been achieved, documentation that demonstrates: 
(1) Services provided under the individual's IPE contributed to the achievement of the employment outcome; and 
(2) All of the requirements for closure of the record of services with an employment outcome have been satisfied. 
(o) Additional documentation, as appropriate, including, but not limited to: 
(1) Documentation and results of mandatory reviews after the record of services has been closed required by Section 7181.1(a) of these regulations and necessary when the Department determines that an applicant or an individual receiving services under an IPE is ineligible for vocational rehabilitation services based on a finding that the individual is incapable of achieving an employment outcome. 
(2) Documentation and results of annual reviews of the Individualized Plan for Employment (IPE) conducted pursuant to Section 7133 of these regulations. 
(3) Any personal information that the Department collects and maintains about an individual for purposes of the administration of the vocational rehabilitation program. 
(4) Documentation of the appointment of an authorized representative, duly appointed guardian, or conservator provided by an individual or the court. 
(5) Details of disclosure(s) of personal information about an individual made to that individual pursuant to Section 7141 or made to other persons or entities pursuant to Sections 7142 and 7143 of these regulations. 
(6) For an individual who is reapplying for vocational rehabilitation services, copies of pertinent records from his or her previous record of services. 
(7) The DR 222, Vocational Rehabilitation Services Application (Rev. 03/04), incorporated by reference herein. 
(8) Documentation of referrals made to the Department by other agencies and by the Department to other agencies, including agencies that are partners in the One-Stop service delivery system, consistent with Sections 7035, 7037, and 7038 of these regulations. 
(9) Documentation that the Department has made a reasonable number of attempts to contact an applicant who declines to participate in, or is unavailable to complete, the assessment for determining eligibility and priority for services, required before closing a record of services without an eligibility determination pursuant to Section 7179 of these regulations. 
NOTE

Authority cited: Sections 19006 and 19016, Welfare and Institutions Code. Reference: 29 USC Sections 721(a)(19) and (20) and 722(a), (b) and (d); 34 CFR Sections 361.5(b)(11) and (16), 361.37, 361.38, 361.41, 361.42, 361.43, 361.44, 361.45, 361.46, 361.47, 361.48, 361.52, 361.53, 361.55 and 361.57; Section 1798 et seq., Civil Code; and Section 19011, Welfare and Institutions Code. 
HISTORY

1. Editorial correction of Reference cite (Register 95, No. 10).
2. Amendment of section heading, section and Note filed 7-27-95 as an emergency; operative 7-27-95 (Register 95, No. 30). A Certificate of Compliance must be transmitted to OAL by 11-24-95 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 7-27-95 order, including amendment of Note, transmitted to OAL 7-11-95 and filed 8-21-95 (Register 95, No. 34).
4. Change without regulatory effect amending subsection (a)(3) filed 10-2-95 pursuant to section 100, title 1, California Code of Regulations (Register 95, No. 40).
5. Repealer and new section and amendment of Note filed 3-4-2004; operative 4-3-2004 (Register 2004, No. 10).
§7123. Case Record Security. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 19006 and 19016, Welfare and Institutions Code. Reference: Sections 19006 and 19016, Welfare and Institutions Code.
HISTORY

1. Editorial correction of Reference cite (Register 95, No. 10).
2. Repealer filed 3-4-2004; operative 4-3-2004 (Register 2004, No. 10).
§7124. Retention of Case Record. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 19006 and 19016, Welfare and Institutions Code. Reference: Sections 19006 and 19016, Welfare and Institutions Code.
HISTORY

1. Editorial correction of Reference cite (Register 95, No. 10).
2. Repealer filed 3-4-2004; operative 4-3-2004 (Register 2004, No. 10).
§7125. Reopening of Case Record. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 19006 and 19016, Welfare and Institutions Code. Reference: Sections 19006 and 19016, Welfare and Institutions Code.
HISTORY

1. Editorial correction of Reference cite (Register 95, No. 10).
2. Repealer filed 3-4-2004; operative 4-3-2004 (Register 2004, No. 10).
Article 5. The Individualized Plan for Employment (IPE)
§7128. General Requirements.
Note     •     History

(a) An Individualized Plan for Employment (IPE) shall be developed and implemented consistent with the requirements of this Article. Services shall be provided in accordance with the provisions of the IPE. 
(b) Once an individual with an application date of October 1, 2006 or later has been determined eligible to receive services from the Department and is in a priority category being served under an Order of Selection implemented pursuant to Section 7053 of these regulations, the IPE must be developed within 90 days from the date of the eligibility determination, if the eligibility determination is made on or after the effective date of this subsection, which is August 27, 2007. For individuals with an application date of October 1, 2006 or later who are on a waiting list to receive services, an IPE must be developed within 90 days from the date the individual is removed from the waiting list, if that date is on or after the effective date of this subsection, which is August 27, 2007. The following exceptions apply:
(1) If exceptional and unforeseen circumstances beyond the control of the Department arise, and the individual and the Department agree to a specific extension of time for IPE development, a rationale and date for the extension, signed by the individual and the Senior Vocational Rehabilitation Counselor (SVRC), must be entered into the record of services for that individual.
(2) Only one extension may be agreed to by the SVRC and, in such case, the IPE must be developed by the agreed upon date, unless an additional extension is approved by the appropriate District Administrator.
(c) The Department must conduct an assessment for determining vocational rehabilitation needs, if appropriate, prior to development of the IPE, for each eligible individual who is in a priority category being served under Order of Selection. This assessment is conducted consistent with Section 7001.5 of these regulations to determine the employment outcome and the nature and scope of vocational rehabilitation services to be included in the IPE. 
(d) The IPE must be designed to achieve a specific employment outcome in an integrated setting, as defined in Sections 7011 and 7018.4 of these regulations, that is selected by the individual and is consistent with the individual's unique strengths, resources, priorities, concerns, abilities, capabilities, interests, and informed choice. 
NOTE

Authority cited: Sections 19006 and 19016, Welfare and Institutions Code. Reference: 29 USC Sections 705(2), 721(a)(5) and (9), 722(b) and 723(a)(1); 34 CFR Sections 361.5(b)(6), (16) and (33), 361.36, 361.45 and 361.48(b); and Sections 19011, 19102 and 19150(a)(1), Welfare and Institutions Code. 
HISTORY

1. Amendment of article heading and new section filed 3-4-2004; operative 4-3-2004 (Register 2004, No. 10).
2. Amendment of subsection (a), new subsections (b)-(b)(2) and subsection relettering filed 8-27-2007; operative 8-27-2007 pursuant to Government Code section 11343.4 (Register 2007, No. 35).
§7129. Options for Developing an Individualized Plan for Employment (IPE).
Note     •     History

The Department must provide the following information to each eligible individual or, as appropriate, the individual's representative, in writing and, if appropriate, in the native language or mode of communication of the individual or the individual's representative: 
(a) Information on the available options for developing the Individualized Plan for Employment (IPE), including the option that an eligible individual or, as appropriate, the individual's representative may develop all or part of the IPE-- 
(1) Without assistance from the Department or other entity; or 
(2) With assistance from-- 
(A) A Rehabilitation Counselor employed by the Department; 
(B) A qualified vocational rehabilitation counselor who is not employed by the Department; or 
(C) Resources other than those specified in (A) or (B) of this section who are qualified in the field in which they are providing assistance. 
(b) The Department shall also provide additional information to assist the eligible individual or, as appropriate, the individual's representative in developing the IPE, including-- 
(1) Information describing the full range of components that must be included in an IPE. 
(2) As appropriate to each eligible individual-- 
(A) An explanation of Department guidelines and criteria for determining an eligible individual's financial commitments under an IPE; 
(B) Information on the availability of assistance in completing Department forms required as part of the IPE; and 
(C) Additional information that the eligible individual requests or the Department determines to be necessary to the development of the IPE. 
(3) A description of the rights and remedies available to the individual, including, if appropriate, recourse to administrative review, mediation, and fair hearing processes as described in Chapter 12 of these regulations. 
(4) A description of the availability of the Client Assistance Program and information on how to contact that program. 
NOTE

Authority cited: Sections 19006 and 19016, Welfare and Institutions Code. Reference: 29 USC 722; 34 CFR 361.45; and Section 19011, Welfare and Institutions Code. 
HISTORY

1. New section filed 3-4-2004; operative 4-3-2004 (Register 2004, No. 10).
§7130. Mandatory Procedures for Development of the Individualized Plan for Employment (IPE); Review; Amendment.
Note     •     History

(a) The following mandatory procedures shall be used to develop an Individualized Plan for Employment (IPE). 
(1) The IPE shall be a written document prepared on the form DR 215 (Rev. 03/04) provided by the Department. 
(2) The IPE shall be developed and implemented in a manner that gives eligible individuals the opportunity to exercise informed choice consistent with 7029.6 of these regulations, in selecting-- 
(A) The employment outcome, including the employment setting; 
(B) The specific vocational rehabilitation services needed to achieve the employment outcome, including the settings in which services will be provided; 
(C) The entity or entities that will provide the vocational rehabilitation services; and 
(D) The methods available for procuring the services, consistent with applicable State procurement laws and regulations and federal policy directives issued by the U.S. Department of Education, Office of Special Education and Rehabilitative Services (OSERS), Rehabilitation Services Administration. 
(3) The IPE must be-- 
(A) Agreed to and signed by the eligible individual or, as appropriate, the individual's representative; and 
(B) Approved, signed, and dated by a Rehabilitation Counselor employed by the Department. 
1. Before approving the IPE, the Rehabilitation Counselor shall determine that the employment outcome, the specific vocational rehabilitation services needed to achieve the employment outcome, the employment setting and settings in which services will be provided, the entities that will provide the services, and the methods available for procuring the services are appropriate and necessary in consideration of: 
a. The individual's unique strengths, resources, priorities, concerns, abilities, capabilities, and interests; and 
b. The scope of applicable laws and regulations specified in Section 7029. 6(c) of these regulations. 
(4) A copy of the IPE and a copy of any amendments to the IPE shall be provided to the eligible individual or, as appropriate, to the individual's representative, in writing and, if appropriate, in the native language or mode of communication of the individual or, as appropriate, the individual's representative. 
(5) The IPE shall be reviewed at least annually in accordance with Section 7133 of these regulations by a qualified vocational rehabilitation counselor and the eligible individual or, as appropriate, the individual's representative to assess the eligible individual's progress in achieving the identified employment outcome. 
(6) The IPE may be amended, as necessary, by the individual or, as appropriate, the individual's representative, in collaboration with a representative of the Department or a qualified vocational rehabilitation counselor (to the extent determined to be appropriate by the individual), if there are substantive changes in the employment outcome, the vocational rehabilitation services to be provided, or the providers of the vocational rehabilitation services. 
(7) Amendments to the IPE do not take effect until agreed to and signed by the eligible individual or, as appropriate, the individual's representative and by a Rehabilitation Counselor employed by the Department. Before approving and signing any amendment to the IPE, the Rehabilitation Counselor shall review the amendment consistent with applicable requirements established in (a)(3)(B)1. of this section. 
NOTE

Authority cited: Sections 19006 and 19016, Welfare and Institutions Code. Reference: 29 USC Sections 721(a)(19) and 722(b) and (d); 34 CFR Sections 361.45, 361.50 and 361.52; and Sections 19005, 19011, 19012 and 19013.5, Welfare and Institutions Code. 
HISTORY

1. New section filed 3-4-2004; operative 4-3-2004 (Register 2004, No. 10). For prior history, see Register 91, No. 15.
§7130.5. Data for Preparing the Individualized Plan for Employment (IPE).
Note     •     History

(a) To the extent possible, the employment outcome and the nature and scope of rehabilitation services to be included in the individual's Individualized Plan for Employment (IPE) must be determined based on the data used to assess eligibility and priority for services under Section 7062 of these regulations. 
(b) If additional data are necessary to determine the employment outcome and the nature and scope of services to be included in the IPE of an eligible individual, the Department must conduct a comprehensive assessment, as defined in Section 7001.5(c) of these regulations, of the unique strengths, resources, priorities, concerns, abilities, capabilities, interests, and informed choice, including the need for supported employment services, of the eligible individual, in the most integrated setting possible, consistent with the informed choice of the individual. 
(c) In preparing the comprehensive assessment, the Department must use, to the maximum extent possible and appropriate and in accordance with confidentiality requirements, existing information that is current as of the date of the development of the IPE, including-- 
(1) Information available from other programs and providers, particularly information used by education officials and the Social Security Administration; 
(2) Information provided by the individual and the individual's family; and 
(3) Information obtained under the assessment for determining the individual's eligibility and vocational rehabilitation needs. 
NOTE

Authority cited: Sections 19006 and 19016, Welfare and Institutions Code. Reference: 29 USC Sections 705(2), 722(b) and 723(a)(1); 34 CFR Sections 361.5(b)(6), 361.42, 361.45 and 361.48(a) and (b); and Sections 19011 and 19150(a)(1), Welfare and Institutions Code. 
HISTORY

1. New section filed 3-4-2004; operative 4-3-2004 (Register 2004, No. 10).
§7131. Content of the Individualized Plan for Employment (IPE).
Note     •     History

(a) Regardless of the approach selected by an eligible individual to develop an Individualized Plan for Employment (IPE) under Section 7129(a) of these regulations, each IPE must include the following mandatory components: 
(1) A description of the specific employment outcome, as defined in Section 7011 of these regulations, that is chosen by the eligible individual and is consistent with the individual's unique strengths, resources, priorities, concerns, abilities, capabilities, interests, and informed choice. 
(2) A description of the specific vocational rehabilitation services under Section 7149 of these regulations including, as appropriate, the anticipated duration of such services that are-- 
(A) Needed to achieve the employment outcome, including, as appropriate, the provision of assistive technology devices, assistive technology services, and personal assistance services, including training in the management of those services; and 
(B) Provided in the most integrated setting that is appropriate for the services involved and is consistent with the informed choice of the individual. 
(3) Timelines for the achievement of the employment outcome and for the initiation of services. 
(4) A description of the entity or entities chosen by the individual or, as appropriate, the individual's representative, that will provide the vocational rehabilitation services and the methods used to procure those services. 
(5) A description of the criteria that will be used to evaluate progress toward achievement of the employment outcome. 
(6) The terms and conditions of the IPE, including, as appropriate, information describing-- 
(A) The responsibilities of the Department. 
(B) The responsibilities of the eligible individual, including-- 
1. The responsibilities the individual will assume in relation to achieving the employment outcome; 
2. If applicable, the extent of the individual's participation in paying for the cost of services in accordance with Chapter 5, Article 1 of these regulations; and 
3. The responsibility of the individual with regard to applying for and securing comparable services and benefits as described in Chapter 5, Article 3 of these regulations. 
(C) The responsibilities of other entities as the result of arrangements made pursuant to the comparable services or benefits requirements in Chapter 5, Article 3 of these regulations. 
(b) In regard to post-employment services, the IPE for each individual must contain, as determined to be necessary, statements concerning-- 
(1) The expected need for post-employment services prior to closing the record of services of an individual who has achieved an employment outcome; 
(2) A description of the terms and conditions for the provision of any post-employment services; and 
(3) If appropriate, a statement of how post-employment services will be provided or arranged through other entities as the result of arrangements made pursuant to the comparable services or benefits requirements in Chapter 5, Article 3 of these regulations. 
NOTE

Authority cited: Sections 19006 and 19016, Welfare and Institutions Code. Reference: 34 Sections CFR 361.46 and 361.50; and Section 19011, Welfare and Institutions Code.
HISTORY

1. Amendment filed 10-17-80; effective thirtieth day thereafter (Register 80, No. 42).
2. Renumbering and amendment of former section 7132 to new section 7131,  filed 3-5-91; operative 4-4-91 (Register 91, No. 15).
3. Amendment of section heading, repealer and new section and amendment of Note filed 3-4-2004; operative 4-3-2004 (Register 2004, No. 10).
§7131.1. Individualized Plan for Employment (IPE) for Supported Employment.
Note     •     History

(a) An Individualized Plan for Employment (IPE) for an individual with a most significant disability for whom an employment outcome of supported employment, as defined in Section 7028 of these regulations, has been determined to be appropriate shall be developed and implemented in accordance with Sections 7128-7131 of these regulations and also must: 
(1) Specify the supported employment services to be provided by the Department, consistent with Section 7028.1 of these regulations; 
(2) Specify the expected extended services needed, consistent with Section 7014.1 of these regulations, which may include natural supports; 
(3) Identify the source of extended services or, to the extent that it is not possible to identify the source of extended services at the time the IPE is developed, include a description of the basis for concluding that there is a reasonable expectation that those sources will become available; 
(4) Provide for periodic monitoring to ensure that the individual is making satisfactory progress toward meeting the weekly work requirement established in the IPE by the time of transition to extended services; 
(5) Provide for the coordination of services provided under an IPE with services provided under other individualized plans established under other Federal or State programs; 
(6) To the extent that job skills training is provided, identify that the training will be provided on site; and 
(7) Include placement in an integrated setting for the maximum number of hours possible based on the unique strengths, resources, priorities, concerns, abilities, capabilities, interests, and informed choice of individuals with the most significant disabilities. 
NOTE

Authority cited: Sections 19006 and 19016, Welfare and Institutions Code. Reference: 29 USC Sections 705(11) and 723(a)(16); 34 CFR Sections 361.5(b)(16), (20), (38), (53) and (54), 361.45, 361.46 and 361.48(m); and Section 19011, Welfare and Institutions Code. 
HISTORY

1. New section filed 3-4-2004; operative 4-3-2004 (Register 2004, No. 10).
§7131.2. Individualized Plan for Employment (IPE) for a Student with a Disability.
Note     •     History

(a) An Individualized Plan for Employment (IPE) for a student with a disability who is receiving special education services, and who has been determined eligible for vocational rehabilitation services and is in a priority category being served under an Order of Selection implemented pursuant to Section 7053 of these regulations, shall be completed and approved as early as possible during the transition planning process but, at the latest, by the time the student leaves the school setting. 
(b) The IPE shall be developed and implemented in accordance with Sections 7128-7131 of these regulations and also must-- 
(1) Consider the student's Individualized Education Program (IEP) and be coordinated with the goals, objectives, and services identified in the IEP; and 
(2) Be consistent with the terms of the interagency agreement between the California Departments of Education and Rehabilitation. 
NOTE

Authority cited: Sections 19006 and 19016, Welfare and Institutions Code. Reference: 29 USC Sections 722(b) and 723(a)(15); 34 CFR Sections 361.5(b)(55), 361.22, 361.45, 361.46 and 361.48(r); and Sections 19011, 19013 and 19150(a)(12), Welfare and Institutions Code. 
HISTORY

1. New section filed 3-4-2004; operative 4-3-2004 (Register 2004, No. 10).
§7132. Development of the IWRP. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 19006 and 19016, Welfare and Institutions Code. Reference: 29 USC Sections 701(c)(1), 720(a)(3)(C), 721(a)(9) and (19) and 722(b); 34 CFR 361.45(b); and Sections 19000(d)(1) and 19104, Welfare and Institutions Code.
HISTORY

1. Renumbering and amendment of former section 7132 to section 7131 and new section 7132 filed 3-5-91; operation 4-4-91 (Register 91, No. 15).
2. Editorial correction of printing error in subsection (b)(4) (Register 91, No. 45).
3. Amendment of section and Note filed 6-29-99 as an emergency; operative 6-29-99 (Register 99, No. 27). A Certificate of Compliance must be transmitted to OAL by 10-27-99 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 6-29-99 order, including further amendment of Note, transmitted to OAL 10-21-99 and filed 11-29-99 (Register 99, No. 49).
5. Repealer filed 3-4-2004; operative 4-3-2004 (Register 2004, No. 10).
§7132.5. Terms and Conditions for Provision of Services. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 19006 and 19016, Welfare and Institutions Code. Reference: Sections 19150 and 19151, Welfare and Institutions Code; 34 CFR Section 361.40.
HISTORY

1. New section filed 3-5-91; operative 4-4-91 (Register 91, No. 15).
2. Amendment of subsection (a)(8), adoption of subsections (a)(8)(A) and (B) and amendment of NOTE filed 11-20-91; operative 1-20-92 (Register 92, No. 8).
3. Repealer filed 3-4-2004; operative 4-3-2004 (Register 2004, No. 10).
§7133. Annual Review of the Individualized Plan for Employment (IPE).
Note     •     History

(a) The Individualized Plan for Employment (IPE) shall be reviewed at least annually by the eligible individual or, as appropriate, the individual's representative, and-- 
(1) A Rehabilitation Counselor employed by the Department; or 
(2) A qualified vocational rehabilitation counselor who is not employed by the Department. 
(b) Any annual review prepared by an individual specified in (a)(2) of this section must be reviewed by, and is subject to the approval of, a Rehabilitation Counselor employed by the Department. Only those annual reviews in full compliance with the requirements of this section shall be approved. 
(c) The annual review shall include all of the following mandatory components:
(1) A summary of the services provided by the Department and the results or outcome of the provision of these services.
(2) An evaluation of progress made by the eligible individual toward achievement of the employment outcome identified in the IPE. 
(3) A summary of any changes in the eligible individual's circumstances that may affect the individual's participation in vocational rehabilitation services or progress toward achievement of the employment outcome identified in the IPE. 
(4) Statements that the eligible individual or, as appropriate, the individual's representative was informed about options for preparing the annual review specified in (a) of this section and was given the opportunity to participate in the annual review.
(d) The annual review shall consider data originally used to develop the eligible individual's IPE and information accumulated after development of the IPE, including the performance of the individual. 
(e) Based on results of the annual review, if there are substantive changes in the employment outcome, services to be provided, or service providers, the IPE shall be amended in accordance with Section 7130 of these regulations. 
(f) Copies of the annual review shall be placed in the individual's record of services and provided to the eligible individual or, as appropriate, his or her representative. 
NOTE

Authority cited: Sections 19006 and 19016, Welfare and Institutions Code. Reference: 29 USC 722(b)(2)(E); 34 CFR Sections 361.45 and 361.47; and Section 19011, Welfare and Institutions Code. 
HISTORY

1. Amendment of subsection (b) filed 3-5-91; operative 4-4-91 (Register 91, No. 15).
2. Amendment of section heading, section and Note filed 3-4-2004; operative 4-3-2004 (Register 2004, No. 10).
§7134. Client Copy. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 19006 and 19016, Welfare and Institutions Code. Reference: Section 19150, Welfare and Institutions Code; 34 CFR section 361.40 and sections 7292 and 7295.2, Government Code.
HISTORY

1. Amendment filed 3-5-91; operative 4-4-91 (Register 91, No. 15).
2. Repealer filed 3-4-2004; operative 4-3-2004 (Register 2004, No. 10).
§7135. Supported Employment Plans. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 19006 and 19016, Welfare and Institutions Code. Reference: Section 19150, Welfare and Institutions Code; 34 CFR 363.11.
HISTORY

1. New section filed 3-16-93; operative 4-15-93 (Register 93, No. 12).
2. Repealer filed 3-4-2004; operative 4-3-2004 (Register 2004, No. 10).
§7136. Homemaker Plans.
Note     •     History

(a) Homemaker plans shall be developed for a client when necessary to prepare him/her to engage in activities directed toward personal care for others in the home or toward the maintenance of the home itself. The anticipation of both social and economic benefits, as well as the performance of homemaking activities, shall be a prerequisite for homemaking plan development. For the purposes of this section:
(1) Social benefits include such actions as:
(A) Reduction of client dependence on others.
(B) Greater client independence and self-assurance.
(C) Increased socialization.
(D) Improved family attitude.
(2) Economic benefits include such actions as:
(A) Reduction in public assistance payments to the client.
(B) Reduction in in-home supportive services.
(C) Tax revenue due to additional income generated by a family member who has been freed to work.
(D) Decrease in, or prevention of, the need for institutional services and facilities.
(b) Homemaking activities include duties such as cleaning, sewing, food preparation, meal service, laundry, childcare and home management. Homemaking activities do not include activities not include activities of daily living or self-care such as self-feeding, dressing, grooming, toileting and self-medication.
(c) Each homemaker plan shall provide for assessment of client needs with specific recommendations for solutions and services to be provided. The Counselor shall clearly document the Counselor/client steps for evaluating progress in homemaking and establishing criteria for success.
(d) With the exception of section 7132(b) and (c), all of the provisions specified in sections 7131 thorough 7134 shall apply to homemaker plans.
NOTE

Authority cited: Sections 19006 and 19016, Welfare and Institutions Code. Reference: Section 19150, Welfare and Institutions Code; 34 CFR Section 361.40.
HISTORY

1. New section filed 3-5-91; operative 4-4-91 (Register 91, No. 15).
§7136.4. Self-Employment; Informed Choice.
Note     •     History

To assure informed choice, prior to development of an Individualized Plan for Employment (IPE) for an eligible individual who is interested in working in a self-employment setting, the Rehabilitation Counselor (RC) shall discuss with the individual:
(a) The criteria and process for assessing whether the proposed self-employment setting is appropriate, as specified in Sections 7136.6, 7136.7, and 7136.8 of these regulations;
(b) The scope of vocational rehabilitation services that may be provided by the Department to assist an eligible individual to achieve employment in a self-employment setting, as specified in Section 7137 of these regulations; and
(c) The eligible individual's responsibility to identify and obtain resources that may be necessary to establish and operate the proposed small business, as specified in Sections 7136.6 and 7136.9 of these regulations.
NOTE

Authority cited: Sections 19006 and 19016, Welfare and Institutions Code. Reference: 29 USC Sections 705(11), 720(a)(3)(C), 721(a)(19), 722(b), 722(d) and 723(a); 34 CFR Sections 361.5(b)(15), 361.5(b)(16), 361.45, 361.48, 361.50 and 361.52; and Section 19011, Welfare and Institutions Code.
HISTORY

1. New section filed 2-28-2008; operative 3-29-2008 (Register 2008, No. 9).
§7136.5. Self-Employment; Development and Contents of the Individualized Plan for Employment (IPE).
Note     •     History

(a) An Individualized Plan for Employment (IPE) for an eligible individual who is interested in working in a self-employment setting shall be developed and implemented as soon as an appropriate employment outcome and the services necessary to assist the individual to achieve it are identified, in accordance with the requirements specified in Sections 7128-7131 of these regulations and with the requirements in this section.
(b) The employment outcome in an IPE for an eligible individual interested in working in a self-employment setting shall include:
(1) The occupation in which the individual seeks to be employed (e.g., cosmetologist, accountant, etc.); and
(2) A description of the proposed self-employment setting.
(c) As part of the IPE development, the eligible individual shall prepare, with the assistance of the Rehabilitation Counselor (RC), a summary of the proposed small business, as specified in Section 7136.8(a) of these regulations. This summary shall be used, together with other available information, to assess whether the proposed self-employment setting is appropriate, as specified in Section 7136.6 of these regulations, and to identify the nature and scope of vocational rehabilitation services to be provided to assist the individual to be employed in the self-employment setting. If more detailed information is required for these purposes, the individual may be required to prepare a Small Business Plan, as specified in Section 7136.8 of these regulations.
(d) The IPE shall identify the vocational rehabilitation services, consistent with Section 7149 of these regulations, to be provided to assist the eligible individual to achieve employment in the chosen occupation that is identified in the employment outcome.
(e) The IPE shall also include the following information regarding the proposed self-employment setting:
(1) If at the time the IPE is developed it can be determined, based on existing information and the summary of the proposed small business or Small Business Plan, as specified in 7136.8 of these regulations, that the self-employment setting is appropriate, as specified in Section 7136.6 of these regulations, the IPE shall identify the vocational rehabilitation services to be provided to assist the individual to achieve employment in the proposed self-employment setting, consistent with Section 7137 of these regulations.
(2) If at the time the IPE is developed additional information is required to assess whether the proposed self-employment setting is appropriate, as specified in Section 7136.6 of these regulations, the IPE shall identify the additional assessment activities and services that will be provided to obtain such additional information.
(3) If it is determined after the IPE is developed, based on additional information and/or assessment(s), that the self-employment setting is appropriate, as specified in Section 7136.6 of these regulations, the IPE shall be amended to identify the vocational rehabilitation services to be provided to assist the individual to achieve employment in the proposed self-employment setting, consistent with Section 7137 of these regulations.
(f) When it has been determined, during or after development of the IPE, that the proposed self-employment setting is appropriate, as specified in Section 7136.6 of these regulations, the IPE shall identify, or shall be amended to identify, the following information regarding the self-employment setting:
(1) Any one-time, initial costs of establishing the proposed small business in which the individual will be self-employed to be provided by the Department, consistent with Section 7137 of these regulations;
(2) The responsibilities of the individual to actively participate in applying for and obtaining any additional resources that are necessary to establish and operate the business, consistent with Section 7136.9 of these regulations, and to obtain such resources prior to the Department's provision or expenditure of vocational rehabilitation funds or services to assist the individual to achieve employment in the self-employment setting; 
(3) The estimated date upon which the individual is to begin working in the self-employment setting and operating the small business;
(4) The methods to be used in monitoring the business to determine whether the individual is able to maintain employment in the self-employment setting, and the criteria that will be used to evaluate the individual's progress, including but not limited to regular meetings with the RC, preparation of monthly income and expense reports by the individual, review of such reports by the RC or a Small Business Consultant, and comparison of such reports with the projected income and expenses contained in the summary of the proposed small business or the Small Business Plan, as specified in Section 7136.8 of these regulations; and
(5) The expected need for post-employment services, consistent with Section 7021.5 of these regulations, if any, subject to comparable services and benefits and financial participation of the eligible individual, including any income produced by the small business.
(g) If it is determined during or after development of an eligible individual's IPE with a proposed self-employment setting, based upon additional information and/or assessment(s), that the self-employment setting is not appropriate, as specified in Section 7136.6 of these regulations, the RC and the individual shall discuss alternative employment settings, and the IPE shall be developed, or amended, consistent with informed choice, to include an alternative employment setting and to identify any vocational rehabilitation services to be provided to assist the individual to achieve employment in the individual's chosen occupation in the alternative setting.
NOTE

Authority cited: Sections 19006 and 19016, Welfare and Institutions Code. Reference: 29 USC Sections 705(2)(B), 705(11), 720(a)(3)(C), 721(a)(9), 721(a)(19), 722(b), 722(d) and 723(a)(1); 34 CFR Sections 361.5(b)(6)(ii), 361.5(b)(10), 361.5(b)(15), 361.5(b)(16), 361.5(b)(42), 361.45, 361.46, 361.48, 361.50, 361.52, 361.53 and 361.54; and Sections 19011 and 19150(a)(1), Welfare and Institutions Code.
HISTORY

1. New section filed 7-6-94; operative 8-5-94 (Register 94, No. 27).
2. Amendment of section heading, repealer and new section and amendment of Note filed 2-28-2008; operative 3-29-2008 (Register 2008, No. 9).
§7136.6. Self-Employment; Assessing the Self-Employment  Setting.
Note     •     History

(a) The Department shall support an eligible individual's choice to work in a self-employment setting only when it determines that the proposed self-employment setting is appropriate.
(b) A proposed self-employment setting is appropriate when:
(1) Working in the proposed self-employment setting is consistent with the individual's personal attributes, including the individual's strengths, resources, priorities, concerns, abilities, capabilities, interests, and informed choice;
(2) The proposed small business in which the individual will be self-employed is reasonably likely to produce sufficient income, within a reasonable period after the individual begins operating the business, not to exceed 12 months, to:
(A) Pay the necessary ongoing operating expenses of the small business, as specified in Section 7136.8 of these regulations; and
(B) Provide income for the individual at or above minimum wage, but not less than the customary wage and benefit level received by individuals engaged in the same or similar self-employment, consistent with Section 7006.3 of these regulations; and
(3) The individual is able to obtain all resources necessary to establish and operate the proposed small business, including any resources necessary to fund the ongoing operating expenses of the business and to support the individual's basic living expenses during the period until the small business produces the income specified in subsection (b)(2) of this section.
(c) To determine whether a proposed self-employment setting is appropriate, the Department shall consider any existing information; the summary of the proposed small business specified in Section 7136.5(c) of these regulations; and, to the extent additional information is necessary, information obtained through assessments (including, if appropriate, development and review of a Small Business Plan) consistent with Sections 7001.5(c), 7128(b), 7130.5(b), 7136.7, 7136.8, 7136.9, and 7149(b) of these regulations.
NOTE

Authority cited: Sections 19006 and 19016, Welfare and Institutions Code. Reference: 29 USC Sections 705(2)(B) and 705(11), 720(a)(2), 722(b) and 723(a); 34 CFR Sections 361.1, 361.5(b)(6)(ii), 361.5(b)(11), 361.5(b)(15), 361.5(b)(16), 361.13(c), 361.45, 361.46, 361.48 and 361.50; and Sections 19011 and 19150(a)(1), Welfare and Institutions Code.
HISTORY

1. New section filed 2-28-2008; operative 3-29-2008 (Register 2008, No. 9).
§7136.7. Self-Employment; Assessment of Personal Attributes.
Note     •     History

(a) To assess whether working in the proposed self-employment setting is consistent with the eligible individual's personal attributes, including the individual's strengths, resources, priorities, concerns, abilities, capabilities, interests and informed choice as specified in Section 7136.6(b)(1) of these regulations, the Department and the individual shall, as appropriate:
(1) Conduct an exploration of the individual's personal skills and abilities that are necessary for success in a self-employment setting, including decision-making and planning skills, initiative and entrepreneurial abilities, organizational skills, interpersonal skills, ability to communicate, ability to follow through, and ability to work independently;
(2) Review the individual's technical knowledge, experience and education that are necessary for success in a self-employment setting, including training or experience in areas necessary for the operation of the small business, such as marketing, office management, time management, inventory control, and bookkeeping; and
(3) Review the individual's financial history and credit record to assure the individual has appropriate money management skills, is able to obtain credit necessary for the proposed small business, and is able to protect assets of the business from claims of existing creditors.
(b) The assessment of the individual's skills, aptitudes and interests in relation to the proposed self-employment setting shall include the use of at least one of the following: self-assessment tests, web resources such as those available through the Small Business Administration, and participation in self-employment workshops or seminars.
(c) The individual's participation in and completion of his or her responsibilities in the vocational rehabilitation process shall also be considered in assessing whether working in a self-employment setting is consistent with the individual's personal attributes.
(d) To the extent that the assessment identifies that the eligible individual needs additional training or experience to be employed in the proposed self-employment setting, the Rehabilitation Counselor (RC) and the individual shall consider whether vocational rehabilitation services can assist the individual to obtain the necessary training or experience. If such services are available, the Individualized Plan for Employment (IPE) shall identify, or shall be amended to identify, such services.
(e) If it is determined after assessment that working in the proposed self-employment setting is not consistent with the individual's personal attributes, including the individual's strengths, resources, priorities, concerns, abilities, capabilities, interests and informed choice, the RC and the individual shall discuss alternative employment settings, and the IPE shall be developed, or amended, consistent with Section 7136.5(g) of these regulations.
NOTE

Authority cited: Sections 19006 and 19016, Welfare and Institutions Code. Reference: 29 USC Sections 705(2)(B), 705(11), 720(a)(2), 720(a)(3), 721(a)(19), 722(b), 722(d), 723(a); 34 CFR Sections 361.5(b)(6)(ii), 361.5(b)(15), 361.5(b)(16), 361.45, 361.46, 361.48, 361.50 and 361.52; and Section 19011, Welfare and Institutions Code.
HISTORY

1. New section filed 2-28-2008; operative 3-29-2008 (Register 2008, No. 9).
§7136.8. Self-Employment; Assessment of the Proposed Small Business.
Note     •     History

(a) The summary of the proposed small business, prepared by the eligible individual as part of the Individualized Plan for Employment (IPE) development, as specified in Section 7136.5(c) of these regulations, shall include:
(1) The proposed products or services of the small business;
(2) The projected monthly income and expenses of the small business for the first 12 months of operation;
(3) The number of hours the individual will work in the small business on a monthly basis; 
(4) The initial costs necessary to establish the proposed small business;
(5) The individual's resources;
(6) The market analysis and marketing strategy for the small business; and
(7) The staffing requirements of the small business.
(b) The eligible individual shall be required to prepare a Small Business Plan when:
(1) More detailed information regarding the proposed small business, beyond the information in the summary, is necessary to assess whether the proposed small business to be operated by the individual is reasonably likely to produce sufficient income, as specified in Section 7136.6(b)(2) of these regulations; or
(2) Preparation of such a plan will provide additional information that is necessary to identify the nature and scope of vocational rehabilitation services to be provided to assist the individual to be employed in the proposed self-employment setting.
(c) An eligible individual may elect to prepare a Small Business Plan, when not required to do so by the Department pursuant to subsection (b) of this section, when such a plan would assist the individual in obtaining resources necessary to establish or operate the business or in managing the business.
(d) The Department shall provide consultation and technical assistance necessary to assist the eligible individual in preparing or revising a Small Business Plan, through its staff or by referral to other sources such as the U.S. Small Business Administration, a small business development center at a local community college, Service Corps of Retired Executives (SCORE) or a Small Business Consultant.
(e) A Small Business Plan shall include:
(1) A description of the proposed small business and the products or services to be provided;
(2) The form of business organization;
(3) A detailed market analysis, including identification of potential customers, the geographic area in which the business will provide products or services, and potential competition within the area;
(4) A plan that describes how the products or services will be distributed and advertised;
(5) A projected timetable for starting business operations and an estimate of anticipated work hours before operations begin;
(6) A financial plan that includes a projection of estimated sales, monthly income and operating expenses for the first year of operation, an itemization of the costs necessary to establish the business, and an estimate of when the business will produce income that exceeds operating expenses;
(7) A description of required licenses, permits, or zoning variances and insurance;
(8) A description of the vocational rehabilitation services the individual is requesting from the Department, consistent with these regulations; the resources that will be obtained from other sources to establish and operate the small business; how the ongoing operating expenses of the small business will be funded, whether through the projected business income, loans, or other sources; and how the individual will provide for basic living expenses until the small business produces sufficient income, as specified in Section 7136.6(b)(2) of these regulations; and
(9) A description of the tasks to be performed by the individual in operating the business and anticipated hours that the individual will be required to work to obtain projected income.
(f) The Small Business Plan and any other available information shall be reviewed by the Rehabilitation Counselor (RC), with the assistance of other Department staff with expertise in self-employment, and/or a Small Business Consultant, as appropriate, to assess whether the proposed small business is reasonably likely to provide sufficient income to meet the ongoing operating costs of the business and generate income for the individual as specified in Section 7136.6(b)(2) of these regulations, including review of the following criteria:
(1) Whether the small business is reasonably likely to produce the projected income, including whether the products or services can be produced, marketed and/or distributed, whether a market exists for the product or services, whether the small business will be able to produce the product or services in the projected quantities, and whether the projected income of the proposed small business is consistent with industry standards (i.e., prevailing income of comparable small businesses within the same industry);
(2) Whether the projected ongoing operating expenses are necessary for the operation of the business, whether they are usual and customary for similar businesses, and whether they are sufficient in amount to generate the projected products or services;
(3) Whether the proposed income of the small business is sufficient to pay for the projected ongoing operational expenses;
(4) Whether the small business is subject to potential liability, risks or insurance requirements that will negatively affect the projected income;
(5) Whether the projected initial costs are necessary and are usual and customary for similar small businesses;
(6) Whether all resources necessary to establish and operate the small business have been identified, including funding sources for the ongoing operating expenses of the small business and the individual's basic living expenses; and
(7) Any other factors that would affect the projected income or expenses associated with the small business, or the individual's ability to establish and operate the business.
(g) For the purpose of a self-employment setting, ongoing operating expenses of a small business include but are not limited to: rent; utilities; insurance; professional services; payroll and payroll taxes; inventory; stock or supplies (above and beyond initial stock and supplies provided for a period of six months as initial costs); advertising; depreciation; repair and maintenance of property; replacement of tools and equipment; dues and subscriptions; assistive services, such as attendants, readers, and interpreters that will be used in operating the business; and transportation that will be used in operating the business.
(h) If it is determined, after assessment of the proposed small business, that the self-employment setting is not appropriate because it will not generate sufficient income, as specified in Section 7136.6(b)(2) of these regulations, the RC and the individual shall discuss alternative employment settings, and the IPE shall be developed, or amended, consistent with Section 7136.5(g) of these regulations.
NOTE

Authority cited: Sections 19006 and 19016, Welfare and Institutions Code. Reference: 29 USC Sections 705(2)(B), 705(11), 720(a)(2), 720(a)(3), 721(a)(19), 722(b), 722(d) and 723(a); 34 CFR Sections 361.1, 361.5(b)(6)(ii), 361.5(b)(11), 361.5(b)(15), 361.5(b)(16), 361.13(c), 361.45, 361.46, 361.48, 361.50 and 361.52; and Section 19011, Welfare and Institutions Code.
HISTORY

1. New section filed 2-28-2008; operative 3-29-2008 (Register 2008, No. 9).
§7136.9. Self-Employment; Assessment of Necessary and Available Resources.
Note     •     History

(a) To assess whether the eligible individual is able to obtain all resources necessary to establish and operate the proposed small business, as specified in Section 7136.6(b)(3) of these regulations, the Department and the eligible individual shall, as appropriate:
(1) Identify resources necessary to establish and operate the proposed small business, using a summary of the proposed small business or a Small Business Plan, as specified in Section 7136.8 of these regulations;
(2) Identify sources from which necessary resources can be obtained, including from the individual or family members; use of comparable services and benefits; funding from grants, loans, loan guarantee programs, and economic development funds; or a Social Security Administration (SSA) Plan for Achieving Self Support (PASS);
(3) Identify technical assistance to be provided to the individual to assist in applying for or obtaining funding from other sources; and
(4) Identify when the resources will be obtained by the individual.
(b) In identifying and assessing available resources, the eligible individual may, but is not required to, obtain a loan or utilize a Plan for Achieving Self-Support (PASS) issued by the Social Security Administration (SSA) to fund the proposed small business; however, if resources in addition to the initial costs provided by the Department are required to establish and operate the proposed small business, the individual is responsible for obtaining such resources, and must decide, based on informed choice, whether to obtain funding through a loan, a PASS or other sources, or to seek employment in an alternative setting.
(c) If funding for the operation of the proposed small business is denied by a source outside the Department, the Department shall consider the decision and the reasons for such decision in assessing whether the self-employment setting is appropriate, as specified in Section 7136.6 of these regulations.
(d) If it is determined that the individual is unable to obtain resources necessary to establish and operate the small business, the Rehabilitation Counselor (RC) and the individual shall discuss alternative employment settings, and the Individualized Plan for Employment (IPE) shall be developed, or amended, consistent with Section 7136.5(g) of these regulations.
NOTE

Authority cited: Sections 19006 and 19016, Welfare and Institutions Code. Reference: 29 USC Sections 705(11), 720(a)(2), 720(a)(3), 721(a), 722(b), 722(d) and 723(a); 34 CFR Sections 361.1, 361.5(b)(10), 361.5(b)(15), 361.5(b)(16), 361.45, 361.46, 361.48, 361.50, 361.52, 361.53 and 361.54; and Section 19011, Welfare and Institutions Code.
HISTORY

1. New section filed 2-28-2008; operative 3-29-2008 (Register 2008, No. 9).
§7137. Self-Employment; Scope of Services Provided for a Self-Employment Setting.
Note     •     History

(a) The services provided by the Department to assist the eligible individual to achieve employment in an appropriate self-employment setting include assessment, technical assistance, and training to assist the individual in preparing for work in a self-employment setting, and certain initial one-time costs to establish the proposed small business.
(b) The one-time, initial costs of establishing the small business are limited to such costs that are consistent with Section 7149 of these regulations, are appropriate and necessary to assist the individual to achieve employment in a self-employment setting, and are consistent with the usual and customary initial costs typically required for establishing similar small businesses, including:
(1) Payment of occupational license fees, pursuant to Section 7149(p);
(2) Purchase or lease of tools or other equipment, in quantities consistent with the initial cost of establishing similar small businesses, pursuant to Section 7149(p);
(3) Purchase of initial stock and supplies necessary for a period not to exceed six months, pursuant to Section 7149(p); and 
(4) Payment of initial deposits required for rental agreements or utility service, consistent with Section 7149(g).
(c) The Department shall consider and utilize the most cost-effective means appropriate to provide the initial costs, including use of leased rather than purchased equipment, for a lease period not to exceed six months, and acquiring initial stock on a consignment basis.
(d) Initial costs, for purposes of a self-employment setting, do not include the following costs:
(1) Costs associated with expansion of a small business;
(2) Lease or purchase of real property;
(3) Construction or remodeling of real property;
(4) Payment of taxes or tax liens;
(5) Payment of patent fees or for product development;
(6) Refinancing or repayment of debt;
(7) Reimbursement or payment of any losses incurred in connection with the small business;
(8) Purchase of an existing business or of a business franchise;
(9) Purchase or lease of a vehicle for use in operating a small business;
(10) Employee wages and benefits; and
(11) Funding for ongoing operating expenses, as specified in Section 7136.8(g) of these regulations.
NOTE

Authority cited: Sections 19006 and 19016, Welfare and Institutions Code. Reference: 29 USC Sections 705(11), 720(a)(2) and 723(a); 34 CFR Sections 361.1, 361.5(b)(11), 361.5(b)(15), 361.5(b)(16), 361.48 and 361.50; and Section 19011, Welfare and Institutions Code.
HISTORY

1. New section filed 2-28-2008; operative 3-29-2008 (Register 2008, No. 9).
§7138. Self-Employment; Monitoring the Operation of the Small Business.
Note     •     History

(a) The Rehabilitation Counselor (RC) shall monitor the eligible individual's employment in the self-employment setting, as specified in the Individualized Plan for Employment (IPE), after the individual begins operating the small business, for a period of no less than 90 days and no more than 12 months, to determine whether the individual is able to maintain employment in the self-employment setting, whether the individual requires additional training or technical assistance to maintain the employment, whether the small business is producing the projected income, and whether the criteria for closure of the record of services have been met.
(b) If it appears during the monitoring period that the individual is having difficulty maintaining employment in the self-employment setting, or if the small business is not achieving the monthly income projected in the summary of the proposed small business or the Small Business Plan, the RC and the individual shall, with technical assistance from other Department staff with expertise in self-employment and/or a Small Business Consultant:
(1) Identify the problems that the individual is experiencing;
(2) Assess whether additional training or technical assistance could assist the individual to overcome those problems; and
(3) Re-assess, based on available information, whether the self-employment setting is appropriate as specified in Section 7136.6 of these regulations.
(c) If it is determined during the monitoring period that the self-employment setting is still appropriate as specified in Section 7136.6 of these regulations, and that additional training or technical assistance will assist the individual in maintaining employment in the self-employment setting, the IPE shall be amended to identify the training or technical assistance to be provided to assist the individual in overcoming the identified problems; and the RC shall continue to monitor the individual's employment for the purposes specified in subsection (a) of this section.
(d) If it is determined by the Department during the monitoring period that the self-employment setting is not appropriate and/or that the individual is not able to maintain employment in the self-employment setting, and that additional training or technical assistance will not assist or is declined by the individual, the RC and the individual shall discuss alternative employment settings, and the IPE shall be amended, as appropriate, consistent with Section 7136.5(g) of these regulations, or the individual's record of services shall be closed as specified in Section 7179.5 of these regulations.
NOTE

Authority cited: Sections 19006 and 19016, Welfare and Institutions Code. Reference: 29 USC Sections 705(11), 720(a)(3)(C), 721(a)(19), 722(b), 722(d) and 723(a); 34 CFR Sections 361.5(b)(15), 361.5(b)(16), 361.45, 361.46, 361.47, 361.48, 361.50, 361.52 and 361.56; and Section 19011, Welfare and Institutions Code. 
HISTORY

1. New section filed 2-28-2008; operative 3-29-2008 (Register 2008, No. 9).
Article 6. Confidentiality
§7140. General Provisions.
Note     •     History

(a) The purpose and intent of these regulations are:
(1) To protect the right to privacy of each individual who is or has been an applicant or client of the Department. The right to privacy is a fundamental right which is protected by the California Constitution.
(2) To secure to such individuals the right to gain access to information pertaining to them which is maintained by the Department unless there is a clear and overriding public interest in withholding such information.
(3) To secure to such individuals the right to correct any misinformation that is being maintained about them by the Department.
(b) All information collected by the Department is the property of the Department provided such ownership does not abridge the rights of any individual as otherwise provided by this Subchapter.
(c) All provisions of this subchapter also apply to client-related records maintained by any individual or entity under contract with the Department as a provider of goods or services to clients of the Department.
(d) Definitions:
(1) “Access” means the availability of the case record to the applicant or client, authorized representative, and duly appointed guardian or conservator for inspection and copying.
(2) “Case Record” means any information about an applicant or client that is maintained or otherwise possessed by the Department, including but not limited to information regarding medical history, diagnostic studies, employment history, financial status, and education. Information on computer tape, computer cards, microfilm, or any other memory system, which is strictly derivative in nature and is otherwise maintained in the case record is not included. Both active and closed records or files are included. Information gathered during the course of an investigation conducted by or on behalf of the Department, and separately maintained or supervised by the Legal Office of the Department, when such information is compiled in reasonable anticipation of a civil or criminal action or an administrative adjudication, is not included.
(3) “Disclose” means to disclose, release, transfer, disseminate, or otherwise communicate all or any part of any record orally, in writing, or by electronic, or any other means to any person or entity.
NOTE

Authority cited: Sections 19006 and 19016, Welfare and Institutions Code and Section 1798.30, Civil Code. Reference: Sections 1798 et seq., Civil Code and 34 CFR Section 361.49.
HISTORY

1. New subchapter 6 (sections 7280-7287) filed 6-4-79; effective thirtieth day thereafter (Register 79, No. 23).
2. Renumbering and amendment of former subchapter 6 (sections 7280-7287) to article 6 (sections 7140-7143.5) filed 6-21-90; operative 7-21-90 (Register 90, No. 35). For prior history, see Register 81, No. 47; and 79, No. 23.
3. Amendment of subsection (d)(1) filed 5-2-91; operative 6-1-91 (Register 91, No. 25).
§7140.5. Collection of Information.
Note     •     History

(a) The case record shall contain only information which is relevant and necessary to carry out the programs of the Department.
(b) A Client Information Booklet which describes the kinds of information that may be requested from the applicant/client shall be provided and explained to all applicants at the initial interview and shall be annually reviewed with the client or his/her representative thereafter. The applicant's signature on the Application for Services (DR 222 dated January, 1991) acknowledges receipt of the booklet. The Client Information Booklet shall contain:
(1) The title, address, and telephone number of the Department employee who maintains the case record.
(2) The name of the Division or individual within the Department who is requesting the information.
(3) A statement as to whether the provision of each item of information requested is mandatory or voluntary.
(4) An explanation of the consequences of not providing all or part of the requested information.
(5) An explanation of the purpose or purposes for which the information is to be used.
(6) The legal authority which authorizes the maintenance of the information.
(7) A statement as to the applicant's or client's right to review the case record.
(8) Any known or foreseeable interagency or intergovernmental transfer of the information which may be made.
(c) To the greatest extent practicable, information shall be collected directly from the applicant or client who is the subject of the information rather than from another source.
(d) A completed form DR 264 (dated 1/90) Consent for Release of Personal/Confidential Information, and form DR 264A (dated July, 1993) Consent to Release Medical Information, which are incorporated by reference herein, shall as appropriate be required for each request to a third party to obtain the following personal information about an applicant/client:
(1) Employment reports from former employers.
(2) School transcripts.
(3) Drug and alcohol abuse information of record.
(4) Public assistance information.
(5) Criminal justice cumulative summaries.
(6) Psychological resting information of record.
(7) Veteran's Administration information.
(8) Medical information of record.
(e) During the initial interview and whenever necessary, the Counselor shall complete form DR 264 (dated 1/90) or form DR 264A (dated July, 1993) to obtain applicant/client consent to contact each source of information about the applicant/client. Each release form shall:
(1) Specifically state the information requested and to whom the request for information is directed.
(2) Be signed and dated by the applicant/client authorizing each release. The signed release is used to verify that consent was obtained from the applicant/client or his/her authorized representative.
(3) Be prepared in triplicate. The original of each signed release shall be attached to the appropriate request for information, a copy shall be given to the applicant/client, and a copy shall be filed in the case record with relevant correspondence.
(4) Expire thirty (30) days from the date signed by the applicant/client unless the release specifies another expiration date.
(f) In addition to the above, the DR 264A (dated July, 1993) Consent to Release Medical Information must include a specific authorization from the applicant/client to the provider of health care (see Civil Code section 56.05(d) for definition) to allow the release of the information to the Department. The consent for the Department to obtain medical information shall specifically state:
“I authorize the above listed physician/facility to furnish to the Department of Rehabilitation my records containing medical history, treatment, and diagnosed mental and physical condition, including disabilities such as drug, alcohol, and psychiatric, or the result of any HIV test performed.
This information will be included in my case record and used to assist in the determination of eligibility and, if eligible, subsequent vocational rehabilitation services. The Department of Rehabilitation may not disclose the information received without my signed consent for each disclosure unless the disclosure is specifically required or permitted by law.“
“This consent, shall remain valid for 30 days unless otherwise specified.
(Applicant/client's signature and date)”
The applicant/client's signature must immediately follow the statement. The applicant/client shall be provided a copy of the authorization for each request.
(g) Medical, psychological, and work evaluation examinations and information created by the provider at the request and expense of the Department do not require a consent signed by the applicant/client to release such information to the Department except medical information that would disclose the results of any HIV test performed.
(h) The source of any information shall be identified in the case record unless the source is the applicant or client. If the source is an entity such as a governmental agency, a corporation, an association, or an individual, this requirement can be met by maintaining the name of the entity so long as the smallest responsible unit of that entity is reasonably identified.
(i) Except as provided in section 7141.5, information in the case file shall remain in the file until the case is destroyed. No information in the case record shall be removed, destroyed, or altered for purposes of avoiding compliance with these regulations. The following information may be purged from the case record and destroyed:
(1) Information in the case file that is irrelevant and unnecessary for carrying out the Rehabilitation program.
(2) Handwritten notes when the notes have been transcribed into the case record.
(3) Duplicative information.
NOTE

Authority cited: Sections 19006 and 19016, Welfare and Institutions Code; and Section 1798.30, Civil Code. Reference: Sections 56.10, 56.11, 56.13, 56.15 and 1798.14-1798.23, Civil Code; and 34 CFR Section 361.49.
HISTORY

1. Renumbering of section 7281 to section 7140.5 filed 6-21-90; operative 7-21-90 (Register 90, No. 35).
2. Amendment of subsection (b), new subsections (d), (e), (f) and (g) and relettering of former subsections (d) and (e) to subsections (h) and (i) filed 5-2-91; operative 6-1-91 (Register 91, No. 25).
3. Change without regulatory effect amending subsections (b), (d), (e) and (f) filed 3-28-94 pursuant to title 1, section 100, California Code of Regulations (Register 94, No. 13).
§7141. Disclosure to the Applicant or Client.
Note     •     History

(a) Except as limited by (c), all information in the case record shall, upon request and proper identification, be disclosed to the applicant or client.
(b) The Counselor shall translate or arrange for translation of documents in the case record when requested, in a language that is understood by the client. It is not required that the case record be translated into other languages.
(c) In cases where the applicant or client requests access to the case record and where the Department has reason to believe that the disclosure of some portion of the case record may be harmful to the applicant or client, the Department shall notify the applicant or client in writing that direct disclosure is not authorized by law. The notification shall include the way in which the Department will release the information using the following options.
(1) Disclose, and if requested or needed, interpret the information directly to the authorized representative, guardian or conservator of the applicant or client.
(2) Disclose and interpret the information to the applicant or client through the District Medical Consultant, the District Psychologist, a panel physician, or panel psychiatrist.
(3) Upon written authorization, disclose such information to a physician, psychiatrist, or licensed or certified psychologist or other representative designated by the applicant or client.
(d) Information in the case record shall upon request be disclosed to a duly appointed guardian or conservator of the applicant or client provided that it can be proved, with reasonable certainty, that such person is the duly appointed guardian or
(e) A request by an applicant or client to examine his/her case record shall be processed as expeditiously as possible and shall not take longer than 30 days for an active case record or 60 days for a closed case record.
(f) Examination of the case record shall be permitted only in a departmental office. During the examination, the Counselor or other designated employee shall be present while the case is being reviewed. Case records may not be removed from a departmental office except by an employee of the Department for official business.
(g) The Department shall provide copies of any document or item of information which the applicant or client is entitled to obtain at a charge not to exceed 10 cents per page. If fewer than ten pages are requested, no charge shall be made. The Department may waive the charge at its discretion.
(h) The Counselor shall record in the case record the pertinent details of each disclosure including the date disclosed.
NOTE

Authority cited: Sections 19006 and 19016, Welfare and Institutions Code and Section 1798.30, Civil Code. Reference: Sections 1798.25-1798.34 and 1798.40, Civil Code, and 34 CFR Section 361.49.
HISTORY

1. Renumbering of section 7282 to section 7141 filed 6-21-90; operative 7-21-90 (Register 90, No. 35).
2. Amendment of subsection (a); new subsections (b), (f) and (h); relettering and amendment of former subsection (e) to subsection (c); relettering of former subsections (b), (c), (d) and (e) to subsections (d), (e), (g) and (c); filed 5-1-91; operative 6-1-91 (Register 91, No. 25).
§7141.5. Amending the Case Record.
Note     •     History

(a) When a Counselor determines that information that he/she originated for the case record is inaccurate or incomplete, the Counselor shall correct that portion of the case record. Copies of the corrected information shall be provided to all individuals who obtained incorrect information.
(b) An applicant or client may submit a written request to add, delete, or amend information contained in the case record. The Department, within 30 days of the receipt of such request, shall make a decision whether to amend the record.
(c) If the client requests a change to information that was originated by a source outside the Department, the client shall be informed that departmental staff cannot change information in the case record not originated by departmental staff and that the request should be made to the source of the information.
(d) If the record is to be amended, the Department shall:
(1) Amend any portion of the record which is not accurate, relevant, timely, or complete.
(2) Destroy the original material.
(3) Provide the individual with a copy of the amended material.
(e) If the record is not to be amended, the Department shall inform the applicant or client in writing of the decision not to amend the record, the reason for such decision, and the procedures for requesting an administrative review and fair hearing of such decision.
(f) If the applicant or client disagrees with the decision of the Department not to amend the case record, the individual may appeal that decision through the administrative review and fair hearing process.
(1) If, after administrative review, the decision of the Department not to amend the case record is upheld, the applicant or client may submit a written statement of reasonable length setting forth the reasons for the individual's disagreement with the disputed information. This statement shall be placed in the case record. The Department shall clearly identify any portion of the record which is disputed and make available a copy of such individual's statement and a copy of a concise statement of the reasons for the decision not to amend to any person or agency to whom the disputed portion of the record is disclosed.
(2) If, after administrative review, the applicant or client remains dissatisfied with the decision of the Department, the applicant or client may request a fair hearing as provided in Section 7354 of these regulations. The applicant or client may also contact the Office of Information Practices for assistance in solving problems relating to information in the case record.
(g) All details of a request to amend a case record including pertinent dates shall be recorded in the case record.
NOTE

Authority cited: Sections 19006 and 19016, Welfare and Institutions Code and Section 1798.30, Civil Code. Reference: Sections 1798.3-1798.37, Civil Code, and 34 CFR Section 361.49.
HISTORY

1. Renumbering of section 7283 to section 7141.5 filed 6-21-90; operative 7-21-90 (Register 90, No. 35).
2. New subsections (a), (c) and (g) and relettering of former subsections (a), (b), (c), (d) to (b, (d), (e), (f) filed 5-2-91; operative 6-1-91 (Register 91, No. 25).
3. Amendment of subsection (f)(2) filed 7-27-2012 as an emergency; operative 7-27-2012 (Register 2012, No. 30). Pursuant to Welfare and Institutions Code section 19710, this action is a deemed emergency and the emergency regulations are exempt from OAL review. A Certificate of Compliance must be transmitted to OAL by 1-23-2013 or the emergency action will be repealed by operation of law on the following day.
4. Amendment of subsection (f)(2) refiled 1-17-2013 as an emergency; operative 1-17-2013 (Register 2013, No. 3). Pursuant to Welfare and Institutions Code section 19710, this action is a deemed emergency and the emergency regulations are exempt from OAL review. A Certificate of Compliance must be transmitted to OAL by 4-17-2013 or emergency language will be repealed by operation of law on the following day.
§7142. Disclosure to Other Persons or Entities.
Note     •     History

(a) Except as specifically authorized by sections 7141, 7143, and 7143.5, disclosure, including the fact that a particular individual is or has been an applicant or client, shall not be made to any person or entity unless the informed, written consent of the applicant or client has been obtained. The prohibition against disclosures without the informed written consent of the applicant or client applies irrespective of whether the person or party seeking disclosure already has the information, has other means of obtaining it, has obtained a subpoena, or asserts any other basis or justification for disclosure not expressly authorized by these regulations.
(b) The consent for disclosure shall be in writing and should, as appropriate, contain:
(1) The name and social security number of the applicant or client.
(2) The name or title of the person or organization to whom the disclosure is to be made.
(3) The extent or nature of the information to be disclosed.
(4) A statement that the consent is subject to revocation at any time.
(5) The date on which the consent is signed.
(6) The signature of the applicant or client.
(c) The consent shall be valid for a period not to exceed 30 days from the date the consent is signed unless otherwise specified in writing by the applicant or client.
(d) The Counselor shall record pertinent details of each disclosure in the case record including the date disclosed and the person or entity to whom the information was disclosed.
(e) The Department shall not disclose an applicant/client's HIV test result information outside the Department without the applicant/client's express written authorization or as is expressly authorized under Health and Safety Code section 199.24.
NOTE

Authority cited: Sections 19006 and 19016, Welfare and Institutions Code. Reference: Sections 1798.24 and 1798.25, Civil Code and 34 CFR Section 361.49.
HISTORY

1. Renumbering of section 7284 to section 7142 filed 6-21-90; operative 7-21-90 (Register 90, No. 35).
2. Amendment of subsection (c), and new subsections (d) and (e) filed 5-2-91; operative 6-1-91 (Register 91, No. 25).
§7142.5. Prohibition Against Redisclosure.
Note     •     History

(a) Except as specifically authorized by section 7143, the results of any HIV test performed shall not be redisclosed to any third party without the written consent of the applicant or client for each disclosure.
(b) Except as specifically authorized by these regulations, no person or entity who receives information from the Department shall redisclose such information or any portion thereof to any other person or entity without the informed written consent of the person to whom the information pertains. Nothing in this part shall prohibit the applicant or client from disclosing any information which is received from his/her case record.
(c) Whenever the Department makes a disclosure to any person or entity other than the applicant or client, the disclosure shall be accompanied by a written statement as follows:

NOTICE

THIS IS CONFIDENTIAL INFORMATION FROM THE RECORDS OF THE CALIFORNIA DEPARTMENT OF REHABILITATION. STATE AND FEDERAL LAW AND DEPARTMENTAL REGULATIONS PROHIBIT YOU FROM MAKING ANY FURTHER DISCLOSURE OF THIS INFORMATION WITHOUT THE INFORMED WRITTEN CONSENT OF THE PERSON TO WHOM THIS INFORMATION PERTAINS.
NOTE

Authority cited: Sections 19006 and 19016, Welfare and Institutions Code. Reference: 34 CFR Section 361.49 and Sections 199.20 and 199.21, Health and Safety Code.
HISTORY

1. Renumbering of section 7285 to section 7142.5 filed 6-21-90; operative 7-21-90 (Register 90, No. 35).
2. New subsection (a) and relettering of former subsections (a) and (b) to subsections (b) and (c) filed 5-2-91; operative 6-1-91 (Register 91, No. 25).
§7143. Disclosures Without Written Consent.
Note     •     History

(a) The applicant or client shall be informed at the initial interview of the following exceptions to the regulation that no disclosure shall be made without the written consent of the applicant or client. Any disclosure made under this part shall be strictly limited to the information necessary to carry out the purposes for which the information was released.
(1) Disclosure of information in the case record may be made between or among the staff members of the Department and its medical panel.
(2) Disclosure of information in the case record may be made in order to process payment to or from the client or to purchase goods and services for the client.
(3) Disclosure of information in the case record may be made to any federal or state auditor or reviewer who has authority under federal or state law to conduct an audit or review of the Department.
(4) Disclosure of information in the case record may be made to any official of the United States Department of Education, who has authority under law to review or inspect such case records.
(5) Disclosure of information in the case record may be made to the Social Security Administration, the Disability Evaluation Division of the California Department of Social Services (DSS), the Medi-Cal Division of the Department of Health Services (DHS), the Department of Mental Health (DMH), the Department of Developmental Services (DDS) and Regional Centers, the Department of Alcohol and Drug Programs (DADP), and the Employment Development Department (EDD). Information that can be released without client consent to these agencies is limited to the following:
(A) The status of the applicant/client including whether the client is in training.
(B) Information relating to the IWRP such as employment goal, training received, changes made to the plan, etc.
(C) The projected time in plan.
(D) Whether EDD, DHS, or DSS purchased services will be utilized in the implementation of the plan and the information, except medical information, necessary to obtain those services.
(E) The extent of client participation in the plan.
(F) The date of employment or on-the-job training.
(G) The date the case is closed or training is completed or ceases, and if it ceases prior to completion, the reasons therefore.
(6) Disclosure of information in the case record may be made to medical personnel, either private or governmental, when in the opinion of a member of the professional staff of the Department a medical emergency exists.
(7) Disclosure of information in the case record, except that which would disclose the results of any HIV test performed, may be made to protect the potential victim when, in the exercise of reasonable skill, knowledge and care, a member of the professional staff of the Department determines, based on reliable information, that an applicant or client poses a danger of violence to another person.
(8) Disclosure of information in the case record may be made to an employee of the Department, or a designated representative of an employee, when such employee has punitive action taken against him/her by the Department and such action is based, or partly based, on information in a case record. Such disclosure shall be conditioned on a written agreement to protect the information from unauthorized disclosure.
(9) Disclosure of written materials and other information may be made to either of the following:
(A) An impartial hearing officer when such disclosure is necessary for the resolution of an appeal as provided in Section 7354 of these regulations.
(B) An Equal Employment Opportunity Counselor or Investigator, or the Chief, Office of Civil Rights and Affirmative Action when the disclosure is necessary to accomplish any of the following:
1. Review a complaint for prima facie evidence of discrimination.
2. Resolve a complaint of alleged discrimination.
3. Conduct an investigation of a complaint of alleged discrimination.
(10) Disclosure of information in the case record may be made to a prospective employer of a client of the Department without specific written consent, except medical and psychological, provided that such client has signed the general consent statement on the Application for Services.
(11) Disclosure of personal and confidential information for research purposes shall be made only at the discretion of the Department's Chief, Statistics Section, if:
(A) the research is directly connected with the vocational rehabilitation of disabled individuals;
(B) the organization or individual gives satisfactory written assurance that the information will be used only for the purpose for which it is provided;
(C) the information provided will not be released to persons not directly connected with the study under consideration;
(D) the final product of the research will not reveal any information that would tend to identify any person without the written consent of such person and the Department;
(E) the plan of the organization or individual for maintaining confidentiality of the information provided is approved by the Department prior to the initiation of the research project.
(b) The Department shall keep an accounting of those disclosures so designated by the Information Privacy Act of 1977.
NOTE

Authority cited: Sections 19006 and 19016, Welfare and Institutions Code and Section 1798.30, Civil Code. Reference: Sections 1798.24 and 1798.25, Civil Code; Sections 19000, 19013, 19300 and 14113, Welfare and Institutions Code;  and 34 CFR Sections 104.7, 104.51, 104.61, 361.19 and 361.49.
HISTORY

1. Subsection 7286(a)(12) filed as an emergency 6-9-80; effective upon filing (Register 80, No. 24). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 10-7-80.
2. Subsection (a)(12) repealed by operation of section 11346.1(g), Government Code (Register 81, No. 47).
3. Renumbering of section 7286 to section 7143 filed 6-21-90; operative 7-21-90 (Register 90, No. 35).
4. Amendment of subsection (a) filed 5-2-91; operative 6-1-91 (Register 91, No. 25).
5. Amendment of subsection (a)(9) and Note, designation and amendment of subsection (a)(9)(A), and new subsections (a)(9)(B)-(B)3 filed 7-6-94; operative 8-5-94 (Register 94, No. 27).
6. Amendment of subsection (a)(9)(A) filed 7-27-2012 as an emergency; operative 7-27-2012 (Register 2012, No. 30). Pursuant to Welfare and Institutions Code section 19710, this action is a deemed emergency and the emergency regulations are exempt from OAL review. A Certificate of Compliance must be transmitted to OAL by 1-23-2013 or the emergency action will be repealed by operation of law on the following day.
7. Amendment of subsection (a)(9)(A) refiled 1-17-2013 as an emergency; operative 1-17-2013 (Register 2013, No. 3). Pursuant to Welfare and Institutions Code section 19710, this action is a deemed emergency and the emergency regulations are exempt from OAL review. A Certificate of Compliance must be transmitted to OAL by 4-17-2013 or emergency language will be repealed by operation of law on the following day.
§7143.5. Prohibitions Against Disclosure to Law Enforcement Officials.
Note     •     History

(a) No disclosure shall be made to any law enforcement official, including any public prosecutor, without the specific written consent of the applicant or client except as is necessary under section 7143(a)(7). However, nothing in these regulations shall be construed as prohibiting an employee of the Department from seeking the assistance of a law enforcement official where an applicant or client commits or threatens to commit a crime on the premises of the Department or against Departmental personnel, or where an applicant or client, after investigation, is reasonably believed to have committed a fraudulent or otherwise illegal act or acts against the Department or Departmental personnel, and such disclosure is made for purposes of further investigation and/or prosecution for such act or acts. Nothing in this section shall be construed to allow the disclosure of information to law enforcement officials, including public prosecutors, for purposes of investigating or prosecuting illegal acts allegedly committed against a third party or entity, except as necessary under section 7143(a)(7).
NOTE

Authority cited: Sections 19006 and 19016, Welfare and Institutions Code and Section 1798.30, Civil Code. Reference: 34 CFR Section 361.49.
HISTORY

1. Renumbering of section 7287 to section 7143.5 filed 6-21-90; operative 7-21-90 (Register 90, No. 35).
2. Amendment of NOTE filed 5-2-91; operative 6-1-91 (Register 91, No. 25).
Chapter 2.5. Client Assistance Program
§7144. Definitions and Terms.
Note     •     History

(a) For the purposes of this chapter, the following definitions shall apply:
(1) “Act” means the Rehabilitation Act of 1973, 29 U.S.C. Section 701 et seq., as amended.
(2) “CAP”: means the Department of Rehabilitation's Client Assistance Program.
(3) “CAP Administrator” means the individual employed by the Department to administer the Client Assistance Program.
(4) “CAP Advocate” means an individual employed by a Contractor to provide CAP services to clients and applicants.
(5) “CAP Post-Appeal Review Panel” means a panel consisting of three CAP Contractors who serve on a rotational basis and who review requests by clients or applicants for funding by the CAP of legal services in connection with court review of Rehabilitation Appeals Board decisions.
(6) “CAP services” means services provided by the CAP Advocate as described in 34 CFR 370.4.
(7) “Client or applicant” means an individual receiving or seeking services under the Act, as defined in 34 CFR 370.6(b).
(8) “Contractor” means an entity with whom the Department contracts for the provision of CAP services to clients and applicants within a specified geographic area.
(9) “Department” means the Department of Rehabilitation.
NOTE

Authority cited: Sections 19006 and 19016, Welfare and Institutions Code. Reference: 34 CFR Sections 370.1, 370.2, 370.4 and 370.6; and Sections 19010 and 19011, Welfare and Institutions Code.
HISTORY

1. New chapter 2.5 (sections 7144-7147) and section filed 1-11-99; operative 2-10-99 (Register 99, No. 3).
§7145. Provision of CAP Services.
Note     •     History

(a) The Department's Client Assistance Program Section (CAP) is responsible for the provision of CAP services. The CAP shall enter into contracts with Contractors to provide CAP services within a designated geographic area. Contractors shall be selected through a competitive request for proposal (RFP) process.
(b) The Contractor is responsible for assuring that funds provided under the contract are utilized only for the purposes set forth in 34 CFR 370.4. The Contractor shall be familiar with and comply with all applicable requirements of federal and state law.
NOTE

Authority cited: Sections 19006 and 19016, Welfare and Institutions Code. Reference: 34 CFR Sections 76.51, 76.700, 370.1, 370.2, 370.4 and 370.5; and Sections 19010 and 19011, Welfare and Institutions Code.
HISTORY

1. New section filed 1-11-99; operative 2-10-99 (Register 99, No. 3).
§7146. CAP Service Areas; Transfer.
Note     •     History

(a) A client or applicant who requests CAP services shall be referred to the Contractor selected as set forth in section 7145(a) to provide CAP services in the geographic area in which the client or applicant is receiving or has applied for services under the Act.
(b) A client or applicant may request that his or her request for CAP services be transferred from the Contractor responsible for providing CAP services in the geographic area in which the client or applicant is receiving or has applied for services under the Act to the Contractor responsible for another geographic area.
(c) Notwithstanding sections (a) and (b), a Contractor responsible for providing CAP services shall have discretion to provide CAP services to a client or applicant who has requested such services, including but not limited to discretion to provide CAP services to a client or applicant who has requested a transfer to a different Contractor pursuant to section (b). In exercising its discretion, the Contractor shall consider whether the provision of CAP services is necessary to ensure the protection of the rights of the client or applicant under the Act, the available resources of the Contractor, whether the client or applicant has cooperated in the provision of the CAP services, and other factors reasonably related to the efficient and rational allocation of CAP services among the clients and applicants requesting such services.
NOTE

Authority cited: Sections 19006 and 19016, Welfare and Institutions Code. Reference: 34 CFR Sections 370.1, 370.2, 370.4 and 370.40; and Sections 19006 and 19016, Welfare and Institutions Code.
HISTORY

1. New section filed 1-11-99; operative 2-10-99 (Register 99, No. 3).
§7147. Funding of Legal Services Through Post-Appeal Review.
Note     •     History

(a) A client or applicant who is dissatisfied with the decision of the Rehabilitation Appeals Board (“Board”) regarding his or her appeal, and who wishes to seek court review of the decision pursuant to Section 19709 of the Welfare and Institutions Code and Section 1094.5 of the California Code of Civil Procedure, may, but is not required to, request funding from the Department for legal services in connection with such court review.
(1) The client or applicant must submit a written request for such funding to the CAP administrator. The written request must be postmarked no later than fifteen (15) calendar days after the date the Board's decision is mailed to the client or applicant.
(2) Within three (3) working days after receipt of a written request for funding, the CAP Administrator shall request that the Board prepare the record of the Board proceedings. The record shall be prepared and provided to the CAP Administrator within forty (40) calendar days following the request for preparation of the record.
(3) Within five (5) working days of receiving the record, the CAP Administrator shall forward copies of the record to the members of the CAP Post-Appeal Review Panel for their review.
(4) Within twenty (20) calendar days of the mailing of the record, the CAP Post-Appeal Review Panel shall decide by majority vote whether the CAP shall provide the requested funding for legal services. In making its decision, the CAP Post-Appeal Review Panel shall not consider any documents or evidence other than the record of the Board proceedings. The decision whether to provide CAP funding for legal services is within the discretion of the CAP Post-Appeal Review Panel, based upon whether court review is necessary to ensure the protection of the rights of the client or applicant under the Act, the availability of funds and the competing demands for such funds. The CAP Post-Appeal Review Panel shall notify the client or applicant and the CAP Administrator in writing of its decision.
(5) If the decision of the CAP Post-Appeal Review Panel is that the CAP shall provide funding for legal services, the Contractor providing CAP services to the client or applicant shall enter into a contract for legal services, utilizing a Standard Contract form acceptable to the CAP Administrator, with the attorney selected by the client or applicant. No Contractor or employee of the Contractor may be selected as an attorney under such a contract if a CAP Advocate employed by the Contractor participated as a member of the CAP Post-Appeal Review Panel that approved the funding of such contract. The contract shall provide for the provision of legal services to the client or applicant in connection with court review of the Board's decision, and shall require itemized invoices for services rendered pursuant to the contract to be submitted to the Contractor for approval. Upon approval of the Contractor, the invoices shall be submitted to the CAP Administrator for payment by the Department, with total payment by the Department pursuant to the contract not to exceed $5,000. The CAP Administrator shall provide the attorney with a copy of the record of the Board proceedings.
(6) If the decision by the CAP Post-Appeal Review Panel is that the CAP shall not provide funding of legal services, such decision does not preclude the client or applicant from seeking court review of the Board's decision or applying to the court for attorneys' fees pursuant to Welfare and Institutions Code Section 19709, nor does such decision prevent the funding of such legal services by a Contractor.
(b) The time for filing a petition for writ in the Superior Court for review of the Board's decision shall not be extended or otherwise affected by the request to the CAP Post-Appeal Review Panel for funding of legal services.
(c) Contractors shall serve on the CAP Post-Appeal Review Panel, with three Contractors assigned each month according to an annual schedule created by the CAP Administrator. The schedule shall designate one of the three members to coordinate communications among the Panel members and to communicate the Panel's decision to the client or applicant and the CAP Administrator. A Contractor may not serve as a member of the CAP Post-Appeal Review Panel in connection with any matter in which the Contractor has provided CAP services to the client or applicant. The schedule will also provide for a fourth Contractor to serve as an alternate each month. The alternate member shall serve whenever a member scheduled to serve is not able to serve.
NOTE

Authority cited: Sections 19006 and 19016, Welfare and Institutions Code. Reference: 34 CFR Sections 370.1 and 370.4; Section 19709, Welfare and Institutions Code; and Section 1094.5, California Code of Civil Procedure.
HISTORY

1. New section filed 1-11-99; operative 2-10-99 (Register 99, No. 3).
Chapter 3. Vocational Rehabilitation Services for Individuals with Disabilities
Article 1. General Provisions
§7149. Scope of Vocational Rehabilitation Services for Individuals with Disabilities.
Note     •     History

As appropriate to the vocational rehabilitation needs of each individual and consistent with each individual's informed choice, the Department shall make the following vocational rehabilitation services available to assist the individual with a disability to prepare for, secure, retain, or regain an employment outcome that is consistent with the individual's strengths, resources, priorities, concerns, abilities, capabilities, interests, and informed choice. 
(a) Assessment for determining eligibility and priority for services by qualified personnel including, if appropriate, an assessment by personnel skilled in rehabilitation technology in accordance with Sections 7001.5 and 7062 of these regulations. 
(b) Assessment for determining vocational rehabilitation needs by qualified personnel including, if appropriate, an assessment by personnel skilled in rehabilitation technology, in accordance with Sections 7001.5, 7128(b), and 7130.5(b) of these regulations. 
(c) Vocational rehabilitation counseling and guidance, including information and support services to assist an individual in exercising informed choice in accordance with Section 7029.6 of these regulations. 
(d) Referral and other services necessary to assist applicants and eligible individuals to secure needed services from other agencies, including other components of the statewide workforce investment system, other government agencies, independent living centers, and local extended employment service providers, consistent with the requirements of Sections 7037 and 7038 of these regulations. 
(e) Physical and mental restoration services, in accordance with Section 7020 of these regulations, to the extent that financial support is not readily available from a source other than the Department. 
(f) Vocational and other training services, including personal and vocational adjustment training, books, tools, and other training materials, except that no training or training services in an institution of higher education (universities, colleges, community or junior colleges, vocational schools, technical institutes, or hospital schools of nursing) may be paid for by the Department unless maximum efforts have been made by the Department and the individual to secure grant assistance, in whole or in part, from other sources to pay for that training. 
(g) Maintenance, as defined in Section 7019 and provided under conditions specified in Section 7177 of these regulations. 
(h) Transportation provided to enable participation in any vocational rehabilitation service, in accordance with the definition in Section 7029 of these regulations. 
(i) Vocational rehabilitation services to family members, as defined in Section 7015 of these regulations, of an applicant or eligible individual if necessary to enable the applicant or eligible individual to achieve an employment outcome. 
(j) Interpreter services, including sign language and oral interpreter services for individuals who are deaf or hard of hearing and tactile interpreting services for individuals who are deaf-blind provided by qualified personnel. 
(k) Reader services, rehabilitation teaching services, and orientation and mobility services for individuals who are blind. 
(l) Job-related services, including job search and placement assistance, job retention services, follow-up services, and follow-along services. 
(m) Supported employment services in accordance with the definition of that term in Section 7028.1 of these regulations. 
(n) Personal assistance services in accordance with the definition of that term in Section 7019.7 of these regulations. 
(o) Post-employment services in accordance with the definition of that term in Section 7021.5 of these regulations. 
(p) Occupational licenses, tools as defined in Section 7028.4 and equipment as defined in Section 7013.2 of these regulations, and initial stocks and supplies. 
(q) Rehabilitation technology in accordance with the definition of that term in Section 7024.7 of these regulations. 
(r) Transition services in accordance with the definition of that term in Section 7028.6 of these regulations. 
(s) Technical assistance and other consultation services to conduct market analyses, develop business plans, and otherwise provide resources, to the extent those resources are authorized to be provided through the statewide workforce investment system, to eligible individuals who are pursuing self-employment or telecommuting or establishing a small business operation as an employment outcome. 
(t) Other goods and services, in accordance with Section 7174 of these regulations, that are determined necessary for the individual with a disability to achieve an employment outcome. 
NOTE

Authority cited: Sections 19006 and 19016, Welfare and Institutions Code. Reference: 29 USC 723(a); 34 CFR 361.48; and Section 19011, Welfare and Institutions Code. 
HISTORY

1. Amendment of chapter heading and new section filed 3-4-2004; operative 4-3-2004 (Register 2004, No. 10).
§7149.1. Excluded Services--Construction.
Note     •     History

(a) Construction, as defined in this section, shall not be provided as a vocational rehabilitation service. Construction on real property is expressly prohibited by Education Department General Administrative Regulations (EDGAR) 34 CFR 76.533.
(b) The following definitions apply to this section:
(1) “Construction” means:
(A) Erection of any new structure or building on real property, either temporary or permanent, in whole or in part.
(B) Additions to, modification or replacement of, or demolition or removal of, all or part of an existing structure or building on real property, either temporary or permanent, including but not limited to existing electrical, plumbing, heating and air conditioning appliances, fixtures, and systems, foundations, roofs, walls, floors, ceilings, windows, doors, cabinets, countertops, closets, and kitchen or bathroom fixtures such as sinks, toilets, tubs and showers.
(C) A remodel of all or part of a structure or building on real property.
(D) Installation of any item, piece of equipment, or product system as a permanent fixture on real property.
(E) Improvements to land, including the addition, modification or replacement of roads, driveways, walkways, fences, or barriers.
(2) “Permanent fixture” means an item, piece of equipment, or product system that once installed is considered a permanent appendage or addition to real property because the item, piece of equipment or product system is physically attached to real property and cannot be readily or easily removed without damage to, or alteration or modification of, the real property or of the item, piece of equipment or product system, or that has been designed or modified for use upon that real property. Examples of permanent fixtures include elevators and wheelchair lifts. A wheelchair ramp installed for access to a structure may or may not be a permanent fixture, depending upon how the particular ramp is installed and/or designed for use with that structure.
(3) “Real Property” means land and any structure and improvements situated on the land including, but not limited to, a building, house, trailer home, guest house, garage, or any type of outbuilding, whether used as a residence, place of business, or for other purposes, and any roads, driveways, walkways, fences, or barriers situated on the real property.
NOTE

Authority cited: Sections 19006 and 19016, Welfare and Institutions Code. Reference: 29 USC 723; 34 CFR Sections 76.533 and 361.48; and Section 19150, Welfare and Institutions Code.
HISTORY

1. Amendment of chapter 3 heading and new section filed 12-26-2002 as an emergency; operative 12-26-2002 (Register 2002, No. 52). A Certificate of Compliance must be transmitted to OAL by 4-25-2003 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 12-26-2002 order transmitted to OAL 4-14-2003 and filed 5-20-2003 (Register 2003, No. 21).
§7150. General Provisions. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 19006 and 19016, Welfare and Institutions Code. Reference: Section 19150, Welfare and Institutions Code; and 34 CFR Sections 361.32, 361.33, 361.34, 361.42 and 361.53.
HISTORY

1. New article 9 (sections 7150-7177) filed 10-17-80; effective thirtieth day thereafter (Register 80, No. 42).
2. Amendment of subsection (c) filed 3-2-82; effective thirtieth day thereafter (Register 82, No. 10).
3. Renumbering of former article 9 (sections 7150-7176) to chapter 3 (sections 7150-7176) and new article 1 (section 7150) filed 6-21-90; operative 7-21-90 (Register 90, No. 35).
4. Amendment of subsection (c)(7) filed 1-14-92; operative 2-13-92 (Register 92, No. 13).
5. New subsection (c)(10) and renumbering filed 1-2-92; operative 3-2-92 (Register 92, No. 18).
6. New subsection (c)(11) and subsection renumbering filed 3-16-93; operative 4-15-93 (Register 93, No. 12).
7. Repealer filed 3-4-2004; operative 4-3-2004 (Register 2004, No. 10).
Article 2. Counseling and Placement
§7151. Counseling, Guidance and Referral Services.
Note     •     History

(a) Counseling and guidance is the core service from which all other vocational rehabilitation services are identified, justified and provided. Counseling and guidance is the process by which the Department assists applicants and clients to understand and focus on the vocational significance of:
(1) Their physical and/or mental limitations
(2) Their aptitudes and interests
(3) Their personal and/or social problems
(4) The selection of vocational rehabilitation services necessary to achieve suitable employment
(5) The selection of a vocational objective.
(b) Referral services are provided to an applicant or client in order to assist that applicant or client to obtain or utilize appropriate community resources.
NOTE

Authority cited: Sections 19006 and 19016, Welfare and Institutions Code. Reference: 34 CFR 361.42.
HISTORY

1. Amendment of NOTE filed 3-2-82; effective thirtieth day thereafter (Register 82, No. 10).
2. New Article 2 heading filed 6-21-90; operative 7-21-90 (Register 90, No. 35).
§7152. Placement Services.
Note     •     History

(a) Placement services require the joint participation of the client and the Department.
(b) Placement services shall be provided on an individualized basis, through the JOB Club, or through a workshop, or other rehabilitation facility offering work or vocationally oriented programs, or a tutor as limited by (c), and include but are not limited to:
(1) Vocational Exploration
(2) Job Seeking Skills Training
(3) Job Analysis
(4) Job Modification or restructuring
(5) Employer Contacts
(6) Employer/Client Follow-Up and Consultation
(c) The services specified in (b) shall be purchased from a workshop, or other rehabilitation facility offering work or vocationally oriented programs, or a tutor only upon a determination by the Counselor that one of the following conditions exist:
(1) The services are not available from the Department.
(2) The services available from the Department are not appropriate for the client's needs.
NOTE

Authority cited: Sections 19006 and 19016, Welfare and Institutions Code. Reference: Sections 19150 and 19152, Welfare and Institutions Code; 34 CFR Section 361.42.
HISTORY

1. Amendment of NOTE filed 3-2-82; effective thirtieth day thereafter (Register 82, No. 10).
2. Amendment filed 3-25-91; operative 4-24-91 (Register 91, No. 15).
3. Amendment of subsections (b) and (c) and Note filed 3-16-93; operative 4-15-93 (Register 93, No. 12).
4. Editorial correction of subsection (c) (Register 95, No. 11).
§7153. Placement in Suitable Employment.
Note     •     History

An occupation shall be considered suitable when after a reasonable period it has been confirmed that all closure standards set forth in Section 7184 of these regulations have been met.
NOTE

Authority cited: Sections 19006 and 19016, Welfare and Institutions Code. Reference: 34 CFR 361.42.
HISTORY

1. Amendment filed 3-2-82; effective thirtieth day thereafter (Register 82, No. 10).
Article 3. Training and Job Coaching Services
§7154. Training Services.
Note     •     History

(a) Training services shall be provided only to the extent necessary to accomplish either or both of the following:
(1) Facilitate achievement of the vocational objective. 
(2) Except as specified in (b), prepare a client with the skills and abilities necessary to be a competitive candidate for suitable employment at the entry level. For example, if the vocational goal is educator, the training would consist of a Bachelor's Degree and a teaching credential, not a Master's Degree.
(b) The provisions specified in (a)(2) shall be waived in writing by the Rehabilitation Supervisor upon a determination by the Supervisor, Counselor and client that such an action is necessary for the client to achieve a goal of suitable employment. Factors to be considered in making the determination shall include:
(1) The nature and severity of the client's disability.
(2) The client's age.
(3) The client's past employment experience, or lack thereof.
(4) The financial needs of the client.
(c) The selection of training services shall be based on the needs of the client and the timeliness, availability, and cost of training.
(d) Any training facility which is equipped to meet the special training needs of a client and meets the standards set forth in chapter 3, subchapter 7 of these regulations may be used.
NOTE

Authority cited: Sections 19006 and 19016, Welfare and Institutions Code. Reference: Sections 19150 and 19152, Welfare and Institutions Code; 34 CFR 361.42.
HISTORY

1. Amendment of NOTE filed 3-2-82; effective thirtieth day thereafter (Register 82, No. 10).
2. New article 3 heading filed 6-21-90; operative 7-21-90 (Register 90, No. 35).
3. Subsection (a) amended and renumbered to section 7028.5 filed 8-16-90; operative 9-15-90 (Register 90, No. 38).
4. Renumbering and amendment of former subsection (a) to section 7028.5 and amendment and relettering of subsection (b) to subsection (a); and new subsection (b) filed 8-16-90; operative 9-15-90 (Register 90, No. 38).
5. Editorial correction of printing error in article heading (Register 93, No. 24).
§7155. Use of Public or Private Institutions.
Note     •     History

(a) Training in a private institution shall not be provided except when:
(1) It is clear that the training needs of the client can be better met by a private, correspondence, on-the-job, tutorial, or other training institution or method; or
(2) Overall cost to the Department will be less; or
(3) The training is not available in a public institution; or
(4) Attendance in a public training program would cause a significant delay in the client's preparation for suitable employment.
(b) Prior written approval of the Rehabilitation Supervisor shall be required before a Counselor may send a client to a private school for training or to a college or university for graduate level training. The Rehabilitation Supervisor's decision shall be based upon documentation that the requirements of (a) as well as of Section 7154 and Sections 7196 through 7198 have been met.
NOTE

Authority cited: Sections 19006 and 19016, Welfare and Institutions Code. Reference: Section 19150, Welfare and Institutions Code; and 34 CFR Sections 361.42, 361.47(b) and 361.56.
HISTORY

1. Amendment filed 3-2-82; effective thirtieth day thereafter (Register 82, No. 10).
2. Amendment redesignating subsections (a) through (d) to subsections (a)(1) through (a)(4); new subsection (b) filed 8-16-90; operative 9-15-90 (Register 90, No. 38).
3. Amendment of subsection (b) filed 1-2-92; operative 3-2-92 (Register 92, No. 18).
§7156. College Level Training.
Note     •     History

Clients receiving college level training shall use the least expensive educational institutions in the following order of preference:
(a) For the first two years, a community college or other equivalent resource.
(b) For the first two years, a state college or university if the overall cost to the Department will be equal to or less than a community college.
(c) After the first two years, a state college or university.
(d) A private school when:
(1) The private school is essential to the success of the IWRP; or 
(2) The overall cost to the Department will be equal to or less than the costs of a public school; or
(3) The client agrees to pay all additional costs for training in a private school when the Department has determined that a public institution is sufficient to meet the needs of the client.
NOTE

Authority cited: Sections 19006 and 19016, Welfare and Institutions Code. Reference: 34 CFR 361.42, 361.47 and 361.56.
HISTORY

1. Amendment filed 3-2-82; effective thirtieth day thereafter (Register 82, No. 10).
§7157. On-the-Job Training.
Note     •     History

(a) On-the-job training programs shall be selected on the basis of the individual trainer's ability and willingness to instruct the client.
(b) Compensation paid by the trainer to the client during and/or after the on-the-job training period shall meet all legal requirements.
(c) Clients receiving on-the-job training are considered employees of the trainer and shall receive appropriate benefits and employee insurance coverage, except that the Department shall bear the full amount of any additional workers' compensation insurance premium expense incurred by the trainer during the clients' training period. The Department shall either reimburse the trainer for his/her increased costs or purchase a policy specifically for the client.
(d) On-the-job training agreements developed in accordance with section 7157.5 are not legally binding contracts, and may be modified or terminated by the Department or trainer whenever circumstances warrant.
(e) The length of the on-the-job training shall be based upon the following factors:
(1) The usual and customary training period required for a specific occupation.
(2) The extent to which the client already qualifies for the vocational objective.
(3) The extent of both the client's:
(A) Educational background.
(B) Physical or mental impairment.
(f) On-the-job training shall be limited to a total expenditure of $1500 per case unless the training is pursuant to a contractual agreement between the Department and another public agency, such as the State Personnel Board. In unusual situations, the District Administrator may waive this limitation, for example, the client lives in a remote area of the state where schools are not available, or the nature or severity of the client's disability is such that extensive training and assistance are required.
NOTE

Authority cited: Sections 19006 and 19016, Welfare and Institutions Code. Reference: Section 3351.5, Labor Code; Section 19150, Welfare and Institutions Code; 34 CFR Section 361.42.
HISTORY

1. Amendment of NOTE filed 3-2-82; effective thirtieth day thereafter (Register 82, No. 10).
2. Amendment of subsection (d) and new subsections (e) and (f) filed 8-16-90; operative 9-15-90 (Register 90, No. 38). 
3. Amendment of subsection (c) and Note filed 8-20-92; operative 9-21-92 (Register 92, No. 34).
§7157.5. On-the-Job Training Agreements.
Note     •     History

(a) Prior to the implementation of on-the-job training a letter of agreement shall be reviewed and signed by all of the following:
(1) The client.
(2) The trainer.
(3) The counselor.
(b) The on-the-job letter of agreement shall include all of the following:
(1) Identification of a specific vocational objective.
(2) The training curriculum, including the length of the training and the specific skills to be learned.
(3) The number of hours of instruction and supervision to be provided by a qualified instructor.
(4) The hours of training including all of the following:
(A) Starting and quitting time.
(B) Lunch hour.
(C) Break time(s).
(D) Schedule of time off.
(E) Number of hours to be spent in the shop or field.
(5) The pay, along with a statement that the trainer agrees to pay the trainee the prevailing rate paid other employees with similar knowledge and skills.
(6) The training fees that the Department agrees to pay to the trainer.
(7) A description of any accommodations required to meet the special needs of the client, along with an identification of the party responsible for providing each accommodation during the training period.
(8) All of the following statements:
(A) The agreement is not a legally binding contract and may be modified or terminated at any time by the trainer or the Department.
(B) An employer-employee relationship exists and the trainer is responsible for both of the following:
1. Applicable and required employer contributions such as unemployment insurance benefits and social security, except the Department is responsible for worker's compensation in accordance with Section 7157(c).
2. Withholding from the trainee's earnings applicable and required deductions such as state and federal income taxes, social security and state disability insurance.
(C) The trainer agrees to employ the trainee upon completion of training or to assist in placing the trainee with another employer.
(D) The trainer agrees to inform the Department of any problems that may arise and agrees to submit monthly progress reports each month with his/her invoice.
(c) A copy of the signed agreement shall be given to both the trainer and the trainee. The Counselor shall retain the original in the client's case record.
NOTE

Authority cited: Sections 19006 and 19016, Welfare and Institutions Code. Reference: Section 3351.5, Labor Code; and Section 19150, Welfare and Institutions Code.
HISTORY

1. New section filed 8-16-90; operative 9-15-90 (Register 90, No. 38).
2. Amendment of subsection (b)(8)(B)1. and Note filed 8-20-92; operative 9-21-92 (Register 92, No. 34).
§7158. Workshop Training.
Note     •     History

(a) Training provided by a workshop shall be authorized only when it is necessary to the successful outcome of a client's vocational rehabilitation. Workshop training services shall consist of any of the following:
(1) Work or vocational adjustment which is a systematic, organized program in which work, special training and guidance are used to develop in an individual appropriate work attitudes, habits and personal-social skills necessary for work.
(2) Work or vocational experience which is a service in which work in a realistic work environment is used to assist individuals to maintain or improve their work skills and increase their endurance and speed in preparation for regular employment.
(3) Trade or vocational training which is an organized program of instruction and guidance to impart the skills necessary for employment in a specific job or job family.
(b) For applicants/clients receiving work evaluation in accordance with section 7079, work adjustment or work experience:
(1) The Counselor shall:
(A) Conduct a case staffing with the appropriate workshop staff within four weeks of the date the applicant/client begins receiving the service.
(B) Document the results of the case staffing in the applicant's/client's case record. The documentation shall include the workshop's findings, recommendations and the projected duration of necessary workshop services.
(2) The workshop shall provide:
(A) Written progress reports at least once a month.
(B) A final written report upon completion of a specific workshop service.
(3) A workshop shall not receive payment for services provided until a written progress report is received.
(c) Under no circumstances shall work adjustment services extend beyond 180 days of service without a written waiver from the District Administrator.
NOTE

Authority cited: Sections 19006 and 19016, Welfare and Institutions Code. Reference: Sections 19018 and 19150, Welfare and Institutions Code; 34 CFR Section 361.42.
HISTORY

1. Amendment filed 3-2-82; effective thirtieth day thereafter (Register 82, No. 10). 
2. Renumbering of former section 7158 to 7158.8 and new section 7158 filed 3-25-91; operative 4-24-91 (Register 91, No. 15).
3. Editorial correction of subsections (b) and (b)(1)(B) and Reference cite (Register 95, No. 11).
§7158.8. Out-of-State Training.
Note     •     History

Clients may be provided out-of-state training when:
(a) Suitable facilities or courses are not available within the State; or
(b) The client lives near an adjoining State and the out-of-state facilities are more readily available in the adjoining state; or
Undue hardship would be imposed on the client by requiring the use of facilities or courses within the State.
NOTE

Authority cited: Sections 19006 and 19016, Welfare and Institutions Code. Reference: 34 CFR 361.42.
HISTORY

1. Amendment filed 3-2-82; effective thirtieth day thereafter (Register 82, No. 10).
2. Renumbering of former section 7158 to section 7158.8 filed 3-25-91; operative 4-24-91 (Register 91, No. 15).
§7159. Completion and Termination of Training.
Note     •     History

Training shall be terminated whenever an assessment of the client indicates readiness for employment or a lack of adequate performance by either the client or trainer in the training program.
NOTE

Authority cited: Sections 19006 and 19016, Welfare and Institutions Code. Reference: 34 CFR 361.42.
HISTORY

1. Amendment filed 3-2-82; effective thirtieth day thereafter (Register 82, No. 10).
§7159.5. Job Coaching Services.
Note     •     History

(a) Job coaching services shall be provided only when necessary for the client to achieve and/or retain suitable employment.
(b) Job coaching services shall:
(1) Include some or all of those activities specified in Welfare and Institutions Code Section 19150(a)(5).
(2) Be purchased from a rehabilitation facility or a tutor. Whenever possible, job coaching services for deaf or non-English speaking clients shall be purchased from a service provider equipped to meet the client's communication needs. When such a provider is not available, the Department shall purchase interpreter services separately.
(3) Be provided in a permanent or temporary, as limited by (d), job setting that meets all of the following conditions:
(A) The setting is community-based.
(B) There is regular contact between the client and co-workers or members of the public who are not disabled.
(C) The client is paid in accordance with applicable state and federal labor laws.
(c) Job coaching service providers shall submit written reports to the client's Counselor at least once a month describing, at a minimum, both:
(1) The client's progress toward employment stability as specified in the client's IWRP.
(2) Contacts with the client's employer.
(d) A temporary job setting shall be utilized only when the Counselor has determined that work related objectives such as the following cannot be accomplished through the provision of job coaching services in a permanent employment setting:
(1) Overcoming the fear of work.
(2) Development of work tolerance.
(3) Evaluation of work behaviors in relation to the proposed occupational objective.
(4) Determination of the level of support, both on and off the job, needed by the client.
(5) Testing of the feasibility of a specified occupational objective.
(6) Provision of intermediate non-threatening steps toward permanent placement.
(e) For clients whose employment goal is supported employment, job coaching shall include the type of monitoring specified in the client's IWRP pursuant to Section 7135(b)(3). At a minimum the monitoring shall include:
(1) For monitoring at the work site, two visits per month to the work site to assess employment stability.
(2) For monitoring away from the work site, two meetings per month with the client and one employer contact per month to assess employment stability.
NOTE

Authority cited: Sections 19006 and 19016, Welfare and Institutions Code. Reference: Section 19150, Welfare and Institutions Code; 34 CFR 363.4.
HISTORY

1. New section filed 3-16-93; operative 4-15-93 (Register 93, No. 12).
2. Editorial correction to restore placement of article heading to its correct position preceding section 7154 (Register 93, No. 24).
Article 4. Physical and Mental Restoration Services
§7160. Physical and Mental Restoration Services/Purchases--General.
Note     •     History

(a) Physical and mental restoration services/purchases shall be subject to all provisions specified in this section. Services/purchases shall be:
(1) Provided only in accordance with an IWRP.
(2) Unavailable in cases of Interim Determination of Eligibility, as defined in Section 7063.
(3) Subject to the similar benefit provisions of Sections 7196 through 7198 and the client financial participation provisions of Sections 7190-7194.
(4) Prescribed/recommended by the attending physician, except as provided in Section 7160.5(a)(4).
(5) Reviewed/approved in writing prior to the provision of the service/purchase, except as provided in 7160.5(c) and in accordance with (b), by one or more of the following as appropriate to the service being rendered or the purchase being authorized:
(A) The Medical Consultant or Psychiatric Consultant.
1. The approving Medical/Psychiatric Consultant shall not be the prescribing/recommending physician specified in (4).
(B) The Vocational Psychologist (if licensed by the Board of Psychology and only in districts that do not have a Psychiatric Consultant).
(C) The Rehabilitation Supervisor.
(D) The Medical Services Officer.
(E) The District Administrator, if services or purchases cost in excess of $5,000 and when renting a wheelchair.
(F) The District Administrator and the Director or the Director's designee in cases of maxillo-facial surgery costing in excess of $5,000.
(G) The Chief Medical Consultant.
(H) The Statewide Psychiatric Consultant.
(I) The Statewide Optometric Consultant.
(J) The Statewide Dental Consultant.
(b) Approval shall occur only after reaching a conclusion, based upon a careful review of the diagnostic study, that the IWRP will be jeopardized if the service/purchase is not provided and the conditions in either (1) or (2) exist:
(1) For persons in extended evaluation, the service is necessary to determine eligibility for vocational rehabilitation services.
(2) For clients eligible for vocational rehabilitation services, the service is necessary to both:
(A) Correct or substantially modify, within a reasonable period of time, a physical or mental condition which is stable or slowly progressive. A reasonable period of time shall be determined based upon factors related to the nature of the disability.
(B) Prepare the client for suitable employment.
(c) Evaluations/progress reports and final treatment reports from physicians, hospitals, rehabilitation centers and other facilities or appropriate providers shall be received and reviewed for recommendation by the Medical/Psychiatric Consultant or the Vocational Psychologist (if the conditions specified in 7160(a)(5)(B) exist) to determine the client's status/progress related to the likelihood of achieving the desired physical/mental restoration objective.
(1) Progress/final treatment report(s) submitted as a result of a service purchased by the Department shall include an evaluation of the client's progress, prognosis, functional limitations and capacities.
(2) In addition to the report(s) specified in (1), initial evaluations and report(s) submitted for physical/occupational/speech therapy or for psychiatric therapy/psychological counseling shall include a limited history, diagnosis, summary of functional limitations and capacities and the recommended therapy plan based upon the results of the evaluation or the provision of subsequent services.
(d) All service(s) shall be limited to six sessions/visits, except when:
(1) Physical therapy training in the use of a prosthetic or orthotic appliance has been recommended by the prescribing physician, or
(2) The need for additional sessions/visits has the concurrence of the Medical Consultant and approval of the District Administrator. A written justification prepared by the provider of service shall be submitted to the Department for review and shall include the following:
(A) The basis on which the additional treatment is recommended.
(B) The anticipated number of visits/sessions in excess of six.
1. When treatment is recommended beyond six sessions/visits the Counselor shall seek alternate ways to provide service based upon available resources.
NOTE

Authority cited: Sections 19006 and 19016, Welfare and Institutions Code. Reference: Sections 19010 and 19050, Welfare and Institutions Code; 34 CFR 361.42.
HISTORY

1. Amendment filed 3-2-82; effective thirtieth day thereafter (Register 82, No. 10).
2. New article 4 heading and amendment of section filed 6-21-90; operative 7-21-90 (Register 90, No. 35).
3. Amendment of subsection (a) and NOTE and new subsections (a)(1)-(d)(2)(B) filed 2-28-92; operative 3-30-92 (Register 92, No. 16).
4. Editorial correction of subsection (d)(2)(B)1. and deleting duplicate section (Register 95, No. 11).
5. Editorial correction of subsection (c) (Register 95, No. 43).
§7160.5. Limitations on Physical and Mental Restoration Services.
Note     •     History

(a) In addition to the conditions specified in Section 7160:
(1) Acupuncture services shall;
(A) require referral for treatment by a physician licensed by the Medical Board of California or a comparable agency of another state when service is provided out of state. The referring physician shall be a specialist in the appropriate specialty area to diagnose and treat the disabling condition.
(B) Only be authorized in those cases for the control of pain when, in the opinion of the referring physician, all other modalities have been tried and failed.
(C) Be provided by a qualified physician, including but not limited to, an anesthesiologist, neurologist, physiatrist or orthopedist.
(2) Chiropractic services shall be authorized only if:
(A) The treatment has the concurrence of the examining or treating physician.
(B) The treatment is utilized for the correction of a subluxation of the spine which has been demonstrated to exist by a radiologist.
(3) Psychiatric therapy/psychological counseling services shall include the initial evaluation and report specified in 7160(c)(2), testing as necessary, and counseling/therapy, and shall be subject to the following restrictions:
(A) Psychiatric therapy shall only be provided by physicians and surgeons licensed by the Medical Board of California who practice psychiatry.
(B) Psychological counseling services shall only be provided by one of the following:
1. A physician and surgeon licensed by the Medical Board of California who practices psychiatry.
2. A Psychologist licensed by the Board of Psychology.
3. Other professionals, as allowed within the scope of their licensure, following a special certification from the Chief Medical Consultant, as specified in Section 7295.7. Such professionals shall be licensed by the Board of Behavioral Science Examiners and may be either of the following:
a. A Clinical Social Worker.
b. A Marriage, Family and Child Counselor.
(C) Psychological testing services shall only be provided by one of the following:
1. A physician and surgeon licensed by the Medical Board of California who practices psychiatry.
2. A Psychologist licensed by the Board of Psychology.
3. A Vocational Psychologist, as defined in Section 7029.3.
4. An Educational Psychologist, if certified in accordance with Section 7295.7.
(4) Services provided by allied health professionals or independent health care professionals shall be provided within the scope of their licensure. Such services, including but not limited to, speech pathology, physical therapy, occupational therapy, or the provision of hearing aids, visual aids, and durable medical equipment and devices, when determined by the Department to be medical in nature, shall:
(A) Be prescribed by a physician before authorization except when:
1. Visual aids are prescribed by an Optometrist.
2. Rental is necessary while the permanent equipment/device is being repaired.
3. Repairs cost 20% or less of the purchase price and do not change the fit of the equipment/device to the client.
(B) Meet the following applicable conditions:
1. Prior to the provision of a wheelchair or a vehicle device to be used as a wheelchair, a wheelchair evaluation must be completed by a person recognized by the Department as a specialist, working under the supervision of a physician as applicable to his/her licensure.
2. Physical/occupational/speech therapy shall be supervised by a physician.
3. Transcutaneous nerve stimulators shall be subject to the following conditions:
a. Before any purchase, a device shall be rented for a minimum of 30 days and its use must have a demonstrated therapeutic benefit in the relief of pain.
b. The rental period shall not exceed three months or rental charges exceed $1,000, whichever comes first. The rental costs shall be deducted from the purchase price.
(b) Dental services shall be provided after receipt of a dental plan and x-rays submitted by a dentist/orthodontist. Prior approval of the State Dental Consultant is required if the dental restoration program is in question, if service has been denied by Medi-Cal or if service includes extensive treatment such as maxillo-facial dental service, maxillo-facial prosthetics, gold or porcelain/gold crown, root canal treatment, surgical gum treatment, full or partial dentures or bridges.
(c) Treatment of an intercurrent illness, which is an acute medical/dental/psychiatric condition not considered a new, permanent disability and which interrupts other planned services, shall be considered a physical and mental restoration service. Service may include, but is not limited to, office visits, medication, surgical procedure and hospitalization while the client is in the rehabilitation program. Services shall not be:
(1) Subject to prior written approvals but shall be provided after consulting with and getting verbal approval from the Rehabilitation Supervisor with written approvals, as specified in Section 7160(a)(5), to follow within 15 days of the authorization for service.
(2) Provided in excess of 30 days.
NOTE

Authority cited: Sections 19006 and 19016, Welfare and Institutions Code. Reference: Sections 19006 and 19050, Welfare and Institutions Code; 34 CFR Section 361.42.
HISTORY

1. New section filed 2-28-92; operative 3-30-92 (Register 92, No. 16).
Article 5. Transportation Services
§7161. Transportation Services--General.
Note     •     History

(a) Transportation as defined in section 7029:
(1) Shall be provided as a supportive service when necessary to provide for those travel expenses resulting from:
(A) A determination of rehabilitation potential.
(B) The provision of counseling and placement services.
(C) The client's participation in a completion of an approved program of vocational rehabilitation services.
(D) The provision of post-employment services.
(2) Shall not be provided as a sole service because a supportive service is one which only contributes to the client's ability to receive the benefit of other vocational rehabilitation services. Alone, it is not a vocational rehabilitation service.
(3) Shall not be provided for travel expenses caused by or required solely for personal, social, recreational or other non-vocational reasons.
(4) Shall be provided only to a client who is engaged in suitable employment as defined in section 7184 under either of the following circumstances:
(A) Until the client is financially capable of assuming the cost as determined in accordance with section 7161.5 or until the case is closed in accordance with Article 10, commencing with section 7180, whichever occurs first.
(B) In accordance with (e).
(b) Prior to provision of any transportation services the Counselor shall determine both of the following:
(1) Whether the client is eligible for similar benefits in accordance with Sections 7196 through 7198. If eligibility exists, the Counselor shall follow the procedures specified in those regulations.
(2) The ability of the client to financially participate in accordance with sections 7190 through 7194. If the client is able to financially participate, the procedures for payment specified in those regulations shall be followed.
(c) The mode of transportation provided shall be the least costly mode which meets the special needs of the client. Modes of transportation include, but are not limited to:
(1) Publicly owned or contracted transportation such as buses, dial-a-ride and rapid transit.
(2) Transportation available through community resources.
(3) Client-owned vehicles.
(4) Privately owned transportation such as taxi cab, limousine or paratransit companies and charter buses.
(5) Car pools and payment to co-workers.
(6) Car rental agencies.
(d) Additional authorization criteria and rates of payment for specific modes of transportation shall be set by the Department pursuant to sections 7162 through 7163.5.
(e) Once a case is closed because the client is rehabilitated, transportation services shall be provided only upon written approval of the Rehabilitation Supervisor. The Rehabilitation Supervisor's approval shall be based upon such criteria as verification that:
(1) The services are necessary to support an over-all program of post-employment services as defined in section 7176.
(2) The services are requested within 12 months of the client's case closure.
(3) The requirements of (b) have been met.
NOTE

Authority cited: Sections 19006 and 19016, Welfare and Institutions Code. Reference: Sections 19018 and 19150(2)(f), Welfare and Institutions Code; and 34 CFR Sections 361.42, 361.44, 361.46 and 361.47.
HISTORY

1. Amendment of NOTE filed 3-2-82; effective thirtieth day thereafter (Register 82, No. 10).
2. New article 5 heading filed 6-21-90; operative 7-21-90 (Register 90, No. 35).
3. Amendment filed 8-16-90; operative 9-15-90 (Register 90, No. 36).
4. Amendment of subsection (b)(1) filed 1-2-92; operative 3-2-92 (Register 92, No. 18).
5. Amendment of article heading filed 3-4-2004; operative 4-3-2004 (Register 2004, No. 10).
6. Editorial correction implementing inadvertently omitted amendment of article heading and adding History 5 (Register 2006, No. 14).
§7161.5. Transportation Services--Employed Clients.
Note     •     History

(a) For the purposes of section 7161(a)(4)(A), a client shall be deemed to be financially capable of assuming the cost of transportation after the client has received one full month of salary or wages unless there is evidence that undue financial hardship exists.
(b) Undue financial hardship means that the client's income, minus mandatory payroll deductions, and liquid assets for the month are insufficient to meet the current costs of transportation to and from employment in addition to all of the following:
(1) The average monthly costs, established in accordance with (c), of:
(A) Housing.
(B) Utilities, including basic rate for phone.
(C) Clothing required for employment.
(D) Food.
(E) Monthly medical and dental services.
(F) Child care necessary for employment.
(G) Court ordered child or spousal support.
(2) Unusual or unforeseen necessary expenses including such occurrences as:
(A) Deposits required for a client to move into more suitable housing.
(B) Repair or replacement of personal belongings damaged due to fire, earthquake or other natural disaster.
(C) Other similar occurrences.
(c) For the purposes of (b)(1), the average monthly costs shall be established by averaging the prior two months actual costs unless the Counsel--

or and client agree upon a different methodology for a particular item; for example, the client has paid for child care for only one month.
(d) Except as specified in section 7161(e), transportation services shall not be authorized after the client has received one full month of wages or salary, without the approval of the District Administrator. The District Administrator's decision shall be based upon such criteria as verification that:
(1) The conditions specified in section 7161(b) and (c) have been met.
(2) Undue financial hardship pursuant to subsection (b) of this section exists.
(e) In no instance shall a case, which would otherwise be closed in accordance with section 7184, remain open solely because a client is not financially capable of assuming the cost of transportation.
NOTE

Authority cited: Sections 19006 and 19016, Welfare and Institutions Code. Reference: Section 19150(2)(f), Welfare and Institutions Code and 34 CFR Section 361.42.
HISTORY

1. New section filed 8-16-90; operative 9-15-90 (Register 90, No. 36). 
§7162. Client-Owned Vehicle Use.
Note     •     History

(a) Clients who use their own vehicles for transportation shall receive payment in accordance with this section and sections 7162.3 and 7162.5. The payment made pursuant to this section shall be in the form of a monthly allowance paid to the client, except that payment of parking fees may vary from situation to situation. For example, if the client is attending a public school, the Department may purchase a parking permit for the client to use for parking in the school's parking lot.
(b) Upon a determination by the counselor that a client-owned vehicle must be used because either of the following conditions exists, the rate of payment shall be the amount specified in (c):
(1) The client is required to operate his/her own vehicle to complete an IWRP.
(2) A publicly owned or contracted mode of transportation is not readily available or would cause undue hardship to the client. Readily available and undue hardship shall be determined by considering such factors as:
(A) The special needs of the client.
(B) The proximity of public transportation to the client's home and to his/her destination.
(C) The frequency of public transportation at the times of day during which the client will be traveling.
(c) When the conditions specified in (b) exist, the transportation allowance shall include all of the following:
(1) Actual costs of necessary bridge tolls.
(2) Actual costs of necessary parking, unless other payment arrangements pursuant to (a) have been made. 
(3) Payment for gasoline and oil which shall be the lesser of actual costs or:
(A) Fifteen cents per mile for vehicles other than vans which have been specially adapted to meet the client's needs.
(B) Twenty cents per mile for vans specially adapted to meet the client's needs.
(d) A client may elect to use his/her vehicle in lieu of public transportation. The rate of payment in such case shall equal the lesser of the following:
(1) Actual costs of gas, oil, and necessary parking and bridge tolls.
(2) The least expensive rate charged by the local public transportation company for the mode of transportation accessible to the client.
(e) The transportation allowance shall be calculated on an average monthly basis and paid to the client at the beginning of each month.
(f) A monthly transportation allowance shall be prorated and adjusted in a following month to reflect client absences when both of the following conditions exist:
(1) The transportation allowance is determined pursuant to (c).
(2) Client absences are in excess of four days per month.
NOTE

Authority cited: Sections 19006 and 19016, Welfare and Institutions Code; Reference: Section 19150(2)(f), Welfare and Institutions Code and 34 CFR Sections 361.42, 361.44 and 361.46.
HISTORY

1. Amendment of NOTE filed 3-2-82; effective thirtieth day thereafter (Register 82, No. 10).
2. Repealer and new section filed 8-16-90; operative 9-15-90 (Register 90, No. 36).
§7162.3. Client-Owned Vehicle Insurance.
Note     •     History

(a) Vehicle insurance shall be purchased by the Department for a client-owned vehicle only when either of the following conditions exist:
(1) The client is required to operate his/her own vehicle to complete an IWRP. In this instance the amount of insurance purchased shall not exceed the State's legally prescribed minimum level. Prior written approval of the District Administrator shall be required. The District Administrator's decision shall be based upon such criteria as verification that:
(A) The client is required to operate his/her own vehicle to complete the IWRP.
(B) The requirements in section 7161(b) have been met.
(2) A vehicle is required as a condition of employment. In this instance the amount of insurance purchased may exceed the State's legally prescribed minimum level only when the conditions specified in (A) or (B) exist. The approval of the District Administrator shall not be required.
(A) As a condition of employment, additional coverage is required.
(B) A lien-holder requires additional coverage.
(b) The rate of payment shall be the usual and customary charges of the insurer.
(c) The payment shall be made by the Department to the insurer.
NOTE

Authority cited: Sections 19006 and 19016, Welfare and Institutions Code; Reference: Section 19150(2)(f), Welfare and Institutions Code and 34 CFR Sections 361.42, 361.44, 361.46 and 361.47.
HISTORY

1. New section filed 8-16-90; operative 9-15-90 (Register 90, No. 36).
§7162.5. Client-Owned Vehicle Repairs.
Note     •     History

(a) For purposes of this section repairs shall include labor costs and the purchase of vehicle related items such as tires, batteries and automotive parts.
(b) Authorization of vehicle repairs shall occur only upon the written approval of the Rehabilitation Supervisor. For the authorization of more than $250 for repairs in a 12 month period, the written approval of the District Administrator shall also be required. The Rehabilitation Supervisor's and District Administrator's decision shall be based upon such criteria as whether or not:
(1) The client's rehabilitation program can be completed without the use of the client's vehicle.
(2) A written report establishing that the vehicle is repairable and authorization to repair the vehicle have been obtained from the Fleet Administration Division of the Department of General Services. When the repair cannot be delayed without jeopardizing the successful outcome of the client's rehabilitation program, a telephone call shall be made by the Counselor to the Fleet Administration Division for a determination as to whether an on-the-spot inspection is required before the repairs are made.
(3) The requirements in section 7161(b) have been met.
(c) The rate of payment shall be the usual and customary amount charged by the repairer for the specific repair being purchased.
(d) Payment shall be made directly to the client only when both of the following conditions exist:
(1) The cost of the repair is $100 or less.
(2) The client has paid for the repair and has proof of payment.
(e) Except as specified in (d), payment shall be made directly to the provider of service.
NOTE

Authority cited: Sections 19006 and 19016, Welfare and Institutions Code; Reference: Section 19150(2)(f), Welfare and Institutions Code and 34 CFR Sections 361.42 and 361.44.
HISTORY

1. New section filed 8-16-90; operative 9-15-90 (Register 90, No. 36).
§7163. Privately Owned and Operated Modes of Transportation.
Note     •     History

(a) Privately-owned and operated modes of transportation shall be authorized only when both of the following conditions exist:
(1) The Counselor has made a determination in accordance with section 7162(b)(2) that a publicly-owned or contracted mode of transportation is not readily available or would cause undue hardship to the client.
(2) The privately-owned mode of transportation can meet the client's special needs.
(b) The rate of payment shall be the transportation provider's usual and customary charge for the service.
(c) Payment shall be made to the transportation provider.
NOTE

Authority cited: Sections 19006 and 19016, Welfare and Institutions Code. Reference; Section 19150(2)(f), Welfare and Institutions Code and 34 CFR Sections 361.42, 361.44 and 361.46.
HISTORY

1. Amendment of NOTE filed 3-2-82; effective thirtieth day thereafter (Register 82, No. 10).
2. Repealer and new section filed 8-16-90; operative 9-15-90 (Register 90, No. 36).
3. Editorial correction restoring misplaced History 1 (Register 95, No. 11).
§7163.5. Transportation Expenses for Permanent Relocation.
Note     •     History

(a) Transportation expenses for permanent relocation shall be provided when:
(1) The client has accepted suitable employment as a result of the completion of the IWRP.
(2) Permanent relocation is more cost effective and feasible than transportation to and from the client's current residence and place of employment.
(3) The requirements in section 7161(b) have been met.
(b) Transportation expenses for permanent relocation shall include only the costs specified in (1) or (2).
(1) For self-moves, the costs of renting a truck or trailer plus the amounts specified in section 7162(c). The mileage shall be based upon the most direct route from the client's former residence to the new residence.
(2) For carrier moves, the costs for a licensed carrier that is certified by the State and:
(A) For clients who own a vehicle and are driving it to the new residence, the amounts specified in section 7162(c). The mileage shall be based upon the most direct route from the client's former residence to the new residence.
(B) For clients who do not own a vehicle or are not driving it to the new residence, the costs of a one-way fare on the least expensive mode of common carrier which is accessible to the client.
(c) Prior to the authorization of transportation expenses for permanent relocation the written approval of the Rehabilitation Supervisor shall be obtained. If the estimated costs exceed $500 the written approval of the District Administrator shall also be obtained. The Rehabilitation Supervisor's and District Administrator's decision shall be based upon criteria such as verification that the conditions specified in (a) have been met.
(d) The rate of reimbursement shall be the usual and customary charges for the service by the carrier or rental agency.
(e) Payment shall be made directly to the carrier or rental agency, except for the amounts specified in section 7162(c) which shall be paid to the client.
NOTE

Authority cited: Sections 19006 and 19016, Welfare and Institutions Code; Reference: Section 19150(2)(f), Welfare and institutions Code; 34 CFR Sections 361.42, 361.44 and 361.46.
HISTORY

1. New section filed 8-16-90; operative 9-15-90 (Register 90, No. 36).
2. Editorial correction deleting misplaced History 1 (Register 95, No. 11).
§7164. Vehicle Purchase.
Note     •     History

(a) A motor vehicle shall be purchased for a client only when all of the following conditions exist:
(1) The client for whom the vehicle will be purchased meets all of the following conditions:
(A) Is physically unable to use non-adapted or alternate forms of transportation.
(B) Has competitive employment as a vocational goal and one of the following conditions exist. The client:
1. Is ready for or participating in vocational training.
2. Is job ready.
3. Has been offered a job.
4. Is already employed in suitable employment.
(C) Has the financial ability to operate, maintain and replace the vehicle as determined pursuant to section 7164.2.
(2) All other modes of transportation, as well as permanent relocation, have been explored and documented and a determination has been made that vehicle purchase is the most cost effective means of obtaining transportation necessary to meet the client's specialized vocational needs.
(3) For a client who is a SSI/SSP recipient, the Counselor, as part of fulfilling the requirements under section 7161(b), has obtained documentation of refusal of the Social Security Administration to allow the client to establish an approved plan for achieving self-support as defined in 20 CFR sections 416.1180 through 416.1182 and sections 416.1225 through 416.1227.
(4) The client has been evaluated by the Department or by a Department-approved mobility evaluation program in accordance with section 7164.4, or has obtained a waiver of the mobility evaluation in accordance with section 7164.6 and one of the following conditions exist:
(A) The client has a driver's license and has obtained a waiver of the mobility evaluation.
(B) The mobility evaluation program has determined that the client has a driver's license or has the potential for obtaining a driver's license and the client agrees that:
1. All driving instruction recommended by a mobility evaluation program shall be mandatory even if the client has a current driver's license.
2. Until the unlicensed client receives a driver's license, a licensed driver who has been approved by the Counselor and who has been provided instructions regarding any modifications added to the vehicle shall be utilized at all times.
(C) The client does not have the potential to obtain a driver's license, but both of the following conditions exist:
1. A determination has been made through the mobility evaluation program or waiver process that the client meets the passenger criteria.
2. The client agrees that a licensed driver who has been approved by the Counselor and who has obtained instructions regarding any modifications added to the vehicle shall be utilized at all times.
(5) The client has signed the Issuance of Vehicle form (DR290A dated February, 1991) promising to abide by the following conditions while his/her case remains open:
(A) If the client does not possess a driver's license, only the person(s) specified in (4)(B)2. or (C)2. shall operate the vehicle.
(B) Manufacturers guidelines or General Service Administration's instructions contained in STD 271 (revised 8-78), which is incorporated by reference herein, regarding vehicle maintenance shall be followed.
(C) A record of both vehicle and modification maintenance shall be maintained in STD 271 and shall be reviewed annually by the Counselor.
(D) The client shall provide proof of insurance in an amount at least equal to the State's legally prescribed minimum level for the vehicle being purchased.
(E) Until the case is closed, the Department shall be the legal owner of the vehicle. If the case is closed for a reason other than “rehabilitated”, the vehicle shall be returned to the Department, unless the client purchases the vehicle from the Department at fair market value as determined in accordance with section 7194(c). In no instance shall any client financial participation obligation paid by the client be refunded.
(F) The client shall make no alterations to the vehicle or its adaptive equipment without the prior written approval of the Counselor.
(G) The client shall obtain any recommended driver instruction and not drive the vehicle independently until all instructions recommended by the Mobility Evaluation program are completed.
(H) If the client is the driver, the client shall maintain a valid California driver's license and shall notify the Counselor if his/her license is no longer valid.
(I) The client shall notify the Counselor if the vehicle is involved in an accident.
(J) The client shall notify the Counselor of any reason which prevents him/her from carrying out his/her IWRP.
(b) The least expensive vehicle which meets the client's specialized vocational needs shall be purchased.
(c) The vehicle shall be inspected and approved by the Fleet Administration Division of the Department of General Services.
NOTE

Authority cited: Sections 19006 and 19016, Welfare and Institutions Code. Reference: Section 19150(a)(12), Welfare and Institutions Code; 34 CFR 361.42.
HISTORY

1. New section and heading filed 7-18-91; operative 8-17-91 (Register 91, No. 45).
2. Amendment of subsection (a)(1)(B) and Note filed 8-20-92; operative 9-21-92 (Register 92, No. 34).
3. Change without regulatory effect repealing subsection (b) and relettering following subsections filed 10-7-92 pursuant to section 100, title 1, California Code of Regulations (Register 92, No. 41).
4. Editorial correction of History 3 (Register 95, No. 11).
§7164.2. Vehicle Purchase--Financial Ability.
Note     •     History

(a) A client shall demonstrate that he/she has the financial ability to operate, maintain and replace a vehicle by having actual or projected remaining disposable monthly income for basic living expenses at least equal to the current SSI/SSP monthly payment level for a disabled individual in an independent living situation. The client's remaining disposable monthly income shall be computed as follows:
(1) Subtract the client's monthly involuntary payroll deductions, such as federal and state income tax withholding and state disability insurance, from the client's total monthly gross earned income. If the client is employed, actual gross earnings and involuntary deductions shall be used. If the client is not employed, projected gross earnings, based upon the type of employment being sought and the client's marketable skills, shall be used. Involuntary deductions shall be projected as 20 percent of the projected gross earnings. These calculations determine the client's total monthly net earned income. 
(2) Combine the client's total monthly net earned income with the client's total monthly unearned income and, for client's who are SSI/SSP recipients, the SSI adjusted amount determined in accordance with (b). This is the client's total monthly income. Unearned income includes such payments as SSDI, Veterans benefits and pensions.
(3) From the total monthly income determined in (2), subtract the projected monthly vehicle operation and maintenance costs determined in accordance with (c) and the projected driver's costs, if any, determined in accordance with (d). This is the client's remaining disposable monthly income.
(b) The SSI adjusted amount shall be calculated as follows:
(1) Subtract the client's actual or projected monthly impairment-related work expenses, if any, from the client's actual or projected total gross earned income determined in accordance with (a)(1). Impairment-related work expenses shall be limited to those items specified in 20 CFR 416.976(c), April 1988 edition, which is incorporated by reference herein. If the client is employed, the actual cost of impairment-related work expenses shall be used. If the client is not employed, the Counselor, together with the client, shall estimate the cost of impairment-related work expenses based upon the special needs of the individual client.
(2) If the client has:
(A) Both earned and unearned income:
1. Subtract $20 from the client's unearned income. This is the client's total unearned income used to determine the SSI adjusted amount.
2. Subtract $65 from the amount determined in (1). Divide the remainder by two. This is the client's total earned income used to determine the SSI adjusted amount.
3. Add the amount determined in 1., even if the amount is less than zero, to the amount determined in 2. This is the client's total combined monthly income used to determine the SSI adjusted amount.
(B) Only earned income:
1. Subtract $85 from the amount determined in (1).
2. Divide the amount determined in 1. by two. This is the client's total monthly income used to determine the SSI adjusted amount.
(3) Subtract the amount determined in (2)(A) or (B), as appropriate, from the current SSI/SSP payment level. This is the SSI adjusted amount to be used in (a)(2).
(c) The costs of operating, maintaining and replacing a vehicle shall be projected on a monthly basis in accordance with this subsection. Based upon the special needs of the individual client, the Counselor, together with the client, shall estimate the type of vehicle and modifications/assistive devices that will be required. The applicable of the following amounts shall then be applied:
(1) Monthly vehicle costs:

	(A) Compact or subcompact car		$330.00
	(B) Intermediate-sized car		$370.00
	(C) Pickup truck		$392.00
	(D) Station wagon		$392.00
	(E) Van		$410.00
(2) Monthly modification costs:

	(A) Single, such as hand controls or left foot
	 accelerator		$1.66
	(B) Moderately complex, such as passenger
	 equipment lift or power doors		$12.50
	(C) Complex, such as lift, transfer seat, power
	 tiedown or sensitized steering		$22.91
(d) If the vehicle will be purchased for the client as a passenger and the client anticipates driver costs, the Counselor together with the client shall estimate the number of hours a month that the client will need a driver for employment-related purposes. This amount shall be multiplied by the minimum wage of $4.25 per hour to determine the projected driver costs.
NOTE

Authority cited: Sections 19006 and 19016, Welfare and Institutions Code. Reference: Section 19150(a)(11), Welfare and Institutions Code; 34 CFR Section 361.42.
HISTORY

1. New section filed 7-18-91; operative 8-17-91 (Register 91, No. 45).
§7164.4. Mobility Evaluations.
Note     •     History

(a) Mobility evaluations shall be accepted only if completed by a Department-approved Mobility Evaluation program which complies with the standards specified in section 7302.
(b) Prior to the authorization of a mobility evaluation, the approval of the District Administrator shall be obtained. The District Administrator's decision shall be based upon such criteria as verification that:
(1) All of the conditions in section 7164(a)(1)(A) and (C) and (2) and (3) are met.
(2) There is compliance with section 7161(b) and all of the requirements therein are met. For the purposes of client financial participation, the amount shall be calculated for the month in which the vehicle will be received by the client and payment shall be made to the Department at the time the client receives the vehicle.
(3) There is evidence that the client has completed or will successfully complete his/her IWRP.
(c) A mobility evaluation for clients who wish to be drivers shall include an assessment of all of the following:
(1) Physical functional abilities, including but not limited to, medical condition, strength and range of motion.
(2) Perceptual and cognitive abilities, including but not limited to, visual abilities, judgment skills and emotional stability.
(3) A behind-the-wheel assessment using the type of vehicle and equipment recommended pursuant to (f) which shall include both of the following:
(A) Stationary vehicle testing to determine the client's specific positioning needs, initial equipment needs and functional potential to operate the vehicle.
(B) A moving vehicle assessment which shall include an assessment of all of the following. The client's:
1. Physical performance in the driving set-up.
2. Integration of physical, visual and cognitive skills in varied driving environments.
3. Endurance and fatigue threshold.
(4) Potential for obtaining a driver's license.
(d) If the client has the potential to obtain a driver's license, the mobility evaluation, in addition to the items specified in (c), shall include both of the following:
(1) Specifications for adaptive driving equipment and vehicle modifications as specified in (f).
(2) An estimate of the amount and type of driver instruction needed.
(e) A mobility evaluation for clients who will be passengers shall include both of the following:
(1) An assessment of the client's:
(A) Functional abilities.
(B) Equipment needs for safety as a passenger.
(2) The appropriate recommendations specified in (f).
(f) Recommendations for the least expensive and complicated type of vehicle and assistive device which will meet the client's functional capabilities and vocational and safety needs. A van shall be the last alternative considered. Recommended vehicle modifications and assistive devices shall meet the standards specified in section 7165(d).
NOTE

Authority cited: Sections 19006 and 19016, Welfare and Institutions Code. Reference: Section 19150(a)(11), Welfare and Institutions Code; 34 CFR Section 361.42.
HISTORY

1. New section filed 7-18-91; operative 8-17-91 (Register 91, No. 45).
§7164.6. Mobility Evaluation - Waivers.
Note     •     History

(a) A client who will be the driver of the vehicle shall have the mobility evaluation waived only if all of the following conditions exist:
(1) The client has driven a modified car and possesses a current and valid driver's license which has been issued after the onset of the client's disability. The client shall present his/her driver's license as verification.
(2) The new car has similar options, such as power steering, power brakes, etc. as the client's former car and/or the modifications to be purchased have the same generic classifications, such as hand control, spinner knob, etc., as the modifications the client has been using and the modifications will cost $750 or less.
(3) The client, within the three prior years, has had no moving violations or record of an accident while operating a vehicle as verified through a printout of the client's driving record from the Department of Motor Vehicles, driver instructor's reports or similar documents.
(4) Supporting medical evidence is presented by the client which indicates that the client's medical condition is, or can be expected to remain, stable and that the client has no perceptual problems. In addition, there shall be confirmation from a Medical Consultant that the supporting medical evidence is accurate and consistent with the client's medical information maintained by the Department.
(5) There is verification that the new vehicle and/or modifications to be purchased is consistent with that recommended by an occupational or physical therapist.
(6) Approval of the Program Supervisor has been obtained. The Program Supervisor's decision shall be based upon whether or not there is verification:
(A) Of the criteria specified in (1) through (5).
(B) That the requirements of section 7164(b) and 7164.2 have been met.
(b) A client who will be transported as a passenger in the vehicle shall have the mobility evaluation waived only if all of the following conditions exist:
(1) The client will be transported in a standard, full-sized van.
(2) The measured height of the client from the floor to the top of his/her head while sitting upright is less than 51 inches.
(3) The client, without tipping the wheelchair, can temporarily bend over in his/her wheelchair so that the distance from the floor to the top of his/her head or the highest point on the wheelchair is less than 48 inches.
(4) The distance from the back of the rear wheel to the tip of the toe or end of foot plate, whichever is longer, is less than:
(A) 45 inches if the chair is equipped with anti-tip rollers.
(B) 48 inches if the chair is not equipped with anti-tip rollers.
(5) The client has no respiratory or other special equipment which must be attached to the van.
(6) The client does not anticipate the need or ability to be an independent driver in the next five years.
(7) The client has a standard noncustomized wheelchair. Recliner wheelchairs are permissible only with a doctor's permission for repeated use.
(8) The Counselor and/or the client foresee no equipment needs other than any of the following:
(A) A wheelchair lift operable by an attendant and located according to client needs and preference.
(B) Lift switches located such that the client's attendant can see the lift through its whole cycle of operation.
(C) A light near the lift for night use.
(D) The floor of the van leveled.
(E) A manual (non powered) wheelchair tiedown at the standard passenger position between and just behind the two front seats.
(F) A seat belt attached to the van at the passenger position.
(G) Buckle or velcro closure trunk supports attached to the client's wheelchair for trunk stability while stopping or cornering.
(9) The approval of the Program Supervisor has been obtained. The Program Supervisor's decision shall be based upon whether or not there is documentation of the criteria specified in (1) through (7).
NOTE

Authority cited: Sections 19006 and 19016, Welfare and Institutions Code. Reference: Section 19150(a)(11), Welfare and Institutions Code; 34 CFR Section 361.42.
HISTORY

1. New section filed 7-18-91; operative 8-17-91 (Register 91, No. 45).
2. Editorial correction of subsection (b)(6) (Register 95, No. 43).
§7165. Purchase of Vehicle Modifications.
Note     •     History

(a) The provisions of this section shall apply to the purchase of all vehicle modifications and repairs to existing modifications. In addition, except as specified in (b), the provisions of sections 7164 through 7164.6 shall apply to all vehicle modifications.
(b) Vehicle modifications or repairs to existing modifications costing under $750, unless being purchased in conjunction with the purchase of a vehicle, shall not be subject to the provisions of either of the following:
(1) Sections 7164(a)(1)(B) and 7164(b), providing the purchase is necessary for the completion of the IWRP.
(2) Sections 7164(a)(1)(C) and section 7164.2.
(c) Prior approval of the Program Supervisor shall be obtained for vehicle modifications costing less than $2,000. Prior approval of the District Administrator shall be obtained for vehicle modifications costing $2,000 or more. The Program Supervisor's or District Administrator's decision shall be based upon consideration as to whether:
(1) The requirements of section 7161(b) have been met.
(2) The provisions of sections 7164 through 7164.6, if applicable, have been met.
(d) All modifications and repairs to existing modifications shall be inspected and approved by the Fleet Administration Division of the Department of General Services. All modifications shall meet the standards specified in all of the following which are incorporated by reference herein:
(1) “Requirements for Adaptive Driving Equipment” prepared by the Department and the Department of General Services, 1989 Revision.
(2) Standards of the Society of Automotive Engineers, Inc. (SAE), sections J258, dated June, 1971, J514, dated April, 1980, J516, dated June, 1987, J517, dated March, 1988, J518, dated December 1987, J537, dated June, 1986, J538, dated August, 1983, J541, dated July, 1983, J553, dated June, 1988, J575, dated July, 1983, J858a, dated August, 1969, J928, dated June, 1980, and J1292, dated October, 1981.
(3) Veteran's Administration (VA) Standard Design and Test Criteria for Safety and Quality of Automatic Wheelchair Lift Systems for Passenger Motor Vehicles, dated May 17, 1978.
(4) VA Program Guide, Prosthetic and Sensory Aids Services, Add-on Automotive Adaptive Equipment for Passenger Automobiles, dated March 31, 1978.
(5) Title 49 CFR sections 571.3, 571.101, 571.105, 571.107, 571.124, 571.201, 571.203, 571.207 through 571.210 and 571.302, October 1, 1988 edition.
NOTE

Authority cited: Sections 19006 and 19016, Welfare and Institutions Code. Reference: Section 19150(a)(11), Welfare and Institutions Code; 34 CFR Sections 361.42 and 361.47.
HISTORY

1. Amendment filed 3-2-82; effective thirtieth day thereafter (Register 82, No. 10).
2. Repealer of former section 7165 and new section and heading filed 7-18- 91; operative 8-17-91 (Register 91, No. 45).
§7166. Vehicle Maintenance. [Repealed]
History

HISTORY

1. Amendment of subsection (b) filed 3-2-82; effective thirtieth day thereafter (Register 82, No. 10).
2. Repealer filed 7-18-91; operative 8-17-91 (Register 91, No. 45).
§7167. Maintenance. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 19006 and 19016, Welfare and Institutions Code. Reference: Sections 19018 and 19150, Welfare and Institutions Code; 34 CFR Sections 361.42 and 361.47.
HISTORY

1. Amendment of subsection (d) filed 3-2-82; effective thirtieth day thereafter (Register 82, No. 10).
2. New subsections (e)-(i) and amendment of Note filed 3-25-91; operative 4-24-91 (Register 91, No. 15).
3. Change without regulatory effect amending subsection (e)(1) filed 2-16-93; operative 2-16-93 pursuant to title 1, section 100, California Code of Regulations (Register 93, No. 8).
4. Repealer filed 3-4-2004; operative 4-3-2004 (Register 2004, No. 10).
Article 6. Personal Services
§7168. Interpreters.
Note     •     History

Interpreters for deaf or non-English-speaking applicants or clients shall be provided when necessary to provide vocational rehabilitation services.
NOTE

Authority cited: Sections 19006 and 19016, Welfare and Institutions Code. Reference: 34 CFR 361.42.
HISTORY

1. Amendment filed 3-2-82; effective thirtieth day thereafter (Register 82, No. 10).
2. New Article 6 heading filed 6-21-90; operative 7-21-90 (Register 90, No. 35).
§7169. Readers, Notetaker Services, Attendants and Drivers.
Note     •     History

(a) The following services shall be provided when necessary to provide vocational rehabilitation services:
(1) Readers for blind or other severely disabled applicants or clients.
(2) Notetaker services for deaf or other severely disabled applicants or clients.
(3) Attendants and/or drivers for severely disabled applicants or clients.
(b) Prior to provision of any of the services specified in (a), the Counselor shall determine whether either of the following conditions exist:
(1) The applicant or client has a family member or other closely associated person who is able to provide the service without pay and who volunteers to do so. In this case the Department shall not provide the service.
(2) The applicant or client is eligible for similar benefits in accordance with sections 7196 through 7198. If eligibility exists, the Counselor shall follow the procedures specified in those regulations.
(c) When a family member or other closely associated person is able to provide the service but refuses to do so without pay, the approval of the District Administrator shall be obtained prior to authorizing such individual to provide the service. The District Administrator's approval shall be based upon verification that:
(1) The applicant or client meets the qualifications specified in (a) for receipt of the specific services.
(2) The conditions specified in (b)(2) have been met.
(3) No provider, other than a family member or other closely associated person, is available to provide the necessary service(s).
NOTE

Authority cited: Sections 19006 and 19016, Welfare and Institutions Code. Reference: Section 19150, Welfare and Institutions Code; and 34 CFR Sections 361.42 and 361.47.
HISTORY

1. Amendment filed 3-2-82; effective thirtieth day thereafter (Register 82, No. 10).
2. Amendment of subsection (a) and NOTE and new subsections (b) and (c) filed 3-25-91; operative 4-24-91 (Register 91, No. 15).
3. Editorial correction inserting space in HISTORY 2. (Register 91, No. 30).
4. Amendment of subsections (b) and (b)(2) filed 1-2-92; operative 3-2-92 (Register 92, No. 18).
§7170. Tutorial Services.
Note     •     History

(a) The following tutorial services shall be provided when necessary for the successful outcome of the IWRP:
(1) Academic or vocational skills tutorial services as a supplement to training services specified in Sections 7154 through 7158.
(2) Other tutorial services, including but not limited to, assistance in learning a skill essential to achieving independence or suitable employment, such as assistance in learning to use public transportation.
(b) Prior to the provision of any tutorial services, the Counselor shall determine whether the applicant or client is eligible for similar benefits in accordance with Sections 7196 through 7198, including services available through institutions for higher education. If eligibility exists, the Counselor shall follow the procedures specified in those regulations.
(c) Whenever possible, tutorial services for the deaf or non-English speaking clients shall be purchased from a service provider who meets both the appropriate qualifications for tutors specified in Section 7301.5 and for interpreters specified in Section 7300. When such a provider is not available, the Department shall purchase tutorial services from a provider who meets the appropriate qualifications specified in Section 7301.5. Interpreter services under Section 7186 shall be purchased by the Department from a provider who meets the appropriate qualifications specified in Section 7300.
NOTE

Authority cited: Sections 19006 and 19016, Welfare and Institutions Code. Reference: Section 19150, Welfare and Institutions Code; 34 CFR Sections 361.42 and 361.47.
HISTORY

1. Amendment filed 3-2-82; effective thirtieth day thereafter (Register 82, No. 10).
2. Repealer filed 3-25-91; operative 4-24-91 (Register 91, No. 15).
3. New section filed 1-14-92; operative 2-13-92 (Register 92, No. 13).
4. Change without regulatory effect amending subsection (b) filed 2-16-93; operative 2-16-93 pursuant to title 1, section 100, California Code of Regulations (Register 93, No. 8).
§7171. Attendants and Drivers for the Severely Disabled. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 19006 and 19016, Welfare and Institutions Code. Reference: 34 CFR 361.42.
HISTORY

1. Amendment 3-2-82; effective thirtieth day thereafter (Register 82, No. 10).
2. Repealer filed 3-25-91; operative 4-24-91 (Register 91, No. 15).
Article 7. Technological Aids/Devices and Occupational Licenses/Tools/Equipment
§7172. Telecommunication, Sensory and Other Technological Aids and Devices.
Note     •     History

(a) Telecommunication, sensory and technological aids and/or devices may be provided when all of the following conditions exist:
(1) The client's disability warrants such aids or devices.
(2) There is no other method of accommodating the client's disability which is more efficient or less expensive.
(3) The aid or device is necessary to the client's vocational rehabilitation program.
(4) No medical contraindication exists.
(5) The client's disability is stable enough so that the client will benefit from the aid or device over a prolonged period of time.
(b) Any telecommunication, sensory or other technological aid or device provided to a client shall meet all established federal and state health, engineering and safety standards of general applicability that govern that type of aid or device.
(c) Prior to the provision of the aid or device the Counselor shall determine both of the following:
(1) Whether the client is eligible for similar benefits in accordance with Sections 7196 through 7198. If eligibility exists, the Counselor shall follow the procedures specified in those regulations.
(2) The ability of the client to financially participate in accordance with sections 7190 through 7193. If the client is able to financially participate, the procedures for payment specified in those regulations shall be followed.
NOTE

Authority cited: Sections 19006 and 19016, Welfare and Institutions Code. Reference: Sections 19018 and 19150, Welfare and Institutions Code; and 34 CFR Sections 361.42 and 361.47.
HISTORY

1. Amendment of NOTE filed 3-2-82; effective thirtieth day thereafter (Register 82, No. 10).
2. New article 7 heading filed 6-21-90; operative 7-21-90 (Register 90, No. 35).
3. Amendment of subsections (a) and (b) and NOTE and new subsection (c) filed 3-25-91; operative 4-24-91 (Register 91, No. 15).
4. Amendment of subsection (c)(1) filed 1-2-92; operative 3-2-92 (Register 92, No. 18).
§7173. Occupational Licenses, Tools and Equipment.
Note     •     History

(a) Occupational licenses, tools and equipment may be provided when necessary for the client to achieve suitable employment.
(b) Tools may be provided during a training program or to enable the client to become suitably employed. Such tools are limited to those that trainees and employees are normally required to provide or special tools that are necessary because of the client's disability.
(c) Equipment may be provided if it is required for participation in an occupation, or is necessary because of the client's disability.
NOTE

Authority cited: Sections 19006 and 19016, Welfare and Institutions Code. Reference: 34 CFR 361.42.
HISTORY

1. Amendment filed 3-2-82; effective thirtieth day thereafter (Register 82, No. 10).
2. Editorial correction of subsection (b) (Register 95, No. 43).
Article 8. Other Vocational Rehabilitation Services
§7174. Other Goods and Services--General Provisions.
Note     •     History

(a) Other goods and services may be provided to an eligible individual under an Individualized Plan for Employment (IPE) only if the goods and services are necessary for the individual to achieve the employment outcome specified in his or her IPE.
(b) Other goods and services include, but are not limited to:
(1) Short-term or emergency financial assistance to an individual, except that financial assistance shall not be provided to support an individual's everyday living expenses or take the place of, provide the services of, or become a payment program similar to, welfare and other social services agencies.
(2) Occasional or emergency purchases of haircuts, handbags, or toiletries for an individual.
(c) Before providing any vocational rehabilitation services to an individual as other goods and services, the Rehabilitation Counselor shall determine all of the following:
(1) Whether the goods and services to be provided are available from other sources as a comparable service and benefit, including, but not limited to, health or disability insurance, employee benefits, social security programs, welfare and social service programs, and other programs sponsored by federal, state, city, and county government agencies that serve individuals with disabilities.
(2) The extent of the individual's financial participation in the cost of goods and services to be provided.
(3) That other, more cost-effective, alternatives are not available.
NOTE

Authority cited: Sections 19006 and 19016, Welfare and Institutions Code. Reference: 29 USC 721(a)(8); 34 CFR Sections 361.5(b)(10), 361.13, 361.48, 361.53 and 361.54; and Sections 19018 and 19150, Welfare and Institutions Code.
HISTORY

1. Amendment filed 3-2-82; effective thirtieth day thereafter (Register 82, No. 10).
2. New article 8 heading filed 6-21-90; operative 7-21-90 (Register 90, No. 35).
3. Amendment filed 1-14-92; operative 2-13-921 (Register 92, No. 13).
4. Amendment of section heading, section and Note filed 12-26-2002 as an emergency; operative 12-26-2002 (Register 2002, No. 52). A Certificate of Compliance must be transmitted to OAL by 4-25-2003 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 12-26-2002 order transmitted to OAL 4-14-2003 and filed 5-20-2003 (Register 2003, No. 21).
6. Amendment of article heading filed 3-4-2004; operative 4-3-2004 (Register 2004, No. 10).
§7175. Services to Family Members.
Note     •     History

(a) Any vocational rehabilitation service may be provided to a member of a client's family if the service is necessary to support the client's vocational adjustment or vocational rehabilitation. 
(b) The services provided to a family member or members shall be based on an evaluation of the client's needs which includes: 
(1) Problems faced by the family in support of the client's rehabilitation; and 
(2) The probable substantial impact of services and increased opportunities for the client to use vocational rehabilitation services; and 
(3) A determination that without such services the client would be unable to achieve suitable employment.
(c) Prior to the provision of a service to family members the Counselor shall:
(1) Determine:
(A) Whether the family member for whom the service is planned is eligible for similar benefits in accordance with sections 7196 through 7198. If eligibility exists, the Counselor shall follow the procedures specified in those regulations.
(B) The ability of the client to financially participate in accordance with sections 7190  through 7193. If the client is able to financially participate, the procedures for payment specified in those regulations shall be followed.
(2) Obtain approval of the Rehabilitation Supervisor. The Rehabilitation Supervisor's decision shall be based upon such criteria as verification that:
(A) The condition in (a) and (b) exist.
(B) The requirements of (1) have been met.
NOTE

Authority cited: Sections 19006 and 19016, Welfare and Institutions Code. Reference: Sections 19018 and 19150, Welfare and Institutions Code; and 34 CFR Sections 361.42 and 361.47.
HISTORY

1. Repealer of section 7175 and renumbering of section 7176 to section 7175 filed 3-2-82; effective thirtieth day thereafter (Register 82, No. 10).
2. New subsection (c) and amendment of NOTE filed 3-25-91; operative 4-24-91 (Register 91, No. 15).
3. Amendment of subsection (c)(1)(A) filed 1-2-92; operative 3-2-92 (Register 92, No. 18).
§7176. Post-Employment Services.
Note     •     History

(a) The purpose of post-employment services is to maintain suitable employment and preserve the gains made through the client's vocational rehabilitation.
(b) If services have been planned for during an IWRP or specific services were not anticipated, but are required to maintain a client's employment and/or preserve the gains made during a client's vocational rehabilitation, then a program of post-employment services may be provided.
(c) To be eligible for post-employment services the request for such services shall be made within 12 months of the date the client's case was closed as rehabilitated. A request made later than 12 months shall be evaluated as a new application for services.
(d) An IWRP for post-employment services shall be completed prior to providing any services.
(e) Post-employment services shall be terminated when the client's suitable employment has been maintained or when a new evaluation of the client's situation is deemed necessary.
(f) For persons whose case has been closed with supported employment as the employment goal, the provision of post-employment services shall be limited to services that are both of the following:
(1) Not available through the extended services resource.
(2) Necessary to support and maintain an individual in employment.
NOTE

Authority cited: Sections 19006 and 19016, Welfare and Institutions Code. Reference: Section 19150(2), Welfare and Institutions Code and 34 CFR 361.42 and 363.4(c).
HISTORY

1. Renumbering of former section 7176 to section 7175 and renumbering of section 7177 to section 7176 filed 3-2-82; effective thirtieth day thereafter (Register 82, No. 10).
2. New subsections (f)-(f)(2) filed 3-16-93; operative 4-15-93 (Register 93, No. 12).
§7177. Maintenance.
Note     •     History

(a) The Department may provide maintenance, as defined in Section 7019 of these regulations, to an individual who: 
(1) Is participating in an assessment for determining eligibility and vocational rehabilitation needs or receiving vocational rehabilitation services under an Individualized Plan for Employment (IPE); and 
(2) Must incur additional expenses for items such as food, shelter, and clothing in excess of that individual's normal expenses in order to participate in the assessment or receive the service. 
(b) The Department may not provide maintenance to support an individual's basic living expenses. Short-term emergency financial assistance may be provided under limited conditions specified in Section 7174 of these regulations. 
(c) Before maintenance may be provided, the Rehabilitation Counselor must document all of the following in the record of services: 
(1) The availability and use of comparable services and benefits, as specified in Chapter 5, Article 3 of these regulations; 
(2) The extent of the individual's financial participation, if any, as specified in Chapter 5, Article 1 of these regulations; and 
(3) The amount of expense that must be incurred in excess of normal living expenses in order for the individual to participate in the assessment or receive the service described in (a)(1) of this section. 
(d) Maintenance payments to an individual are limited to actual expenses in excess of normal living expenses. 
(e) The District Administrator must approve the provision of maintenance to an individual who is not in an independent living situation (e.g., living at home with parents or with a family relative) when that maintenance exceeds $500 during any consecutive 12-month period. The District Administrator must verify that the requirements of this section are met before granting approval. 
(1) A 12-month period begins with the month in which the first allowable expense is incurred and ends after 12 months have elapsed. For example, if the expense was incurred in April, the 12 month period ends in the following April. If the next expense is not incurred until July, a new 12-month period begins in July. 
NOTE

Authority cited: Sections 19006 and 19016, Welfare and Institutions Code. Reference: 29 USC 723(a)(7); 34 CFR Sections 361.5(b)(35) and 361.48(g); and Sections 19011 and 19150(a)(8), Welfare and Institutions Code. 
HISTORY

1. New section filed 3-4-2004; operative 4-3-2004 (Register 2004, No. 10).
§7178. Ancillary Services for the Blind.
Note     •     History

(a) Ancillary Counselor-teacher services for the blind, including but not limited to those services specified in Section 19525, Welfare and Institutions Code, may be provided when necessary to the successful outcome of the client's vocational goal.
(b) When the Counselor-teacher is not the client's Vocational Rehabilitation Counselor, the Counselor-teacher shall coordinate his/her provision of services with the services provided by the Vocational Rehabilitation Counselor, including any services provided by the Orientation Center for the Blind.
NOTE

Authority cited: Sections 19006 and 19016, Welfare and Institutions Code. Reference: Sections 19150 and 19525, Welfare and Institutions Code.
HISTORY

1. New section filed 4-22-93; operative 5-24-93 (Register 93, No. 17).
Chapter 4. Standards for Closing the Record of Services
§7179. Closing the Record of Services Without an Eligibility Determination.
Note     •     History

(a) The Department may not close an applicant's record of services prior to making an eligibility determination unless: 
(1) The applicant declines to participate in, or is unavailable to complete, the assessment for determining eligibility and priority for services conducted pursuant to Section 7062 of these regulations, which includes any trial work experience or extended evaluation necessary to determine eligibility; and 
(2) The Department has made at least three attempts over a 30-day period to contact the applicant or, if appropriate, the applicant's representative to encourage the applicant's participation. The first attempt shall be made in writing to the last known address of the applicant or his or her representative. 
(b) For purposes of (a) of this section--
(1) An individual is considered to have declined to participate in the assessment to determine eligibility and priority for services when the individual chooses not to participate in vocational rehabilitation services; or when the individual prevents the completion of the assessment by failing to cooperate in such assessment or any part thereof, including repeated failure to keep appointments, maintain contact, or carry out the individual's responsibilities with respect to the assessment, making threats or engaging in violent conduct, or engaging in abusive language or behavior directed at a Department employee, vendor, or other applicant or eligible individual, when such language or behavior continues after notice is given that the language or behavior is inappropriate. 
(2) An individual is considered to be unavailable to complete the assessment to determine eligibility and priority for services when the individual cannot be located or contacted; the individual is unavailable to participate for an extended or indefinite period due to health problems or prolonged confinement in a hospital, nursing home, prison, jail, treatment center, or similar facility, or for another reason; or the individual is deceased. 
NOTE

Authority cited: Sections 19006 and 19016, Welfare and Institutions Code. Reference: 34 CFR Sections 361.44 and 361.47; and Section 19011, Welfare and Institutions Code. 
HISTORY

1. Amendment of chapter heading and new section filed 3-4-2004; operative 4-3-2004 (Register 2004, No. 10).
§7179.1. Closing the Record of Services with a Determination of Ineligibility.
Note     •     History

(a) The Department shall close the record of services when it determines that an applicant is ineligible for vocational rehabilitation services or determines that an eligible individual is no longer eligible for services, as specified in Section 7098 of these regulations. 
(b) The Department shall review any ineligibility determination based on a finding that the individual is incapable of achieving an employment outcome in accordance with Section 7181.1 of these regulations. 
(c) For purposes of (a) of this section, an individual is not eligible for services when any of the following conditions exists: 
(1) There is clear and convincing evidence, as defined in Section 7004.6 of these regulations, that the individual cannot benefit from vocational rehabilitation services in terms of an employment outcome due to the severity of the individual's disability. 
(2) The individual does not have a physical or mental impairment, as defined in Section 7021 of these regulations. 
(3) The individual's impairment does not constitute a substantial impediment to employment, as defined in Section 7027 of these regulations. 
(4) The individual does not require vocational rehabilitation services provided by the Department to prepare for, secure, retain, or regain an employment outcome consistent with the individual's strengths, resources, priorities, concerns, abilities, capabilities, interests, and informed choice, including circumstances in which the individual has obtained an employment outcome without benefit from Department services. 
NOTE

Authority cited: Sections 19006 and 19016, Welfare and Institutions Code. Reference: 29 USC Sections 705(20)(A) and 722(a); 34 CFR Sections 361.5(b)(28), 361.42, 361.43 and 361.47; and Sections 19011, 19103(b) and 19151, Welfare and Institutions Code. 
HISTORY

1. New section filed 3-4-2004; operative 4-3-2004 (Register 2004, No. 10).
2. Amendment of subsection (a) and amendment of Note filed 10-4-2011; operative 11-3-2011 (Register 2011, No. 40).
§7179.2. Closing the Record of Services with an Employment Outcome.
Note     •     History

(a) The record of services of an eligible individual who has achieved an employment outcome may be closed only if all of the following requirements are met. 
(1) The individual has achieved the employment outcome specified in his or her Individualized Plan for Employment (IPE), and the employment outcome is consistent with the individual's strengths, resources, priorities, concerns, abilities, capabilities, interests, and informed choice. 
(2) The individual has maintained the employment outcome for an appropriate period of time, but not less than 90 days, necessary to ensure the stability of the employment outcome, and the individual no longer needs vocational rehabilitation services. 
(3) At the end of the appropriate period specified in (a)(2) of this section, the individual and the Rehabilitation Counselor consider the employment outcome to be satisfactory and agree that the individual is performing well in the employment. 
(4) The individual is informed through appropriate modes of communication of the availability of post-employment services, as defined in Section 7021.5 of these regulations. 
NOTE

Authority cited: Sections 19006 and 19016, Welfare and Institutions Code. Reference: 34 CFR Sections 361.5(b)(16), 361.47 and 361.56; and Section 19011, Welfare and Institutions Code. 
HISTORY

1. New section filed 3-4-2004; operative 4-3-2004 (Register 2004, No. 10).
§7179.3. Closing the Record of Services for Other Reasons.
Note     •     History

(a) An eligible individual's record of services may be closed at any time if the Department determines that the individual-- 
(1) Chooses not to participate in, or continue participating in, the vocational rehabilitation program; 
(2) Cannot be located or contacted and, as a result, fails to participate; 
(3) Is unavailable to participate for an extended or indefinite period due to health problems or a prolonged confinement in a hospital, nursing home, prison, jail, treatment center, or similar facility, or for another reason; 
(4) Is deceased; 
(5) Requires services that are more appropriately obtained from sources other than the Department, including another State's vocational rehabilitation program; 
(6) Fails to cooperate at any point in the vocational rehabilitation program, including repeated failure to keep appointments, maintain regular contact with the Rehabilitation Counselor, or carry out other responsibilities associated with participation in the program specified in Section 7029.9 of these regulations; 
(7) Is unable to participate in the vocational rehabilitation program, or accept or maintain employment, because suitable transportation required for participation is not feasible or available; 
(8) Requires extended services for supported employment, and the extended services needed are not available; or 
(9) Has engaged in any criminal activity when applying for or receiving vocational rehabilitation services, including fraud or misrepresentation used to obtain services, collusion, or theft. 
NOTE

Authority cited: Sections 19006 and 19016, Welfare and Institutions Code. Reference: 29 USC 722(c)(7); 34 CFR Sections 361.13, 361.43, 361.44, 361.47 and 361.56; and Section 19011, Welfare and Institutions Code. 
HISTORY

1. New section filed 3-4-2004; operative 4-3-2004 (Register 2004, No. 10).
§7179.4. Self-Employment; Closure with an Employment Outcome.
Note     •     History

(a) For purposes of the closure requirements in Section 7179.2(a)(2) and (3) of these regulations, an eligible individual is considered to have achieved an employment outcome in a self-employment setting when:
(1) The individual has maintained employment in the self-employment setting specified in the Individualized Plan for Employment (IPE) for a sufficient period of three months to one year, for the individual and the Rehabilitation Counselor (RC) to determine that the employment in the self-employment setting is stable, and that the individual is earning at or above minimum wage but not less than the customary wage and benefit level received by individuals engaged in the same or similar self-employment; and
(2) The individual and the RC agree that the employment outcome in the self-employment setting is satisfactory, and the individual is performing well.
(b) At closure, any equipment purchased by the Department and loaned to the individual in connection with the IPE shall be returned to the Department or provided to the individual, as specified in Section 7194 of these regulations.
NOTE

Authority cited: Sections 19006 and 19016, Welfare and Institutions Code. Reference: 29 USC 705(11); 34 CFR 361.5(b)(15), 361.5(b)(16), 361.47 and 361.56; and Section 19011, Welfare and Institutions Code.
HISTORY

1. New section filed 2-28-2008; operative 3-29-2008 (Register 2008, No. 9).
§7179.5. Self-Employment; Closure Without an Employment Outcome.
Note     •     History

(a) The record of services for an eligible individual whose Individualized Plan for Employment (IPE) includes a self-employment setting shall be closed without an employment outcome when:
(1) It is determined that the self-employment setting is not appropriate, as specified in Section 7136.6 of these regulations; or that the eligible individual is unable to maintain employment in the self-employment setting; or the individual has not met the criteria for a successful employment outcome specified in Section 7179.4 of these regulations within 12 months after beginning operation of the small business, whichever occurs earlier; and 
(2) The Rehabilitation Counselor (RC) has offered the individual an opportunity to discuss alternative employment settings and other vocational rehabilitation services that could be provided to assist the individual in obtaining employment in an alternative setting, and the individual declines such services or no such services are available.
(b) At closure, any equipment purchased by the Department and loaned to the individual in connection with the IPE shall be returned to the Department or provided to the individual, as specified in Section 7194 of these regulations.
NOTE

Authority cited: Sections 19006 and 19016, Welfare and Institutions Code. Reference: 29 USC Sections 705(11), 720(a)(3)(C), 721(a)(19), 722(b) and 722(d); 34 CFR Sections 361.5(b)(15), 361.5(b)(16), 361.45, 361.46, 361.47 and 361.52; and Section 19011, Welfare and Institutions Code.
HISTORY

1. New section filed 2-28-2008; operative 3-29-2008 (Register 2008, No. 9).
§7179.7. Supported Employment Program; Closing the Record of Services With an Employment Outcome.
Note     •     History

(a) In lieu of Section 7179.2, the record of services of an eligible individual in supported employment may be closed with an employment outcome after: 
(1) The individual has achieved the employment outcomes specified in his or her Individualized Plan for Employment and the employment outcome is consistent with the individual's strengths, resources, priorities, concerns, abilities, capabilities, interests and informed choice; 
(2) The individual has maintained the employment for a minimum of 60 days before transition to extended services, to ensure the stability of the employment outcome; 
(3) The individual and the Department consider the employment outcome to be satisfactory and agree that the individual is performing well in the employment; 
(4) Except for an individual in group placement, which has a percent of intervention of 100 percent, the percent of intervention is either: 
(A) No more than 20 percent for at least 60 days; or
(B) No more than 25 percent for at least 90 days; or 
(C) No more than 30 percent for at least 120 days; and 
(5) Funding has transitioned to a source of extended services; and 
(6) The individual has maintained the employment for an additional 60 days following transition to extended services. 
NOTE

Authority cited: Sections 19006 and 19016, Welfare and Institutions Code. Reference: Sections 19011, 19150(a)(2) and 19150(a)(5), Welfare and Institutions Code; 29 USC Sections 705(11), (13) and (35); and 34 CFR Sections 361.47, 363.1, 363.5, 363.6(c) and 363.55. 
HISTORY

1. New section filed 10-4-2011; operative 11-3-2011 (Register 2011, No. 40).
Chapter 4. Standards for Vocational Rehabilitation Case Closure
§7180. Purpose. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 19006 and 19016, Welfare and Institutions Code. Reference: 45 CFR, 1361.37 and 45 CFR, 1361.39, Section 101(a)(9)(c), Rehabilitation Act of 1973.
HISTORY

1. New article 10 (sections 7180-7186) filed 7-31-79; effective thirtieth day thereafter (Register 79, No. 31).
2. Renumbering and amendment of former article 10 (sections 7180-7186) to subchapter 4 (sections 7180-7186) filed 6-21-90; operative 7-21-90 (Register 90, No. 35).
3. Repealer filed 3-25-91; operative 3-25-91 (Register 91, No. 15).
§7181. Closing the Record of Services -- Notification Requirements.
Note     •     History

(a) When an individual's record of services is closed, the Department shall provide written notice to that individual, or his or her representative, as appropriate, supplemented as necessary by other appropriate modes of communication consistent with the informed choice of the individual. When the reason for closure is inability to locate or contact the individual, the notice shall be sent to the last known address of the individual or his or her representative. 
(b) A written notice issued pursuant to (a) of this section shall include all of the following information: 
(1) The reason the record of services was closed and reference to the federal or state statute or regulation or federal policy directive issued by the U.S. Department of Education, Office of Special Education and Rehabilitative Services (OSERS), Rehabilitation Services Administration, that supports the closure. 
(2) A description of the means by which the individual may appeal the Department's decision to close the record of services, including administrative review, mediation, and fair hearing processes specified in Chapter 12, Articles 1, 1.5, and 2 of these regulations. 
(3) A description of services available from the Client Assistance Program and information on how to contact that program. 
NOTE

Authority cited: Sections 19006 and 19016, Welfare and Institutions Code. Reference: 29 USC 722(a)(5) and (c); 34 CFR Sections 361.43, 361.44, 361.47, 361.56 and 361.57; Sections 19005, 19011, 19012 and 19013.5, Welfare and Institutions Code; Section 7295.2, Government Code.
HISTORY

1. Repealer of subsection (a) and new subsection (a) filed 3-25-91; operative 4-25-91 (Register 91, No. 15).
2. Amendment of section heading, section and Note filed 3-4-2004; operative 4-3-2004 (Register 2004, No. 10).
§7181.1. Mandatory Reviews After the Record of Services Has Been Closed.
Note     •     History

The purpose of this section is to specify circumstances under which the Department must conduct reviews after a record of services has been closed. 
(a) If the Department determines that an applicant is ineligible for vocational rehabilitation services, or determines that an eligible individual, whether or not the individual is receiving services under an Individualized Plan for Employment (IPE), is no longer eligible for services, and the determination is based on a finding that the individual is incapable of achieving an employment outcome, the Department shall review the ineligibility determination within 12 months of the decision and annually thereafter, if such review is requested by the individual or, if appropriate, by the individual's representative. This review need not be conducted in situations in which the individual has refused it, the individual is no longer present in the State, the individual's whereabouts are unknown, or the individual's medical condition is rapidly progressive or terminal. 
(b) An annual review and re-evaluation meeting the requirements of (c) of this section shall be conducted for any individual served under the vocational rehabilitation program- 
(1) Who has achieved an employment outcome in an integrated setting in which the individual is compensated at less than minimum wage in accordance with Section 14(c) of the Fair Labor Standards Act (FLSA) (29 USC 214(c)); or 
(2) Whose record of services is closed while the individual is in extended employment on the basis that the individual is unable to achieve an employment outcome in an integrated setting consistent with Section 7011 of these regulations; or 
(3) Whose record of services is closed because the individual made an informed choice to remain in extended employment. 
(c) For each individual with a disability described in (b) of this section, the Department must-- 
(1) Annually review and re-evaluate the individual's status for two years after the individual's record of services is closed (and thereafter if requested by the individual or, if appropriate, the individual's representative) to determine the interests, priorities, and needs of the individual with respect to competitive employment or training for competitive employment as defined in Section 7006.3 of these regulations; 
(2) Enable the individual or, if appropriate, the individual's representative to provide input into the review and re-evaluation and document that input in the record of services as required by (d) of this section, with the individual's or, as appropriate, the individual's representative's signed acknowledgement that the review and re-evaluation have been conducted; and 
(3) Make maximum efforts, including identifying and providing vocational rehabilitation services, to assist the individual in engaging in competitive employment as defined in Section 7006.3 of these regulations. 
(d) Documentation of the results of mandatory reviews required by this section must be maintained in the individual's record of services pursuant to Section 7122(j) and (o) of these regulations. 
NOTE

Authority cited: Sections 19006 and 19016, Welfare and Institutions Code. Reference: 29 USC 722(a)(5); 34 CFR Sections 361.5(b)(11), 361.43, 361.47 and 361.55; and Section 19011, Welfare and Institutions Code. 
HISTORY

1. New section filed 3-4-2004; operative 4-3-2004 (Register 2004, No. 10).
2. Amendment of subsection (a) filed 10-4-2011; operative 11-3-2011 (Register 2011, No. 40).
§7182. Closing Cases from Applicant Status. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 19006 and 19016, Welfare and Institutions Code; and Section 35, Chapter 937, Statutes of 1993. Reference: Section 19103, Welfare and Institutions Code; and 29 U.S.C. 722(a)(4).
HISTORY

1. Amendment of subsection (a) filed 3-25-91; operative 4-25-91 (Register 91, No. 15).
2. Amendment of section and Note filed 6-6-94 as an emergency; operative 6-6-94 (Register 94, No. 23).  A Certificate of Compliance must be transmitted to OAL by 10-4-94 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 6-6-94 order transmitted to OAL 8-30-94 and filed 10-13-94 (Register 94, No. 41).
4. Editorial correction of subsection (a)(4) (Register 95, No. 11).
5. Repealer filed 3-4-2004; operative 4-3-2004 (Register 2004, No. 10).
§7183. Closing Cases from Extended Evaluation. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 19006 and 19016, Welfare and Institutions Code. Reference: Sections 19010 and 19100, Welfare and Institutions Code; 34 CFR, Sections 361.34, 361,35 and 361.40(d)(2).
HISTORY

1. Amendment filed 6-28-90; operative 7-28-90 (Register 90, No. 35).
2. Amendment of subsection (a) filed 3-25-91; operative 4-25-91 (Register 91, No. 15).
3. Repealer filed 3-4-2004; operative 4-3-2004 (Register 2004, No. 10).
§7184. Closing Cases as Rehabilitated. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 19006 and 19016, Welfare and Institutions Code. Reference: Section 19010, Welfare and Institutions Code; 34 CFR Sections 361.35, 361.42, 361.43 and 363.3.
HISTORY

1. New subsection (b) filed 3-25-91; operative 4-25-91 (Register 91, No. 15).
2. Amendment of (a)(3)(A)-(a)(3)(A)3. and Note filed 3-16-93; operative 4-15-93 (Register 93, No. 12).
3. Repealer filed 3-4-2004; operative 4-3-2004 (Register 2004, No. 10).
§7185. Closing Cases as Non-Rehabilitated. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 19006 and 19016, Welfare and Institutions Code. Reference: Section 19010, Welfare and Institutions Code; 34 CFR Sections 361.35 and 361.40(d)(2). 
HISTORY

1. Amendment filed 3-25-91; operative 4-25-91 (Register 91, No. 15).
2. Editorial correction of History 1 (Register 95, No. 11).
3. Repealer filed 3-4-2004; operative 4-3-2004 (Register 2004, No. 10).
§7185.5. Closing Cases--Other Reasons. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 19006 and 19016, Welfare and Institutions Code. Reference: Section 19010, Welfare and Institutions Code; 34 CFR Section 361.35.
HISTORY

1. New section filed 3-25-91; operative 4-25-91 (Register 91, No. 15).
2. Editorial correction of subsection (a)(7) (Register 95, No. 11).
3. Repealer filed 3-4-2004; operative 4-3-2004 (Register 2004, No. 10).
§7185.7. Closing Cases of SSDI or SSI/SSP Recipients. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 19006 and 19016, Welfare and Institutions Code. Reference: Section 19010, Welfare and Institutions Code.
HISTORY

1. New section filed 1-14-92; operative 2-13-92 (Register 92, No. 13).
2. Repealer filed 3-4-2004; operative 4-3-2004 (Register 2004, No. 10).
§7186. Review of Closures. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 19006 and 19016, Welfare and Institutions Code. Reference: Section 19010, Welfare and Institutions Code; 34 CFR Sections 361.34, 361.35 and 361.40(c)(2).
HISTORY

1. Amendment of subsection (a) and new subsection (d) filed 3-25-91; operative 4-25-91 (Register 91, No. 15).
2. Editorial correction adding inadvertently omitted subsection (a)(1) (Register 95, No. 11).
3. Repealer filed 3-4-2004; operative 4-3-2004 (Register 2004, No. 10).
Chapter 5. Client Financial Participation; Loaned Property; Similar Benefits
Article 1. Client Financial Participation
§7190. Client Financial Participation--General.
Note     •     History

(a) Clients shall financially participate to the extent required by this article in the cost of vocational rehabilitation services. 
(b) The Department shall deny authorization of a specific service(s) to any client when it has been determined pursuant to this article that client financial participation is required and the client refuses or fails to do so. The Counselor shall record in the case record the reason for denying authorization of the service(s). Other services may continue to be authorized if the IWRP remains viable without the provision of the service(s) that was denied. 
(c) For the purposes of this article, the following definitions shall apply:
(1) “Client income” means all money, before deductions except for a deduction equal to the amount paid for any court ordered child or spousal support payments, received by any of the persons specified in (A) through (D) during a calendar month. “Client income” does not mean financial assistance defined as a similar benefit in accordance with Sections 7026 and 7197.
(A) The client.
(B) The client's spouse, providing the client and spouse reside together.
(C) The parent(s) of a client under the age of 18 years with whom the client resides.
(D) The parent(s) of a client of any age who claim the client as a dependent for federal or state income tax reporting purposes, unless the only monies made available to the client are court ordered child support payments. In this case, only the monies received by the client are considered.
(2) “Household member” means only the following persons:
(A) If the client is 18 years of age or older, except as specified in (C):
1. The client.
2. The client's spouse, providing the client and spouse reside together.
3. The client's minor children under the age of 18 years residing with the client.
4. Any other person the client claims as a dependent for federal or state income tax reporting purposes.
(B) If the client is a minor under the age of 18 years:
1. The client.
2. The client's parent(s) and minor sibling(s) under the age of 18 residing with the client.
3. Any other person the client's parent(s) claims as a dependent for state or federal income tax reporting purposes.
(C) If the client is 18 years of age or older and is claimed by his/her parent(s) as a dependent for state or federal income tax reporting purposes:
1. The client.
2. The following persons, unless the only monies made available to the client by the parent(s) are court ordered child support payments:
a. The client's parent(s).
b. Any other person the parent(s) claims as a dependent for state or federal income tax reporting purposes.
(3) “Liquid assets” means cash, savings, checking accounts less any current month's income which has been deposited, or similar accounts, credit union funds, stocks, and negotiable bonds owned by any of the persons specified in (1)(A) through (D).
(4) “Medical exemption” means the monthly medical expenses that are necessary for a client to function independently including, but not limited to, medication, treatment, equipment, assistive devices, and special diet. “Medical exemption” also means the costs for extraordinary medical care incurred by other household members, providing the costs are not subject to payment by a third party, such as insurance, Medicare or Medical. It does not mean the cost of routine medical and dental care, or insurance premiums.
(5) “Routine medical and dental care” means care which would be received by a person without a substantial handicap, such as periodic check ups, treatment for influenza or a virus, or the filling of dental caries.
(6) “Surplus income” means the client's monthly income which exceeds the appropriate amount specified in section 7192. 
(7) “Surplus liquid assets” means liquid assets which exceed $2,000.00 in value plus $750.00 additional value for each of the client's household members.
NOTE

Authority cited: Sections 19006 and 19016, Welfare and Institutions Code. Reference: 34 CFR Section 361.47(b); and Section 19018, Welfare and Institutions Code.
HISTORY

1. New article 11 (sections 7190-7194) filed 9-4-79 as an emergency; effective upon filing (Register 79, No. 36). A Certificate of Compliance must be filed within 120 days or emergency language will be repealed on 1-2-80.
2. Certificate of Compliance filed 12-14-79 (Register 79, No. 50). 
3. Repealer of article 11 (sections 7190-7194) and new article 11 (sections 7190-7194) filed 12-14-79; effective thirtieth day thereafter (Register 79, No. 50).
4. Renumbering of former article 11 (sections 7190-7194) to subchapter 5 (sections 7190-7194) filed 6-21-90; operative 7-21-90 (Register 90, No. 35). 
5. Amendment filed 12-28-90; operative 1-27-91 (Register 91, No. 7).
6. Amendment of chapter heading, article heading and subsection (c)(1) filed 1-2-92; operative 3-2-92 (Register 92, No. 18).
§7191. Exemptions from Client Financial Participation.
Note     •     History

(a) A client shall be exempt from client financial participation in the cost of any vocational rehabilitation services if the client is a recipient of any of the following: 
(1) SSDI.
(2) SSI/SSP.
(3) Public Assistance, including General Relief, General Assistance, or Aid to Families with Dependent Children. 
(b) Clients who are not exempt in accordance with (a) shall complete a Statement of Financial Status form DR 233, part I, Rev. 1/90. In the case of a client whose parent meets the definition of “household member” in section 7190(c)(2), the form shall be completed by the client's parent, unless the parent refuses to do so. When the parent refuses, the client may complete the form; however, the parent's income and liquid assets shall continue to be considered. The client shall:
(1) State his/her name and Social Security number, the source and amount of his/her liquid assets and the type and amount of medical expenses which qualify for the medical exemption.
(2) Sign a certification that the income, liquid assets, number of household members and medical expenses used by the Counselor in the financial participation computation are correct to the best of his/her knowledge.
(3) Acknowledge that he/she understands that any changes in income, household composition and medical expenses, as well as changes of $100 or more in liquid assets, must be reported to the Department and that such changes may result in a change to the amount of the client financial participation obligation.
(c) The following vocational rehabilitation services shall be exempt from the client financial participation requirement and under no circumstances shall any client be asked to participate in the cost of these services:
(1) Evaluation of rehabilitation potential including diagnostic services and related services.
(2) Counseling and guidance, and referral services.
(3) Placement.
(4) Training, tutoring, books, and other training materials.
(5) Tools necessary for performance of an occupation.
(6) Personal services including attendant care, deaf and language interpreter, notetaker, driver, and reader services. 
(7) Transportation costs up to the rate charged by the most economical public transportation available, or reimbursement for the operation of a private motor vehicle on a per mile basis at a rate established by the Department.
(8) Job Coaching Services.
NOTE

Authority cited: Sections 19006 and 19016, Welfare and Institutions Code. Reference: 34 CFR 361.47(a); and Section 19018, Welfare and Institutions Code.
HISTORY

1. Amendment filed 3-2-82; effective thirtieth day thereafter (Register 82, No. 10).
2. Amendment filed 12-28-90; operative 1-27-91 (Register 91, No. 7).
3. Editorial correction of subsection (c) (Register 91, No. 19).
4. Amendment of subsection (c) and new subsection (c)(8) filed 3-16-93; operative 4-15-93 (Register 93, No. 12).
§7192. Computation of Client Financial Participation.
Note     •     History

(a) Client financial participation in the cost of vocational rehabilitation services shall be determined in accordance with the provisions of this section.
(b) The client financial participation shall cover a one month period and be determined as follows:
(1) Subtract the appropriate monthly income exemption, based on the number of household members, specified in (c) from the client's total monthly income. This is the client's surplus income. If the remainder is less than zero, the client has zero surplus income.
(2) Subtract $2,000.00 plus $750.00 for each of the client's household members from the client's total liquid assets. These are the client's surplus liquid assets. If the remainder is less than zero, the client has zero surplus liquid assets.
(3) Combine the client's surplus income from (1) and surplus liquid assets from (2).
(4) Subtract the client's total medical exemptions from the amount determined in (3). The remainder, if any, is the amount of the monthly client financial participation which the client shall be required to contribute toward the cost of vocational rehabilitation services not exempt pursuant to section 7191(c).
(c) The client and his/her household members shall be allowed a monthly income exemption of the following amount:

	
Size of Household (including client)	 Monthly Income Exemption

	1 person	  $1,344.00
	2 persons	  $1,502.00
	3 persons	  $1,660.00
	4 persons	  $1,818.00
	5 persons	  $1,976.00
	6 persons	  $2,134.00
	7 persons	  $2,292.00
	8 persons	  $2,450.00
	9 persons	  $2,608.00
	10 persons	 $2,766.00
	more than 10 persons	  add $158 for each additional person

(d) Client financial participation shall be recomputed anytime a change in monthly income, liquid assets, number of household members or medical expenses is reported.
(e) The amounts specified in (c) shall be adjusted to reflect changes in the California median income level for a household consisting of one individual as most recently calculated by the State Department of Finance. An additional $158 shall be added for each household member other than the client.
NOTE

Authority cited: Sections 19006 and 19016, Welfare and Institutions Code. Reference: Section 19018, Welfare and Institutions Code; and 34 CFR Section 361.47(a).
HISTORY

1. Repealer of former section 7192 and renumbering and amendment of former section 7193(a) to section 7192 filed 12-1-90; operative 1-27-91 (Register 91, No. 7). For prior history see Register 79, No. 50.
2. Editorial correction of subsection (e) (Register 91, No. 19).
§7193. Client Financial Participation--Payment
Note     •     History

(a) The client shall directly purchase a service that is subject to client financial participation when both of the following conditions exist:
(1) The amount of the monthly client financial participation computed pursuant to section 7192(b) equals or exceeds the cost of the service to the client.
(2) The client has not yet fulfilled his/her financial participation obligation for the month.
(b) The client shall pay the amount of the monthly client financial participation to the Department in cash, money order or cashier's check prior to receipt of the service when all of the following conditions exist:
(1) The client requires a service that is subject to financial participation.
(2) The amount of the monthly client financial participation is less than the cost of the service to the client.
(3) The client has not yet fulfilled his/her financial participation obligation for the month.
(c) For ongoing services that are subject to client financial participation, such as speech therapy or short term psychotherapy, the client shall fulfill his/her financial participation obligation in accordance with (a) or (b) each month prior to the authorization of the services by the Department.
(d) The client shall not be required to contribute toward the costs of equipment or other items loaned to him/her by the Department unless, and until such time as, the title and/or legal ownership is transferred to the client in accordance with section 7194.
(e) A client who must pay the amount of his/her monthly financial participation to the Department in accordance with (b) shall sign an agreement to pay the Department prior to authorization of the service(s). The agreement shall specify the service(s) toward which the payment will be applied.
NOTE

Authority cited: Sections 19006 and 19016, Welfare and Institutions Code. Reference: Section 19018, Welfare and Institutions Code; and 34 CFR 361.47(a).
HISTORY

1. Renumbering and amendment of former section 7193(a) to section 7192 and amendment of remaining section 7193 filed 12-28-90; operative 1-27-91 (Register 91, No. 7).
2. Editorial correction of subsection (a) (Register 91, No. 19).
3. Editorial correction of HISTORY 1. (Register 91, No. 30).
Article 2. Loaned Property
§7194. Department-Loaned Property.
Note     •     History

(a) The Department may loan equipment or other items, except items specified in (b), to a client while he/she is participating in an IWRP. The Department shall retain title to the property until one of the following occurs:
(1) The client is successfully rehabilitated. When this occurs the counselor shall determine if the property is essential to the client's employment. Upon a determination by the counselor that the property is:
(A) Essential to the client's employment, the ownership shall be transferred to the client if the client either;
1. Has no financial participation obligation, or
2. Pays the outstanding balance of his/her financial obligation, if any, to the Department.
(B) Not essential to the client's employment, the property may be purchased by the client at a fair market value, as defined in (c). If the client does not purchase the property, it shall be returned to the Department.
(2) The client's IWRP is interrupted and the case is closed as not rehabilitated or the case is inactivated. When this occurs, the property shall be returned to the Department unless the client purchases it at fair market value, as defined in (c).
(b) Ownership of the following items shall be transferred to the client immediately upon receipt by the client providing he/she has no client financial participation obligation or he/she pays the outstanding balance of the financial participation obligation to the Department. The client has no legal right to the property until the client financial participation obligation is paid.
(1) Prosthetic, orthotic and other assistive devices include, but not limited to, wheelchairs, hearing aids and glasses.
(2) Customized equipment that has been modified to meet the individual client's needs, excluding modifications to state-owned vehicles to which the Department holds title.
(c) Fair market value shall be determined by the counselor contacting a party qualified to appraise the specific item of property, such as the party from whom the item was originally purchased. Factors to be considered shall include the age and current condition of the item.
NOTE

Authority cited: Sections 19006 and 19016, Welfare and Institutions Code. Reference: 34 CFR 361.47(a); and Sections 19018 and 19150, Welfare and Institutions Code.
HISTORY

1. Renumbering and amendment of former section 7194(b) to section 7195 and amendment of remaining section 7194 filed 12-28-90; operative 1-27-91 (Register 91, No. 7).
2. Editorial correction of HISTORY 1. (Register 91, No. 30).
3. New article heading filed 1-2-92; operative 3-2-92 (Register 92, No. 18).
§7195. Improper Disposal of or Failure to Return Loaned Property.
Note     •     History

(a) The Department shall take appropriate administrative and/or legal action to receive payment or recover any Departmental equipment, vehicles, or other items loaned to the client if they are improperly disposed of or the client, upon receiving a verbal or written request from the Department, fails to return them. Such actions may include, but are not limited to:
(1) Informal attempts by the Counselor to recover the property.
(2) Obtaining reimbursement for the item's fair market value as determined in accordance with section 1794(c).
(3) Commencing an investigation under the authority of section 11180, Government Code.
(4) In the case of pawned property, both of the following:
(A) Informing the pawnbroker that California Commercial Code sections 1201(9) and 2403 specifically exempt pawnbrokers from ownership rights afforded the buyer in the purchase of goods sold in violation of the ownership rights or security interest of a third party.
(B) Demanding the property's return.
(5) Notifying local law enforcement.
(6) Initiating proceedings in small claims court.
NOTE

Authority cited: Sections 19006 and 19016, Welfare and Institutions Code. Reference: Sections 19018 and 19150, Welfare and Institutions Code; and 34 CFR Section 361.47(a).
HISTORY

1. Renumbering and amendment of former section 7194(b) to section 7195 filed 12-28-90; operative 1-27-91 (Register 91, No. 7).
2. New article heading filed 1-2-92; operative 3-2-92 (Register 92, No. 18).
3. Change without regulatory effect relocating article heading to section 7196 filed 8-17-92 pursuant to title 1, section 100, California Code of Regulations (Register 92, No. 34).
Article 3. Similar Benefits or Comparable Services and Benefits
§7196. General Requirements.
Note     •     History

(a) Clients eligible for similar benefits shall apply for and fully utilize those similar benefits to the extent required by these regulations.
(b) The utilization of similar benefits shall not apply to the following services, including when those services are received as post-employment services:
(1) Evaluation of rehabilitation potential.
(2) Counseling, guidance and referral.
(3) Vocational and other training services including, personal and vocational adjustment training, books, tools and other training materials provided by a resource other than an institution of higher education.
(4) Placement.
(5) Rehabilitation engineering services.
(6) Job Coaching Services.
(c) Unless the conditions specified in Section 7198 exist, the completion of a similar benefit review shall be required prior to the authorization of any service not specified in (b). Upon a determination by the Counselor that a similar benefit is available, the Counselor shall advise the client that he/she is required to apply for and use such benefit. If the client refuses to apply for or use the similar benefit, the Counselor shall:
(1) Deny provision of the service(s) for which the similar benefit is available.
(2) Continue the provision of other services for which there is no similar benefit, providing the IWRP remains viable and will most likely succeed without the provision of the service(s) that was denied.
(d) When a client:
(1) Is denied eligibility to a similar benefit, the Counselor shall:
(A) Verify the ineligibility through telephone contacts with the appropriate agency representatives or by viewing a copy of the denial notice.
(B) Document the verification in the case record.
(C) Authorize the service.
(2) Has a similar benefit reduced or terminated, the Counselor shall:
(A) Verify the reduction or termination by one of the methods specified in (1)(A).
(B) Document the verification in the case record.
(C) Assess the circumstances with the client and take one of the following actions, as appropriate:
1. Authorize a supplement to the reduced benefit.
2. Authorize the service that has been terminated by the other source.
3. Amend the IWRP in accordance with the provisions in Chapter 2, Article 5 (commencing with Section 7130).
NOTE

Authority cited: Sections 19006 and 19016, Welfare and Institutions Code. Reference: Section 19150(b), Welfare and Institutions Code; and 34 CFR Section 361.47(b).
HISTORY

1. Combination, amendment and renumbering of former sections 7031, 7033 and 7034 to section 7196 filed 1-2-92; operative 3-2-92 (Register 92, No. 18).
2. Change without regulatory effect relocating article heading from section 7195 filed 8-17-92 pursuant to title 1, section 100, California Code of Regulations (Register 92, No. 34).
3. New subsection (b)(6) filed 3-16-93; operative 4-15-93 (Register 93, No. 12).
§7197. Additional Requirements--Institutions of Higher Education.
Note     •     History

(a) For the purposes of this section, the following definitions shall apply:
(1) “Institution of higher education” means a university, college, community college, or private proprietary school which provides academic or vocational education and/or training above the California secondary school level.
(2) “Maximum effort” means a client's specific actions which are necessary to establish eligibility and secure any similar benefits necessary to vocational rehabilitation.
(b) The Department shall not authorize training or training services provided by an institution of higher education unless a maximum effort has been made by the client to secure grant assistance from other sources to pay in whole or in part the cost of such services. The Counselor shall assist the client as necessary in identifying and applying for any grant assistance for which the client may be eligible.
(c) The amount of services, if any, to be authorized by the Department for educational purposes shall be determined by subtracting the total amount of the client's educational grants and/or awards as reported by the financial aid office from the costs of the client's tuition, books and supplies, maintenance and transportation. The remainder is the amount of services to be authorized by the Department.
NOTE

Authority cited: Sections 19006 and 19016, Welfare and Institutions Code. Reference: Section 19150, Welfare and Institutions Code; and 34 CFR 361.42(a)(4) and 361.47(b).
HISTORY

1. New section filed 4-4-80; effective thirtieth day thereafter (Register 80, No. 14).
2. Amendment filed 2-10-83; designated effective 2-20-83 pursuant to Government Code section 11346.2(d) (Register 83, No. 7).
3. Renumbering and amendment of former section 7032 to section 7197 filed 1-2-92; operative 3-2-92 (Register 92, No. 18).
§7198. Extreme Medical Risk.
Note     •     History

(a) The determination of availability of similar benefits under any other program shall not apply if the determination would delay the provision of vocational rehabilitation services to any client who is at extreme medical risk.
(b) A determination of extreme medical risk shall be based upon medical evidence provided by a licensed physician and verified by the District Medical Consultant. For purposes of this section “extreme medical risk” means a risk of substantially increasing functional impairment or risk of death if medical services are not provided expeditiously.
(c) Nothing in this section shall be construed to mean that the Department shall either:
(1) Be required to provide services to persons who no longer meet the conditions of eligibility specified in Section 7062.
(2) Become a primary health care payment program or take the place of other primary health care payment programs, such as the Medi-Cal program.
NOTE

Authority cited: Sections 19006 and 19016, Welfare and Institutions Code. Reference: Section 19150(b), Welfare and Institutions Code; and 34 CFR Sections 361.1 and 361.47(b).
HISTORY

1. New section filed 1-2-92; operative 3-2-92 (Register 92, No. 18).
Chapter 6. Business Enterprises Program for the Blind
Article 1. General Provisions
§7210. General Provisions.
Note     •     History

(a) The regulations in this chapter govern the operation of the Business Enterprises Program for the Blind, hereafter BEP, which is a program established pursuant to the Randolph-Sheppard Act (20 USC section 107 et seq.) and state law (Welfare and Institutions Code section 19625 et seq.), that is promoted by the Department of Rehabilitation, hereafter Department, to provide blind persons with remunerative employment. The Department administers and operates the BEP and, as the state licensing agency, issues licenses for the operation of vending facilities on federal, state, and other property in California to individuals who meet the requirements for participation in the BEP specified in Section 7212(a) of these regulations, and who have successfully completed the Vendor Training Program provided for in Section 7212.1 of these regulations. 
(b) The Director of the Department shall do all of the following:
(1) Provide all licensees and vendors with a copy of all rules and regulations adopted by the Department that pertain to the BEP. These rules and regulations shall be provided to the licensee or vendor in the licensee's or vendor's preferred mode of communication, to the extent possible. Such modes of communication may include providing rules and regulations in large print, Braille, on audiotape, 3.5” diskette, or compact disk. The Department shall transmit copies of the rules and regulations electronically, upon request.
(2) Notify all licensees and vendors of any proposed changes to the rules and regulations that pertain to the BEP at least 45 days before any proposed action by the Department.
(3) Review regulations adopted by the Department that pertain to the BEP for possible revision at least every three years.
NOTE

Authority cited: 20 USC Section 107b(5); 34 CFR Section 395.4; and Sections 19006, 19016 and 19639, Welfare and Institutions Code. Reference: 20 USC Sections 107 and 107a(a)(5), (b) and (e); 34 CFR Sections 361.5(b)(5), 395.2, 395.3(a)(11)(vi), 395.5 and 395.7; and Sections 19011, 19013.5(b), 19625 and 19639, Welfare and Institutions Code.
HISTORY

1. Redesignation of title 22, division 1.8, chapter 1, subchapter 5, article 12 (sections 7210-7216) as title 9, chapter 3, subchapter 5, article 12 (sections 7210-7216). For prior history see Registers 77, No. 17; and 77, No. 42 (Register 78, No. 41).
2. Editorial correction to subsections (a) and (b) (Register 78, No. 41).
3. Repealer of article 12 (sections 7210-7216) and new article 12 (sections 7210-7227) filed 12-14-79; effective thirtieth day thereafter (Register 79, No. 50).
4. Renumbering of former article 12 (sections 7210-7227) to chapter 6 (sections 7210-7227) filed 6-21-90; operative 7-21-90 (Register 90, No. 35).
5. New article 1 heading, amendment of subsection (a), new subsections (a)(1)-(3), repealer of subsections (b) and (c) and amendment of Note filed 2-4-93; operative 3-8-93 (Register 93, No. 6).
6. Amendment of chapter heading, repealer and new section and amendment of Note filed 6-26-2009; operative upon approval of the Secretary of the United States Department of Education in accordance with title 34 of the Code of Federal Regulations section 395.4(a) (Register 2009, No. 26).
7. Approved by the Secretary of the United States Department of Education in accordance with section 395.4(a) of title 34 of the Code of Federal Regulations on 6-2-2010; operative 9-15-2010 pursuant to section 7210(b)(2) of title 9 of the California Code of Regulations (Register 2010, No. 39).
Article 2. Definitions and Terms.
§7211. Definitions and Terms.
Note     •     History

(a) For the purposes of this chapter, the following definitions and terms shall apply to the administration and operation of the Business Enterprises Program for the Blind, hereafter BEP:
(1) “Active Participation” means an ongoing process of consultation between the Department of Rehabilitation, hereafter Department, and the California Vendors Policy Committee, hereafter CVPC, in developing policies, standards, and procedures affecting the overall operation of the BEP vending facilities program, prior to implementation by the Department, in accordance with Welfare and Institutions Code section 19638(b)(1). 
(2) “Adequate Net Income” means, for purposes of Welfare and Institutions Code section 19631, minimum projected net income of $3,300 per month to place a licensee or vendor in a newly established or previously established vending facility or in a vending facility formed by combining or consolidating two or more sites. The Department shall annually review this minimum income level and make adjustments based upon the changes in the California Necessities Index. 
(3) “Applicant Review Panel” means a group of individuals, as specified in Section 7212(c) of these regulations, which determines a blind person's readiness to participate in the Vendor Training Program. 
(4) “Authorized Representative” means any person or entity designated by the licensee or vendor to act on his or her behalf during an administrative review or a full evidentiary hearing.
(5) “Blind Person,” as specified in Welfare and Institutions Code section 19153, means either a person who has not more than 20/200 central visual acuity in the better eye after correction, or a person who has visual acuity greater than 20/200 but with a limitation in the fields of vision such that the widest diameter of the visual field subtends an angle no greater than 20 degrees. Such blindness shall be certified by a licensed physician and surgeon who specializes in diseases of the eye or a licensed optometrist.
(6) “Business Enterprises Consultant” or “BEC” means the individual employed by the Department to provide technical assistance to licensees and vendors in the operation of vending facilities within an assigned geographic area of California.
(7) “Business Enterprises Program for the Blind” or “BEP” means the Department administered and operated program that licenses blind persons, as defined in subsection (a)(5) herein, to operate vending facilities, as defined in subsection (a)(54) herein, with a priority established by federal and state law to operate a vending facility on federal and state property in California. A blind person licensed by the BEP also may operate a vending facility on other property in California, whether owned or controlled privately or by any county, city, city and county, or other political subdivision.
(8) “Business Enterprises Program for the Blind Manager” or “BEP Manager” means the individual employed by the Department to oversee the administration of the BEP.
(9) “California Vendors Policy Committee” or “CVPC” means the biennially elected committee of licensed blind vendors who are fully representative of all licensed blind vendors in the BEP, as provided for in Welfare and Institutions Code section 19638.
(10) “Client-Trainee” means an individual who is eligible to participate in the BEP, in accordance with Section 7212(a) of these regulations, and who is enrolled in the Vendor Training Program provided for in Section 7212.1 of these regulations.
(11) “Combining or Consolidation of Vending Facilities” means the act by which the Department combines or consolidates two or more sites into a vending facility.
(12) “Contracting Agency” means the person, governing board, or legislative body that owns, leases, rents, or otherwise controls or occupies a federal, state, or other property, with the authority to sign a Permit, as defined in subsection (a)(35) herein, for the vending facility. 
(13) “Department” means the Department of Rehabilitation in this chapter, unless otherwise specified.
(14) “Deputy Director of the Division of Specialized Services for the Blind and Visually Impaired and the Deaf and Hard of Hearing” means the individual employed by the Department pursuant to Welfare and Institutions Code sections 19095 and 19095.5, who provides direct supervision to the Department's blind and visually impaired programs.
(15) “Direct Competition,” as defined herein, applies to federal properties only, and means the presence and operation of a vending machine or a vending facility on the same premises as a vending facility operated by a blind vendor, except that vending machines or vending facilities operated in areas serving employees the majority of whom normally do not have direct access (in terms of uninterrupted ease of approach and the amount of time required to patronize the vending facility) to the vending facility operated by a blind vendor shall not be considered to be in direct competition with the vending facility operated by a blind vendor.
(16) “Director” means the Director of the Department of Rehabilitation in this chapter, unless otherwise specified.
(17) “Disabled Employee” means an individual who has a physical or mental disability, as defined in Government Code section 12926(i) and (k), which has been certified by either a Rehabilitation Counselor or a licensed physician.
(18) “Election Coordinator” means any Department employee appointed by the Director, or an independent agent under contract with the Department, to conduct CVPC elections. If a Department employee is appointed for this purpose by the Director, he or she shall be part of a three-member panel. The remaining two members shall be vendors who are not nominees and are approved by the CVPC. If an outside agent is hired, there is no requirement for a three-member panel.
(19) “Equipment” means a machine, mechanical or electronic device, or appliance or fixture, that an individual operates or activates to perform a task, excluding “Assistive Technology Devices” as defined in Section 7002 of these regulations, and “Tools” as defined in Section 7028.4 of these regulations, consistent with the definition specified in Section 7013.2 of these regulations.
(20) “Executive Officers of the CVPC” means the Chairperson, the Vice-Chairperson, and the Secretary, who are elected by a majority vote of the CVPC to serve a specific term.
(21) “Facility Number” means a unique number assigned by the BEP to designate each vending facility. An individual vending facility number shall be issued for a vending facility, whether comprised of one site, or two or more sites that have been combined or consolidated, as provided for in subsection (a)(11) herein. 
(22) “Federal Property,” as defined in 20 USC section 107e(3) and 34 CFR section 395.1(g), means any building, land, or other real property owned, leased, or occupied by any department, agency, or instrumentality of the United States, including the Department of Defense and the United States Postal Service, or any other instrumentality wholly owned by the United States, or by any department or agency of the District of Columbia or any territory or possession of the United States.
(23) “Financial Averages” mean the BEP Profit and Loss Statewide Financial Averages for types of vending facilities defined in subsection (a)(54) herein, developed by the BEP annually using information derived from the DR 478, Vendor's Monthly Operating Report (Rev. 07/07), incorporated by reference herein, using the DR 478A, Vendor's Monthly Operating Report Instructions (Rev. 07/07), incorporated by reference herein, submitted by BEP vendors. 
(24) “Food Service Contract Vending Facility” [RESERVED]
(25) “Food Service Contractor” [RESERVED]
(26) “Hearing Officer” means an individual who is:
(A) Not a Department employee; and
(B) An impartial individual who is:
1. Hearing Officer;
2. Administrative Law Judge (ALJ) at the Office of Administrative Hearings (OAH); or
3. Any other individual under contract with the Department to conduct full evidentiary hearings who is experienced in the field of administrative law.
(27) “In-Service Training” means guidance, instruction, and direction designed to maintain and improve vendor skill levels necessary to operate a vending facility. In-Service training may be provided to an individual vendor in his or her vending facility upon request, or in a classroom setting. In-Service training is provided for in Section 7212.4 of these regulations.
(28) “Interim Facility Vendor List” means a list maintained by the Selection Coordinator that contains the names of licensees and vendors who have expressed an interest in operating an interim vending facility.
(29) “Interim Vending Facility” means a vending facility that is operated on a temporary basis by a vendor, not to exceed six months, except if renewed for a period of time specified in writing by the BEP Manager. 
(30) “License” means the DR 468, Vending Facility License (Rev. 07/07), incorporated by reference herein, issued by the Department, which authorizes a blind person, as defined in subsection (a)(5) herein, to operate a vending facility on federal, state, or other property defined in subsections (a)(22), (a)(44), and (a)(34) herein, respectively.
(31) “Licensee” means a person who is eligible to participate in the BEP, in accordance with Section 7212(a) of these regulations, who has been issued a DR 468, Vending Facility License (Rev. 07/07), incorporated by reference herein, by the BEP, but who is not currently operating a vending facility.
(32) “Manager” means any individual employed by a vendor to operate the vendor's vending facility during the vendor's absence. A manager is not required to be a licensee.
(33) “Net Proceeds” means the amount remaining from the sale of articles or services of vending facilities, and any vending machine or other income accruing to a vendor after deducting the cost of such sale and other expenses (excluding set-aside fees) for the monthly reporting period.
(34) “Other Property” means property owned or controlled privately or by any county, city, city and county, or other political subdivision.
(35) “Permit” means any agreement between the BEP and the contracting agency, as defined in subsection (a)(12) herein, which authorizes the establishment of a vending facility on property owned, leased, rented or otherwise controlled or occupied by the contracting agency. 
(36) “Primary Site” means the site designated by the BEP as the main site of a vending facility that is comprised of two or more sites that have been combined or consolidated into a vending facility. Such vending facility shall be comprised of a primary site and satellite site(s), as defined in subsection (a)(38) herein.
(37) “Probation” means the period of time in which a vendor has to correct deficiencies identified by the BEP.
(38) “Satellite Site” means the secondary site or sites of two or more sites that have been combined or consolidated into a vending facility, consistent with subsection (a)(11) herein.
(39) “Secretary” means the Secretary of the U.S. Department of Education.
(40) “Selection Committee for Vending Facilities” means a group of individuals, which is responsible for evaluating applicants and selecting a licensee or vendor to operate a vending facility. 
(41) “Selection Coordinator” means a BEP staff representative designated by the BEP Manager (with the exception of a Business Enterprises Consultant (BEC) or Supervising Business Enterprises Consultant (SBEC) assigned to a field office or otherwise involved in day-to-day contact with BEP vendors) who facilitates and coordinates all facets of the selection process by which a licensee or vendor is chosen to operate a vending facility, as defined in subsection (a)(54) herein. 
(42) “Set-Aside Fees” means those fees paid by vendors into the Set-Aside Fund established by the Department from the net proceeds generated by the vendor's operation of a vending facility. Pursuant to Welfare and Institutions Code section 19629, the Department shall provide that if any funds are set aside, or caused to be set aside, from the net proceeds of the operation of vending facilities, those funds shall be set aside, only to the extent necessary, but not to exceed the amount equal to 6 percent of gross sales of a vending facility, and may be used only for the purposes identified in Welfare and Institutions Code section 19629(a).
(43) “Site” means an area that meets the requirements for a satisfactory site, as defined in 34 CFR section 395.1(q), and the requirements for a feasible site, consistent with Welfare and Institutions Code section 19627(a)(2). A vending facility may be located on one site or, when two or more sites are combined or consolidated into a vending facility, on two or more sites. 
(44) “State Property” means all real property, or part thereof, owned, leased, rented, or otherwise controlled or occupied by any department or other agency or body of this state.
(45) “Supervising Business Enterprises Consultant” or “SBEC” means the individual employed by the Department to provide direct supervision to one or more Business Enterprises Consultants (BECs) within an assigned geographic area of California.
(46) “Suspension of a Vendor's License” means that the license, which authorizes the vendor to operate a vending facility, has been made inactive for a specific period of time.
(47) “Suspension of a Vendor's Operating Agreement” means that the vendor's operating agreement, as defined in (a)(60) herein, has been made inactive for a specific period of time. 
(48) “Teaming Contractor” [RESERVED]
(49) “Termination of a Licensee's or Vendor's License” means that the license, which authorizes a licensee or vendor to operate a vending facility, is revoked.
(50) “Termination of a Vendor's Operating Agreement” means that the vendor's operating agreement, as defined in (a)(60) herein, is revoked.
(51) “Training Instructor” means an individual employed by the Department to coordinate all aspects of the Vendor Training Program.
(52) “Unassigned Vending Machine Commissions” means the income received by the Department from vending machines operated on state property where there are no BEP vendors. Such income is placed directly into the fund for vendor benefits, consistent with Welfare and Institutions Code section 19630(a) and (d).
(53) “Upward Mobility Training” has the meaning specified in Section 7212.4(e) of these regulations.
(54) “Vending Facility” means a business operated by a vendor, which is a single entity under one facility number issued by the BEP, excluding interim vending facilities. A vending facility may consist of one site, or two or more sites combined or consolidated into a vending facility, one of which is a primary site defined in subsection (a)(36) herein, and others that are satellite sites defined in subsection (a)(38) herein. Vending facilities may consist exclusively, or in combination, of the same or different types of facilities including but not limited to, vendor-operated cafeteria, dry/wet facility, food concession vehicle or cart service, snack-bar facility, or vending machine facility, as defined herein, which may sell newspapers, periodicals, confections, tobacco products, foods, beverages, lottery tickets, and other articles or services that are dispensed automatically or manually and prepared on or off the premises. 
(A) “Cafeteria Facility” means a food service vending facility, which may include restaurants or food courts, providing a broad variety of foods and beverages prepared on or off the premises, including hot meals.
(B) “Dry/Wet Facility” means a convenience store vending facility providing manual as well as automated dispensing of articles, prepackaged refreshments, gifts, souvenirs, sundry items, or services. Wet facilities have plumbing to accommodate vending activities such as making coffee or providing fountain drinks. 
(C) “Food Concession Vehicle” or “Cart Service” means a motorized or non-motorized vehicle providing manual dispensing of food, refreshments, or other items.
(D) “Snack-bar Facility” means a super convenience or convenience store vending facility selling limited lines of refreshment and prepared food items.
(E) “Vending Machine Facility” means automated coin, currency, or debit card operated vending machine(s) dispensing food, refreshments, or other articles or services, except that those machines operated by the U.S. Postal Service for the sale of postage stamps or other postal products and services, machines providing services of a recreational nature, and telephones shall not be considered to be vending machines.
(55) “Vending Machine Commissions” mean all commissions paid by commercial vending businesses that operate a vending facility in or on a site where the BEP has a right to establish a vending facility, whether the commission is paid to a blind vendor or, if unassigned, placed directly into the fund for vendor benefits. 
(56) “Vendor” means a person who is eligible to participate in the BEP, in accordance with Section 7212(a) of these regulations, who has been issued a DR 468, Vending Facility License (Rev. 07/07), incorporated by reference herein, by the BEP, and who is currently operating a BEP vending facility.
(57) “Vendor Benefits” means retirement or pension plans, health insurance, paid sick leave, and vacation time.
(58) “Vendor-Trainer” means a vendor who is certified pursuant to Section 7212.2 of these regulations, and who conducts an on-the-job pre-entry evaluation as part of the assessment of an individual's potential to operate a vending facility, and who provides on-the-job training to Client-Trainees in the Vendor Training Program.
(59) “Vendor Training Program” means the training described in Section 7212.1 of these regulations, which is provided to a Client-Trainee herein, to prepare him or her for licensure to operate a vending facility.
(60) “Vendor's Operating Agreement” means the written agreement between a vendor and the BEP establishing the terms and conditions for the operation of a vending facility. 
(61) “Working Day” means Monday through Friday, excluding holidays observed by the State of California. 
NOTE

Authority cited: 20 USC Section 107b(5); 34 CFR Section 395.4; and Sections 19006, 19016, 19632 and 19639, Welfare and Institutions Code. Reference: 20 USC Sections 107, 107a(a)(5), (b) and (e), 107b(3) and (6), 107b-1(2) and (3), 107d-1(a), 107d-3, 107d-4 and 107e(3); 34 CFR Sections 395.1(f), (g), (i), (k), (n), (o), (q), (r), (s), (v), (x) and (y), 395.2, 395.3(a)(3), (4), (7), (8) and (11)(ii) and (iv), 395.5, 395.7, 395.8, 395.9, 395.11, 395.13, 395.14, 395.16, 395.32, 395.33, 395.34 and 395.35; Section 8880.48, Government Code; and Sections 19011, 19095, 19095.5, 19153, 19625, 19626, 19627, 19629, 19630, 19631, 19632, 19635 and 19638, Welfare and Institutions Code.
HISTORY

1. Amendment filed 2-10-83; designated effective 2-20-83 pursuant to Government Code section 11346.2(d) (Register 83, No. 7).
2. New article 2 heading and amendment of section and Note filed 2-4-93; operative 3-8-93 (Register 93, No. 6).
3. Amendment of section heading, repealer and new section and amendment of Note filed 6-26-2009; operative upon approval of the Secretary of the United States Department of Education in accordance with title 34 of the Code of Federal Regulations section 395.4(a) (Register 2009, No. 26).
4. Approved by the Secretary of the United States Department of Education in accordance with section 395.4(a) of title 34 of the Code of Federal Regulations on 6-2-2010; operative 9-15-2010 pursuant to section 7210(b)(2) of title 9 of the California Code of Regulations (Register 2010, No. 39).
Article 3. Eligibility and Training
§7212. Eligibility Requirements; Applicant Assessment; Interview; Referral.
Note     •     History

(a) Any individual who is 18 years or older, blind, as defined in Section 7211(a)(5) of these regulations, a United States citizen, and eligible to receive vocational rehabilitation services from the Department, is eligible to apply for participation in the Business Enterprises Program for the Blind, hereafter BEP. 
(b) The readiness of an applicant meeting the requirements of subsection (a) herein to participate in the BEP Vendor Training Program shall be determined by:
(1) An on-the-job pre-entry evaluation conducted by a Vendor-Trainer who is selected cooperatively by the Rehabilitation Counselor for the Blind and the Training Instructor. This evaluation shall be conducted for 20 working days, and may be extended with the approval of the Rehabilitation Counselor for the Blind and the Training Instructor.
(2) A review and interview conducted by an Applicant Review Panel, as specified in subsections (g) and (h) herein, respectively.
(c) The Applicant Review Panel shall consist of the Training Instructor, who shall be the Chairperson of the Panel, representatives from BEP staff identified by the BEP Manager, and representation by a maximum of two vendors who are selected by the California Vendors Policy Committee, hereafter CVPC, Training Subcommittee Chairperson. 
(d) The Vendor-Trainer shall conduct the on-the-job pre-entry evaluation at the Vendor-Trainer's vending facility and shall maintain the confidentiality of the evaluation. Training shall be provided as a vocational rehabilitation service as provided for by 34 CFR section 361.48(f) and Welfare and Institutions Code section 19150(a)(3). During the on-the-job pre-entry evaluation, each applicant shall be evaluated in areas of work performance as specified on the DR 446, Pre-Entry Evaluation (Rev. 07/07), incorporated by reference herein. The applicant must score at least 66 percent on the DR 446, Pre-Entry Evaluation (Rev. 07/07) to be referred for the review and interview conducted pursuant to (g) and (h) herein respectively. The DR 446, Pre-Entry Evaluation (Rev. 07/07) measures 12 areas of performance, has a possible total score of 12 points, and is rated and scored as follows:
(1) Standard = Fully meets expected standards. Each standard rating is scored as one (1) point.
(2) Below Standard = Fails to meet expected standards. Each below standard rating scores zero (0) points. Any rating of Below Standard must be fully explained by the Vendor-Trainer on the DR 446, Pre-Entry Evaluation (Rev. 07/07), including specific examples to support the rating. 
(e) The Vendor-Trainer shall complete and forward to the Rehabilitation Counselor for the Blind, a DR 446, Pre-Entry Evaluation (Rev. 07/07) for each applicant he or she evaluated. Those applicants who score at least 66 percent on the DR 446, Pre-Entry Evaluation (Rev. 07/07), consistent with subsection (d) herein, shall be referred to the Applicant Review Panel for the review and interview required by subsections (g) and (h) herein, respectively.
(f) For those applicants who score less than 66 percent, the Rehabilitation Counselor for the Blind shall take one of the following actions: 
(1) Work with the applicant to establish a plan, including classes, training, or business or work experience, which would increase the applicant's ability to successfully complete the on-the-job pre-entry evaluation required by subsection (b)(1) herein; or
(2) Re-evaluate the applicant's choice of an employment outcome as a BEP vendor.
(g) The Applicant Review Panel shall review the DR 446, Pre-Entry Evaluation (Rev. 07/07) for each applicant referred pursuant to subsection (e) herein. The DR 446, Pre-Entry Evaluation (Rev. 07/07) shall be submitted by the Rehabilitation Counselor for the Blind and/or the Training Instructor:
(h) The Applicant Review Panel shall interview each applicant referred pursuant to subsection (e) herein. The Applicant Review Panel shall maintain confidentiality throughout and after the interview process. Interview questions shall be developed by the BEP, with the active participation of the CVPC, before any interviews begin. The Applicant Review Panel shall select questions from the predetermined questions developed by the BEP. Once the questions have been selected, the Applicant Review Panel shall ask all applicants the same questions and shall assign numerical scores to each applicant based on his or her responses. Each question is rated with a score of 1 to 5 points per question. 
(i) The Applicant Review Panel scores from each member of the panel shall be added to the score derived from the DR 446, Pre-Entry Evaluation (Rev. 07/07). For an applicant referred pursuant to (e) herein to meet the requirements for entrance into the Vendor Training Program, the combined score on the DR 446, Pre-Entry Evaluation (Rev. 07/07) and the score assigned during the interview must average 70 percent of the highest combined scores possible. Within 60 calendar days of completion of the interview, the Applicant Review Panel Chairperson shall inform the applicant's Rehabilitation Counselor for the Blind that the individual is:
(1) Approved to enter and participate in the Vendor Training Program; or
(2) Referred back to his or her Rehabilitation Counselor for the Blind, who shall take one of the following actions:
(A) Work with the applicant to establish a plan, including classes, training, or business or work experience, which would increase the applicant's ability to meet requirements for entrance into the Vendor Training Program; or
(B) Re-evaluate the applicant's choice of an employment outcome as a BEP vendor.
NOTE

Authority cited: 20 USC Section 107b(5); 34 CFR Section 395.4; and Sections 19006, 19016, 19632(b) and 19639, Welfare and Institutions Code. Reference: 20 USC Sections 107, 107b-1(3) and 107d-4; 34 CFR Sections 361.45, 361.46, 361.48, 395.3(a)(4) and (8), 395.7, 395.11 and 395.14(b); and Sections 19011, 19150(a)(3), 19625, 19632(a), 19632(b) and 19638(b), Welfare and Institutions Code.
HISTORY

1. New article 3 heading and amendment of Note filed 2-4-93; operative 3-8-93 (Register 93, No. 6).
2. Editorial correction of subsection (b)(3) (Register 95, No. 43).
3. Amendment of section heading, repealer and new section and amendment of Note filed 6-26-2009; operative upon approval of the Secretary of the United States Department of Education in accordance with title 34 of the Code of Federal Regulations section 395.4(a) (Register 2009, No. 26).
4. Approved by the Secretary of the United States Department of Education in accordance with section 395.4(a) of title 34 of the Code of Federal Regulations on 6-2-2010; operative 9-15-2010 pursuant to section 7210(b)(2) of title 9 of the California Code of Regulations (Register 2010, No. 39).
§7212.1. Vendor Training Program.
Note     •     History

(a) The Vendor Training Program may be conducted when at least five individuals have been approved to enter and participate in the Vendor Training Program by meeting requirements established in Section 7212 of these regulations. However, the BEP Manager may approve the training for fewer than five individuals. The maximum size of the training class shall be determined by the Business Enterprises Program for the Blind, hereafter BEP, based on the staffing available to effectively provide the training, after consultation with the California Vendors Policy Committee, hereafter CVPC. Before training commences, the Rehabilitation Counselor for the Blind shall forward documentation to the Training Instructor regarding the Client-Trainee's qualifications to participate in the BEP training program as provided for in Section 7212(a) of these regulations.
(b) The Vendor Training Program shall include a training syllabus developed by the BEP that sets out the required courses and performance standards that Client-Trainees are expected to maintain. The training syllabus, schedule, curriculum, and vendor training evaluation process shall be made available to the CVPC or any vendor upon request. 
(c) The training curriculum shall include, at a minimum: 
(1) Classroom training including, but not limited to, subjects such as: federal law (20 USC section 107 et seq.); federal regulations (34 CFR Part 395); state law (Welfare and Institutions Code section 19625 et seq.); state regulations (California Code of Regulations (CCR), Title 9, Section 7210 et seq.); and applicable California Health and Safety Code requirements and certifications. This training shall include homework, tests, and evaluations, as determined by the Training Instructor.
(2) On-the-Job Training at two or more BEP vending facilities. 
(3) Additional training to enhance knowledge in specific subject areas, which may be provided through classroom and on-the-job training, if required by the Training Instructor.
(d) The training syllabus, performance standards, and methods of testing and scoring established by the BEP shall be reviewed every two years, at a minimum, by BEP management with the active participation of the CVPC.
(e) The duration of training specified in subsection (c) herein shall be determined by the BEP. 
(f) To successfully pass the training specified in subsection (c) herein, Client-Trainees shall be required to average 70 percent on all required tests developed by the BEP. On a test for certification by a food service organization or association, a Client-Trainee shall be required to achieve the score established by the food service organization or association for certification. A midterm test shall be given to Client-Trainees following the basic classroom training component. Client-Trainees must have a minimum score of 70 percent to continue the training. Failure to achieve this score shall constitute sufficient cause to remove the Client-Trainee from the Vendor Training Program and refer the Client-Trainee back to his or her Rehabilitation Counselor for the Blind, who shall take one of the following actions:
(1) Work with the applicant to establish a plan, including classes, training, or business or work experience, which would increase the applicant's ability to successfully complete the Vendor Training Program; or
(2) Re-evaluate the applicant's choice of an employment outcome as a BEP vendor.
(g) A Client-Trainee shall complete all of the training components at the performance levels specified in subsection (h) herein before he or she successfully completes the Vendor Training Program and may be certified by the Training Instructor and licensed by the Department to operate a vending facility. Performance levels are measured using the DR 445, Client-Trainee Training Evaluation (Rev. 07/07), incorporated by reference herein, using the DR 445A, Client-Trainee Training Evaluation Instructions (Rev. 07/07), incorporated by reference herein. The DR 445, Client-Trainee Training Evaluation (Rev. 07/07) measures 10 areas of performance, has a possible total score of 10 points, and is rated and scored as follows:
(1) Standard = Fully meets expected standards. Each standard rating is scored as one (1) point.
(2) Below Standard = Fails to meet expected standards. Each below standard rating scores zero (0) points. Any rating of Below Standard must be fully explained by the Vendor Trainer on the DR 445, Client-Trainee Training Evaluation (Rev. 07/07), including specific examples to support the rating.
(h) To meet the requirements of (g) of this section, the Client-Trainee must achieve performance levels as follows:
(1) For the classroom component of training, a score 70 percent on Part II of the DR 445, Client-Trainee Training Evaluation (Rev 07/07).
(2) For the on-the-job component of training, a score of 70 percent on Part I of the DR 445, Client-Trainee Training Evaluation (Rev. 07/07). 
(A) The Training Instructor shall take remedial action if a Client-Trainee scores four or more Below Standard ratings on any one DR 445, Client-Trainee Training Evaluation (Rev. 07/07). Remedial action may include placing the Client-Trainee on probation or removing the Client-Trainee from the Vendor Training Program. 
(i) The Training Instructor shall complete a DR 454, Client-Trainee Final Appraisal (Rev. 07/07) to determine a Client-Trainee's final grade. The Client-Trainee must score at least 70 points on the DR 454, Client-Trainee Final Appraisal (Rev. 07/07) to be licensed. When a Client-Trainee scores at least 70 points on the DR 454, Client-Trainee Final Appraisal (Rev. 07/07), the Training Instructor also shall complete a DR 456, Certification of Eligibility for BEP License (Rev. 07/07), incorporated by reference herein; and a DR 468, Vending Facility License (Rev. 07/07), incorporated by reference herein, which shall be sent to the Client-Trainee within 30 working days of the completion of training. 
(j) The BEP shall provide the Rehabilitation Counselor for the Blind with a copy of the forms specified in subsection (i) herein, for insertion into the Client-Trainee's vendor file.
(k) An applicant who has experience operating a blind vendor facility in another state, or who has prior experience in the food service business, may not challenge the requirement to complete the Vendor Training Program required by this section. 
NOTE

Authority cited: 20 USC Section 107b(5); 34 CFR Section 395.4; and Sections 19006, 19016, 19632 and 19639, Welfare and Institutions Code. Reference: 20 USC Sections 107b-1(3) and 107d-4; 34 CFR Sections 361.47, 395.1(i), 395.3(a)(4) and (8), 395.11 and 395.14(b); and Sections 19011, 19632 and 19638, Welfare and Institutions Code. 
HISTORY

1. New section filed 6-26-2009; operative upon approval of the Secretary of the United States Department of Education in accordance with title 34 of the Code of Federal Regulations section 395.4(a) (Register 2009, No. 26).
2. Approved by the Secretary of the United States Department of Education in accordance with section 395.4(a) of title 34 of the Code of Federal Regulations on 6-2-2010; operative 9-15-2010 pursuant to section 7210(b)(2) of title 9 of the California Code of Regulations (Register 2010, No. 39).
§7212.2. Vendor-Trainers.
Note     •     History

(a) Any Business Enterprises Program for the Blind, hereafter BEP, vendor who wishes to become a Vendor-Trainer shall file a written request and a copy of the vendor's current, valid Food Safety Certification issued pursuant to Health and Safety Code section 113947.1, with the BEP Training Instructor. This request may be made at any time. Depending on the need, the Training Instructor also may recruit vendors for this purpose. 
(b) A BEP vendor must meet all of the following requirements to be considered eligible to become a Vendor-Trainer and to continue being a Vendor-Trainer: 
(1) Possess a current, valid Food Safety Certification pursuant to Health and Safety Code section 113947.1.
(2) Be current with filing the DR 478, Vendor's Monthly Operating Report (Rev. 07/07), incorporated by reference herein.
(3) Have no current delinquency on payment of any fees or other payments resulting from the operation of a vending facility. 
(4) Have no history of abandonment of his or her vending facility or, for two or more sites that have been combined or consolidated into a vending facility, any one of the sites that were combined or consolidated.
(5) Successfully complete the BEP Vendor-Trainer Certification Class to be certified by the BEP Manager. The certification shall be valid for a period consistent with the length of time the Food Safety Certification required by subsection (b)(1) herein is valid. 
(c) The BEP Vendor-Trainer Certification Class shall be presented annually, if needed. A Vendor-Trainer must complete the certification class and successfully pass an examination every five years to remain certified. The examination shall be based on areas of performance specified on the DR 445, Client-Trainee Training Evaluation (Rev. 07/07), incorporated by reference herein, and the DR 446, Pre-Entry Evaluation (Rev. 07/07), incorporated by reference herein.
(d) The BEP Manager shall terminate the certification of a Vendor-Trainer who fails to meet the requirements of subsections (b) and (c) herein by providing written notice to the Vendor-Trainer. A Vendor-Trainer who is terminated has the right to appeal such decision through an administrative review and/or full evidentiary hearing provided pursuant to Sections 7227 through 7227.2 of these regulations.
NOTE

Authority cited: 20 USC Section 107b(5); 34 CFR Section 395.4; and Sections 19006, 19016 and 19639, Welfare and Institutions Code. Reference: 20 USC Sections 107b(6), 107d-1(a) and 107d-4; 34 CFR Sections 361.48, 395.3(a)(7) and (8), 395.11 and 395.13; Section 113947.1, Health and Safety Code; and Sections 19011, 19632(b) and 19635, Welfare and Institutions Code.
HISTORY

1. New section filed 6-26-2009; operative upon approval of the Secretary of the United States Department of Education in accordance with title 34 of the Code of Federal Regulations section 395.4(a) (Register 2009, No. 26).
2. Approved by the Secretary of the United States Department of Education in accordance with section 395.4(a) of title 34 of the Code of Federal Regulations on 6-2-2010; operative 9-15-2010 pursuant to section 7210(b)(2) of title 9 of the California Code of Regulations (Register 2010, No. 39).
§7212.3. Client-Trainee Responsibilities.
Note     •     History

(a) During his or her participation in the Vendor Training Program, the Client-Trainee is responsible for meeting performance standards including, but not limited to:
(1) Achieve performance levels for classroom and on-the-job training at levels specified in Section 7212.1(h) of these regulations.
(2) Attend classroom and on-the-job training, unless excused by the Training Instructor. 
(A) Maintain an accurate and complete timesheet for on-the-job training. This timesheet must be signed by the Vendor-Trainer and turned in by the Client-Trainee to the Training Instructor by the 10th of the following month, to cover the previous month's training.
(3) Wear clothing that is in good condition, neat and clean, and that is appropriate for meeting the public in a food service operation.
(4) Maintain good personal hygiene that is consistent with safe and sanitary food handling.
(b) The standards set forth in subsection (a) herein shall be distributed and explained at the beginning of each Vendor Training Program. Each Client-Trainee shall receive a copy of these standards in an appropriate mode of communication, to the extent possible, consistent with 34 CFR section 361.5(b)(5) and Welfare and Institutions Code section 19013.5(b). Such modes of communication may include providing the standards in large print, Braille, on audiotape, 3.5” diskette, or compact disk. The Department shall transmit copies of the standards electronically, on request. The standards also shall be made available by the BEP Manager to the California Vendors Policy Committee, hereafter CVPC, or any vendor upon request. 
(1) The transmittal and receipt of these standards shall be confirmed when the Training Instructor and the Client-Trainee sign and date the DR 441, Transmittal and Receipt of Performance Standards for the BEP Training Program (New 07/07), incorporated by reference herein.
(c) Any Client-Trainee who fails to meet one or more of the performance standards specified in subsection (a) herein may be placed on probation for up to 60 days. The BEP shall notify the Client-Trainee in writing of the area(s) of deficiency that need to be corrected and the length of the probation. A copy of this notification shall be sent to the Client-Trainee's Rehabilitation Counselor for the Blind and the Training Instructor. 
(1) A Client-Trainee may provide an explanation for any deficiency and this explanation shall be reviewed and considered by the BEP. Any written explanation provided by the Client-Trainee shall also go to the Rehabilitation Counselor for the Blind and the Training Instructor.
(2) All deficiencies shall be corrected on or before the last day of the probationary period. Failure to correct all deficiencies within the probationary period may result in the Client-Trainee's termination from the Vendor Training Program.
(d) Inappropriate behavior or serious misconduct on the part of a Client-Trainee shall result in a formal warning, and possible placement on probation or dismissal from the Vendor Training Program without probation, depending on the severity of the inappropriate behavior or serious misconduct. 
(e) Whenever a Client-Trainee is terminated from the Vendor Training Program, he or she shall be referred back to his or her Rehabilitation Counselor for the Blind, who shall take one of the following actions. 
(1) Work with the applicant to establish a plan, including classes, training, or business or work experience, which would increase the applicant's ability to successfully complete the Vendor Training Program provided for in Section 7212.1 of these regulations; or
(2) Re-evaluate the applicant's choice of an employment outcome as a BEP vendor.
(f) At the conclusion of each Vendor Training Program, the CVPC shall be provided with the following: the number of Client-Trainees enrolled in the Vendor Training Program; the number who successfully completed the Vendor Training Program; the number who were referred back to the Rehabilitation Counselor for the Blind; and the number who were terminated from the Vendor Training Program. 
(g) At the completion of each class, a designee of the BEP Manager and a designee of the CVPC shall conduct joint exit interviews with Client-Trainees who have successfully completed the Vendor Training Program.
NOTE

Authority cited: 20 USC Section 107b(5); 34 CFR Section 395.4; and Sections 19006, 19016 and 19639, Welfare and Institutions Code. Reference: 20 USC Sections 107b-1(3) and 107d-4; 34 CFR Sections 361.5(b)(5), 361.46, 361.47, 395.3(a)(4) and (8), 395.11 and 395.14(b); and Sections 19011, 19013.5(b), 19632(b) and 19638(b), Welfare and Institutions Code.
HISTORY

1. New section filed 6-26-2009; operative upon approval of the Secretary of the United States Department of Education in accordance with title 34 of the Code of Federal Regulations section 395.4(a) (Register 2009, No. 26).
2. Approved by the Secretary of the United States Department of Education in accordance with section 395.4(a) of title 34 of the Code of Federal Regulations on 6-2-2010; operative 9-15-2010 pursuant to section 7210(b)(2) of title 9 of the California Code of Regulations (Register 2010, No. 39).
§7212.4. In-Service and Upward Mobility Training.
Note     •     History

(a) In-Service and Upward Mobility Training shall have the meanings and objectives specified in Section 7211(a)(27) and (53) of these regulations, respectively. Any vendor may make written application to the Training Instructor to attend any regularly scheduled Business Enterprises Program for the Blind, hereafter BEP, training as part of ongoing In-Service Training. The vendor's application may be for initial training, retraining, training on new technology or new food service management techniques, or for the purpose of certification to be a Vendor-Trainer.
(b) In-Service Training shall be offered at least once a year, in at least two locations in the state. In-Service Training may be provided to individual vendors by the Training Instructor or BEP in the classroom or on site in the vendor's vending facility, upon request.
(c) In-Service Training may include, but is not limited to, presentations on the following subjects:
(1) Federal and state laws and regulations applicable to the BEP, including federal law (20 USC section 107 et seq.), federal regulations (34 CFR Part 395), state law (Welfare and Institutions Code section 19625 et seq.), and state regulations (California Code of Regulations (CCR), Title 9, Section 7210 et seq.).
(2) Assistance and advocacy available from the California Vendors Policy Committee, hereafter CVPC.
(3) Sanitation and safety.
(4) Food and beverage preparation, menu planning, and pricing.
(5) Convenience store merchandising.
(6) Financial management and preparation of the DR 478, Vendor's Monthly Operating Report (Rev. 07/07), incorporated by reference herein.
(7) Customer relations.
(8) Labor law.
(9) Human resources.
(10) Business marketing.
(11) Vending machines, including maintenance and minor repairs.
(12) Vending equipment (excluding vending machines) including maintenance and minor repairs.
(13) Developing an Employee Handbook.
(d) The CVPC shall actively participate in developing In-Service Training.
(e) Upward Mobility Training shall include further education and additional training or retraining for improved work opportunities for all licensees and vendors, as necessary to assure that their maximum vocational potential is achieved. The BEP shall further ensure that post-employment services are provided to vendors as vocational rehabilitation services as necessary to assure that the maximum vocational potential of such vendors is achieved and suitable employment is maintained within the State's vending facility program.
(f) Vocational rehabilitation services available to vendors as post-employment services include, but are not limited to: 
(1) Vocational and personal adjustment services designed to assist a vendor to be more self-reliant and independent on the job, which may include orientation and mobility services.
(2) Assistive technology services.
(3) Training services that are career-related including, but not limited to, training in business practices, accounting, and customer relations.
(g) A vendor who is interested in receiving services for purposes of upward mobility shall contact his or her Rehabilitation Counselor for the Blind or the nearest Blind Field Services office. A vendor who requests services for purposes of upward mobility shall advise the BEP when he or she applies for such services. 
NOTE

Authority cited: 20 USC Section 107b(5); 34 CFR Section 395.4; and Sections 19006, 19016, 19632 and 19639, Welfare and Institutions Code. Reference: 20 USC Sections 107b-1(3) and 107d-4; 29 USC Section 723(a)(5), (14) and (18); 34 CFR Sections 361.5(b)(42), 361.48(f), (o) and (q), 395.3(a)(4) and (8), 395.11 and 395.14(b); and Sections 19011, 19150(a)(3) and 19150(a)(10), 19632(b) and 19638(b), Welfare and Institutions Code.
HISTORY

1. New section filed 6-26-2009; operative upon approval of the Secretary of the United States Department of Education in accordance with title 34 of the Code of Federal Regulations section 395.4(a) (Register 2009, No. 26).
2. Approved by the Secretary of the United States Department of Education in accordance with section 395.4(a) of title 34 of the Code of Federal Regulations on 6-2-2010; operative 9-15-2010 pursuant to section 7210(b)(2) of title 9 of the California Code of Regulations (Register 2010, No. 39).
Article 4. Licensing
§7213. Licensing.
Note     •     History

(a) An applicant who meets all of the following requirements shall be issued a DR 468, Vending Facility License (Rev. 07/07), incorporated by reference herein, within 30 working days of the Training Instructor's issuance of the DR 456, Certification of Eligibility for BEP License (Rev. 07/07), incorporated by reference herein:
(1) Eligible to apply to participate in the Business Enterprises Program for the Blind (BEP) established in Section 7212(a) of these regulations;
(2) Possess a DR 456, Certification of Eligibility for BEP License (Rev. 07/07), as specified in Section 7212.1(i) of these regulations; and
(3) Ability to comply with all applicable laws and regulations.
(b) The DR 468, Vending Facility License (Rev. 07/07) shall be valid as long as the licensee or vendor to whom it is issued continues to meet requirements specified in Section 7213(a) of these regulations, unless the license is suspended or terminated, as provided for in Section 7213.1 of these regulations.
(c) Licensees and vendors shall provide the BEP Manager with a current mailing address. Licensees and vendors shall notify the BEP Manager in writing of any change of address within 30 calendar days of the effective date of the change of address. It shall also be the responsibility of licensees and vendors to confirm that BEP has a current mailing address on file.
NOTE

Authority cited: 20 USC Section 107b(5); 34 CFR Section 395.4; and Sections 19006, 19016, 19632 and 19639, Welfare and Institutions Code. Reference: 20 USC Sections 107, 107a(a)(5), 107a(b), and 107a(e); 34 CFR Sections 395.1(i), 395.2, 395.5 and 395.7; and Sections 19011 and 19625, Welfare and Institutions Code.
HISTORY

1. New article 4 heading and amendment of Note filed 2-4-93; operative 3-8-93 (Register 93, No. 6).
2. Amendment of section heading, repealer and new section and amendment of Note filed 9-22-2009; operative upon the approval of the Secretary of the United States Department of Education, in accordance with title 34, Code of Federal Regulations, section 395.4(a) (Register 2009, No. 39).
3. Approved by the Secretary of the United States Department of Education in accordance with section 395.4(a) of title 34 of the Code of Federal Regulations on 6-2-2010; operative 9-15-2010 pursuant to section 7210(b)(2) of title 9 of the California Code of Regulations (Register 2010, No. 39).
§7213.1. Suspension or Termination of a Licensee's or Vendor's License.
Note     •     History

(a) For the purposes of this section, the DR 468, Vending Facility License (Rev. 07/07), incorporated by reference herein, shall be referred to  as the “license.” Only the Department may suspend or terminate the license of a licensee or a vendor.
(b) Written notice of the intent to terminate the license of a licensee or suspend or terminate the license of a vendor shall be considered properly served by one of the following two methods and shall include a declaration of service:
(1) Certified mail to the current mailing address provided to the BEP Manager by the licensee or vendor in accordance with Section 7213(c) of these regulations; or
(2) Personal service on the licensee or vendor.
(c) The notice of intent to terminate a licensee's license or suspend or terminate a vendor's license shall specify the following:
(1) If applicable, the primary site and any satellite sites of a vendor's vending facility, as defined in Section 7211(a)(36) and (a)(38) of these regulations, respectively, that are affected.
(2) The grounds for the suspension or termination that constitute good cause, as specified in Section 7213.3 of these regulations. 
(3) The facts upon which the suspension or termination are based.
(4) The effective date of the suspension of a vendor's license, in accordance with (d) herein, or the effective date of the termination of a licensee's or vendor's license, in accordance with (e) herein.
(5) The length of the suspension, if the notice is of a suspension. 
(6) The right of the licensee or vendor to an administrative review and a full evidentiary hearing, in accordance with Sections 7227.1 and 7227.2 of these regulations, respectively.
(d) Suspension of a vendor's license shall be effective 15 working days from the date of service, unless the vendor files a request for an administrative review or a full evidentiary hearing, in accordance with Section 7227.1 or 7227.2 of these regulations, respectively, before the effective date of the suspension. 
(e) Termination of a licensee's or vendor's license shall be effective 15 working days from the date of service, unless the licensee or vendor files a request for an administrative review or a full evidentiary hearing, in accordance with Section 7227.1 or 7227.2 of these regulations, respectively, before the effective date of the termination. 
(1) If a licensee appeals a termination of his or her license, and the Department prevails at an administrative review and/or a full evidentiary hearing, the licensee's license shall be immediately terminated upon the effective date of the decision.
(2) If a vendor appeals a suspension of his or her license, and the Department prevails at an administrative review and/or a full evidentiary hearing, a vendor with only one site, or with two or more sites that have been combined or consolidated or include an interim vending facility, may not operate at any of the sites until the suspension period has ended and the cause(s) for the suspension have been remedied. If the vendor fails to remedy the cause(s) for the suspension, the BEP shall take action to terminate the vendor's license or operating agreement for good cause in accordance with Section 7213.3 of these regulations. The vending facility vacated may be placed into interim operation pursuant to Section 7215 of these regulations, until such time that the vacated vending facility may be announced as available to be operated on a permanent basis. 
(3) If a vendor operating a vending facility comprised of only one site, or two or more sites that have been combined or consolidated or include an interim vending facility, appeals a termination of his or her license, and the Department prevails at an administrative review and/or a full evidentiary hearing, the vendor may not operate at any of the sites, as of the effective date of the decision. The vendor must vacate all sites within his or her vending facility within 15 calendar days of the effective date of the decision. The vending facility vacated may be placed into interim operation pursuant to Section 7215 of these regulations, until such time that the vacated vending facility may be announced as available to be operated on a permanent basis. 
NOTE

Authority cited: 20 USC Section 107b(5); 34 CFR Section 395.4; and Sections 19006, 19016, 19632 and 19639, Welfare and Institutions Code. Reference: 20 USC Sections 107, 107a(a)(5), 107a(b), 107a(e), 107b(6) and 107d-1(a); 34 CFR Sections 395.1(i), 395.2, 395.3(a)(7), 395.3(a)(11)(ii), 395.5, 395.7 and 395.13; and Sections 19011, 19625, 19626, 19632(d) and 19635, Welfare and Institutions Code.
HISTORY

1. Renumbering of former section 7223 to section 7213.1 and amendment of Note filed 2-4-93; operative 3-8-93 (Register 93, No. 6).
2. Amendment of section heading, repealer and new section and amendment of Note filed 9-22-2009; operative upon the approval of the Secretary of the United States Department of Education, in accordance with title 34, Code of Federal Regulations, section 395.4(a) (Register 2009, No. 39).
3. Approved by the Secretary of the United States Department of Education in accordance with section 395.4(a) of title 34 of the Code of Federal Regulations on 6-2-2010; operative 9-15-2010 pursuant to section 7210(b)(2) of title 9 of the California Code of Regulations (Register 2010, No. 39).
§7213.2. Suspension or Termination of a Vendor's Operating Agreement.
Note     •     History

(a) For the purposes of this section, Vendor's Operating Agreement, as defined in Section 7211(a)(60), shall be referred to as the “operating agreement.” The suspension or termination of a vendor's operating agreement does not require that a vendor's DR 468, Vending Facility License (Rev. 07/07), incorporated by reference herein, be suspended or terminated. 
(b) Upon properly served written notice of intent to suspend or terminate an operating agreement in accordance with subsection (c) herein, the Business Enterprises Program for the Blind (BEP) shall suspend or terminate a vendor's operating agreement when:
(1) The Permit for the vending facility is withdrawn by the contracting agency; 
(2) The vendor vacates the vending facility;
(3) The vendor's license is suspended or terminated, in accordance with Section 7213.1 of these regulations; or
(4) Good cause exists as specified in Section 7213.3 of these regulations.
(c) Written notice of the intent to suspend or terminate an operating agreement shall be considered properly served by one of the following two methods and shall include a declaration of service:
(1) By certified mail, return receipt requested, to the current mailing address provided to the BEP Manager in accordance with Section 7213(c) of these regulations; or
(2) By personal service on the licensee or vendor.
(d) The notice of intent to suspend or terminate the operating agreement shall specify all of the following:
(1) The primary site and satellite site(s) of a vending facility, as defined in Section 7211(a)(36) and (a)(38) of these regulations, respectively, that are affected.
(2) The grounds that constitute good cause for suspension or termination of the operating agreement, consistent with subsection (b) herein. 
(3) The facts upon which the suspension or termination are based.
(4) The length of the suspension, if the notice is of a suspension. 
(5) The effective date of the suspension or termination.
(6) The right of the vendor to an administrative review and a full evidentiary hearing, as provided for in Sections 7227.1 and 7227.2 of these regulations, respectively.
(e) Termination of a vendor's operating agreement shall be effective 15 working days from the date of service of the written notice of intent, unless the vendor files a request for an administrative review or a full evidentiary hearing, in accordance with Section 7227.1 or 7227.2 of these regulations, respectively, before the effective date of the termination. 
(f) If a vendor operating a vending facility at only one site appeals a suspension of his or her operating agreement, and the Department prevails at an administrative review and/or a full evidentiary hearing, the vendor must either:
(1) Demonstrate that the deficiency or deficiencies leading to the suspension have been fully corrected to the satisfaction of the BEP Manager and the contracting agency; or
(2) Vacate the vending facility within 15 working days of the effective date of the decision. 
(g) If the vendor operates a vending facility comprised of two or more sites that have been combined or consolidated into a vending facility, and the cause for a suspension did not occur at all of those sites, subsections (f)(1) and (2) herein apply only to the site(s) where the deficiency or deficiencies leading to the suspension occurred. 
(h) If a vendor operating a vending facility at only one site has his or her operating agreement terminated, and the Department prevails at an administrative review and/or a full evidentiary hearing, the vendor shall vacate the vending facility within 15 working days from the effective date of the decision. The vending facility vacated may be placed into interim operation pursuant to Section 7215 of these regulations, until such time that the vacated vending facility may be announced as available to be operated on a permanent basis.
(i) If the vendor operates a vending facility comprised of two or more sites that have been combined or consolidated into a vending facility, and the vendor is required to vacate only one of those sites due to suspension or termination of the operating agreement, the operating agreement is null and void due to this material change in the agreement, and the vendor must enter into a new operating agreement for the remaining sites that were not vacated. The vendor must submit a signed operating agreement for the remaining sites to the BEP within five working days of receiving it. Failure to submit a signed operating agreement for the remaining sites shall result in the BEP filing an action against the vendor to terminate the operating agreement. 
(j) If the vendor vacates a site of a vending facility comprised of two or more sites that have been combined or consolidated into a vending facility, the site vacated shall be made available as an interim vending facility pursuant to Section 7215 of these regulations, until such time that the vacated vending facility may be announced as available to be operated on a permanent basis. 
(k) A vendor whose operating agreement is terminated may apply to operate another BEP vending facility, if the vendor pays all monies owed to the BEP, including, but not limited to, set-aside fees, payment for workers' compensation and liability insurance, and penalties, and files any delinquent DR 478, Vendor's Monthly Operating Reports (Rev. 07/07), incorporated by reference herein. 
NOTE

Authority cited: 20 USC Section 107b(5); 34 CFR Section 395.4; and Sections 19006, 19016 and 19639, Welfare and Institutions Code. Reference: 20 USC Sections 107b(3), 107b(6) and 107d-1(a); 34 CFR Sections 395.1(o), 395.2, 395.3(a)(7), 395.9, 395.13, 395.16, 395.34 and 395.35; and Sections 19011, 19626, 19629 and 19635, Welfare and Institutions Code.
HISTORY

1. Amendment filed 2-10-83; designated effective 2-20-83 pursuant to Government Code Section 11346.2(d) (Register 83, No. 7).
2. Renumbering of former section 7224 to section 7213.2 and amendment of Note filed 2-4-93; operative 3-8-93 (Register 93, No. 6).
3. Amendment of section heading, repealer and new section and amendment of Note filed 9-22-2009; operative upon the approval of the Secretary of the United States Department of Education, in accordance with title 34, Code of Federal Regulations, section 395.4(a) (Register 2009, No. 39).
4. Approved by the Secretary of the United States Department of Education in accordance with section 395.4(a) of title 34 of the Code of Federal Regulations on 6-2-2010; operative 9-15-2010 pursuant to section 7210(b)(2) of title 9 of the California Code of Regulations (Register 2010, No. 39).
§7213.3. Good Cause for Suspension or Termination of a License or Operating Agreement.
Note     •     History

(a) For purposes of this section, the DR 468, Vending Facility License (Rev. 07/07), incorporated by reference herein, shall be referred to as the “license” and Vendor's Operating Agreement, as defined in Section 7211(a)(60), shall be referred to as the “operating agreement.”
(b) Good cause for termination of a licensee's license is that the licensee no longer meets the eligibility requirements to apply for participation in the Business Enterprises Program for the Blind (BEP) established in Section 7212(a) of these regulations.
(c) Any of the following conditions shall be considered good cause for suspension or termination of a vendor's license or operating agreement:
(1) The vendor no longer meets the eligibility requirements to apply for participation in the BEP established in Section 7212(a) of these regulations.
(2) The vendor abandons his or her vending facility or, for two or more sites that have been combined or consolidated into a vending facility, the vendor abandons any one of those sites. A vending facility site shall be considered abandoned when it is closed for three consecutive working days and no services are provided, and/or it is closed without approval from the BEP Manager.
(3) The vendor fails to operate his or her vending facility in accordance with applicable federal law (20 USC section 107 et seq.), federal regulations (34 CFR Part 395), state law (Welfare and Institutions Code section 19625 et seq.), state regulations (California Code of Regulations (CCR), Title 9, Section 7210 et seq.), or with applicable Health and Safety Codes.
(4) The vendor fails to operate his or her vending facility in accordance with the terms and conditions of the Permit defined in Section 7211(a)(35) of these regulations, or the Vendor's Operating Agreement defined in Section 7211(a)(60) of these regulations.
(5) The vendor fails to personally manage his or her vending facility by a continuing presence at the vending facility, as required by Section 7220(a) of these regulations.
(6) The vendor willfully or maliciously destroys, or fails to exercise necessary care for, equipment furnished by the BEP or the contracting agency named in the Permit.
(d) Any of the following acts by a vendor whose conduct interferes with any aspect of the operation of his or her vending facility is good cause for suspension or termination of a vendor's license or operating agreement. These acts include, but are not limited to, the following: 
(1) Conviction of fraud during licensure.
(2) Intoxication on the vending facility premises.
(3) Neglect of any of the duties required by these regulations.
(4) Failure to file the DR 478, Vendor's Monthly Operating Report (Rev. 07/07), incorporated by reference herein, in accordance with these regulations. 
(5) Failure to submit to a medical examination provided in Welfare and Institutions Code section 19632, subdivision (a) of this section when requested by the BEP.
(6) Using a facility or allowing others to use a vending facility for unlawful activities.
(7) Using the facility for purposes not expressly authorized in the Permit, as defined in Section 7211(a)(35) of these regulations.
(8) Filing false or misleading DR 478, Vendor's Monthly Operating Report (Rev. 07/07).
(9) Allowing the DR 468, Vending Facility License (Rev. 07/07) to be suspended under conditions specified in Section 7213.3 of these regulations and failing to apply for reinstatement in accordance with Section 7213.6 of these regulations.
(e) A vendor's failure to pay any of the following is good cause for suspension or termination of a vendor's license or operating agreement, if unpaid for more than 90 days from the date in which payment is due:
(1) Liability or workers' compensation insurance as required by the BEP.
(2) Set-aside fees, as defined in Section 7211(a)(42) of these regulations.
(3) Penalty charges on delinquent set-aside fees, in accordance with Section 7221(a) of these regulations. 
(f) A vendor's failure to prepare and maintain records required by Section 7220(l) of these regulations, make records or financial reports relating to the operation of his or her vending facility available within 15 calendar days of receipt of a written request from BEP or Department staff, or failure to cooperate with BEP or Department staff during the conduct of an audit or any other matters relating to the vending facility shall be good cause for the suspension or termination of a vendor's license or operating agreement.
NOTE

Authority cited: 20 USC Section 107b(5); 34 CFR Section 395.4; and Sections 19006, 19016, 19632 and 19639, Welfare and Institutions Code. Reference: 20 USC Sections 107, 107a(a)(5), 107a(b), 107a(e), 107b(3), 107b(6), and 107d-1(a); 34 CFR Sections 395.1(i), 395.1(o), 395.2, 395.3(a)(7), 395.3(a)(11)(ii), 395.5, 395.7, 395.9, 395.13, 395.16, 395.34 and 395.35; and Sections 19011, 19625, 19626, 19629, 19632 and 19635, Welfare and Institutions Code. 
HISTORY

1. Renumbering of former section 7225 to section 7213.3 and amendment of Note filed 2-4-93; operative 3-8-93 (Register 93, No. 6).
2. Amendment of section heading, repealer and new section and amendment of Note filed 9-22-2009; operative upon the approval of the Secretary of the United States Department of Education, in accordance with title 34, Code of Federal Regulations, section 395.4(a) (Register 2009, No. 39).
3. Approved by the Secretary of the United States Department of Education in accordance with section 395.4(a) of title 34 of the Code of Federal Regulations on 6-2-2010; operative 9-15-2010 pursuant to section 7210(b)(2) of title 9 of the California Code of Regulations (Register 2010, No. 39).
§7213.4. Disapproval or Withdrawal of Approval of a Vendor by the Contracting Agency.
Note     •     History

(a) A contracting agency, as defined in Section 7211(a)(12) of these regulations, may disapprove, or withdraw approval of, a vendor currently operating a vending facility on property cared for, in the custody of, or controlled by the contracting agency, but only for good cause. The Department may not orally, in writing, or by any other form of communication, instigate, initiate, or encourage a person, governing board, or legislative body having control of the property on which a vending facility is operated, to request the removal of a vendor.
(b) The contracting agency shall notify the Business Enterprises Program for the Blind (BEP) in writing of the grounds for disapproval or withdrawal of approval of a vendor and shall supply any supporting material to the BEP. The BEP Manager shall review this written notice and supporting material within three working days and determine whether there is good cause for disapproval or withdrawal of approval of a vendor. 
(c) If good cause exists, the BEP shall immediately send a letter of reprimand to the vendor by certified mail with a receipt confirmation required that shall include all of the following: 
(1) A copy of the original notification form and any supporting material provided by the contracting agency. 
(2) A description of the acts or omissions that constitute good cause for disapproval or withdrawal of approval of the vendor, which may include one or more of the following:
(A) Failure to carry out the vendor's responsibilities as specified in Section 7220 of these regulations.
(B) Any of the conditions considered good cause, as specified in Section 7213.3 of these regulations.
(3) Identification of applicable federal law (20 USC section 107 et seq.), federal regulations (34 CFR Part 395), state law (Welfare and Institutions Code section 19625 et seq.), state regulations (California Code of Regulations, title 9, section 7210 et seq.), and applicable Health and Safety Code requirements that have been violated.
(4) The date of removal from the vending facility. 
(5) Any corrective action(s) the vendor must take which, if taken, shall allow the vendor to remain at the vending facility.
(6) The vendor's right to an administrative review and a full evidentiary hearing as provided for in Sections 7227.1 and 7227.2 of these regulations, respectively.
(d) The vendor shall have 15 working days from receipt of the letter of reprimand provided for in subsection (c) herein to correct any deficiency or deficiencies that are the basis for the reprimand. During this 15-day period, the Department shall make all reasonable efforts, as appropriate, to assist the vendor in rectifying the condition(s) upon which the letter of reprimand is based. If the vendor does not rectify the condition(s) to the satisfaction of the contracting agency, the Director of the Department shall so inform the vendor in writing, who shall vacate his or her vending facility immediately. 
(e) Upon the vendor's departure, the vending facility may be placed into interim operation pursuant to Section 7215 of these regulations, until such time that the vacated vending facility may be announced as available to be operated on a permanent basis. 
(f) If the vendor requests an administrative review and/or a full evidentiary hearing, the vending facility may be placed into interim operation pursuant to Section 7215 of these regulations, until a final decision to approve or disapprove the vendor is rendered. 
(g) Upon the vendor's departure from the vending facility, the vending facility stock (excluding equipment) shall be liquidated as follows:
(1) If title to the stock is vested in the BEP pursuant to Section 7222(a)(4) of these regulations, the Department shall be responsible for stock liquidation. The Department may sell stock it owns to the vendor of the interim vending facility or to any other vendor interested in purchasing the stock.
(2) If title to the stock is vested in the vendor, the vendor shall be responsible for stock liquidation as specified in Section 7222(a)(4) of these regulations.
(h) Disapproval or withdrawal of approval of a vendor by the contracting agency is not equivalent to suspension or termination of a vendor's DR 468, Vending Facility License (Rev. 07/07), incorporated by reference herein. However, the Department may bring an action to suspend or terminate a vendor's license, based on the facts that resulted in the disapproval or withdrawal of approval by the contracting agency, in accordance with Section 7213.1 of these regulations.
(i) The removal of a vendor from a vending facility on property cared for, in the custody of, or controlled by the contracting agency and, at the request of the contracting agency, shall not require the vendor to vacate other vending facility sites that he or she operates on property cared for, in the custody of, or controlled by a different contracting agency and shall not require a finding of ineligibility for licensing.
NOTE

Authority cited: 20 USC Section 107b(5); 34 CFR Section 395.4; and Sections 19006, 19016 and 19639, Welfare and Institutions Code. Reference: 20 USC Sections 107b(6) and 107d-1(a); 34 CFR Sections 395.2, 395.3(a)(7) and 395.13; and Sections 19011, 19632(c), 19632(d) and 19635, Welfare and Institutions Code. 
HISTORY

1. New section filed 9-22-2009; operative upon the approval of the Secretary of the United States Department of Education, in accordance with title 34, Code of Federal Regulations, section 395.4(a) (Register 2009, No. 39).
2. Approved by the Secretary of the United States Department of Education in accordance with section 395.4(a) of title 34 of the Code of Federal Regulations on 6-2-2010; operative 9-15-2010 pursuant to section 7210(b)(2) of title 9 of the California Code of Regulations (Register 2010, No. 39).
§7213.5. Eligibility of a Licensee to Apply for a BEP Vending Facility.
Note     •     History

(a) To be eligible to apply for a Business Enterprises Program for the Blind (BEP) vending facility, including an interim vending facility, a licensee shall comply with the following requirements to ensure that he or she maintains the qualifications to operate a BEP vending facility: 
(1) If the licensee has not operated a BEP vending facility, including an interim vending facility, from two to four years from the date of licensure or from the last day the licensee operated a vending facility, whichever is most recent in the previous, the licensee must either:
(A) Enroll in and complete the BEP Vendor Training Program described in Section 7212.1 of these regulations, except that an individual who was a former vendor will not be required to complete the on-the-job training specified in Section 7212.1(c)(2) of these regulations; or
(B) Challenge the requirement to take the BEP Vendor Training Program by taking and scoring 70 percent or higher on an examination given by the BEP Training Instructor, comparable to the midterm test specified in Section 7212.1(f) of these regulations.
(2) If the licensee has not operated a BEP vending facility, including an interim vending facility, for more than four years from the date of licensure or from the last day the licensee operated a vending facility as a vendor, whichever is most recent , the licensee must complete all components of the Vendor Training Program described in Section 7212.1 of these regulations.
(b) A licensee who fails to take the appropriate action specified herein shall not be eligible to apply for a BEP vending facility, including an interim vending facility.
NOTE

Authority cited: 20 USC Section 107b(5); 34 CFR Section 395.4; and Sections 19006, 19016, 19632 and 19639, Welfare and Institutions Code. Reference: 20 USC Sections 107, 107a(a)(5), 107a(b) and 107a(e); 34 CFR Sections 395.1(i), 395.2, 395.5 and 395.7; and Sections 19011 and 19625, Welfare and Institutions Code.
HISTORY

1. New section filed 9-22-2009; operative upon the approval of the Secretary of the United States Department of Education, in accordance with title 34, Code of Federal Regulations, section 395.4(a) (Register 2009, No. 39).
2. Approved by the Secretary of the United States Department of Education in accordance with section 395.4(a) of title 34 of the Code of Federal Regulations on 6-2-2010; operative 9-15-2010 pursuant to section 7210(b)(2) of title 9 of the California Code of Regulations (Register 2010, No. 39).
§7213.6. Reinstatement of a License.
Note     •     History

(a) For purposes of this section, the DR 468, Vending Facility License (Rev. 07/07), incorporated by reference herein, shall be referred to as the “license.”
(b) If a licensee or vendor resigns from the Business Enterprises Program for the Blind (BEP), the licensee or vendor may request reinstatement of his or her license. 
(1) If a former licensee or vendor requests reinstatement within two years after he or she resigned, the BEP Manager may reinstate a license only if:
(A) The former licensee or vendor meets the requirements to apply for participation in the BEP established in Section 7212(a) of these regulations;
(B) The former licensee or vendor requesting reinstatement possesses necessary certifications required by Health and Safety Code sections 113700 through 114180; and
(C) If the individual requesting reinstatement was a former vendor, he or she has paid all monies owed to the BEP, including, but not limited to set-aside fees payment for workers' compensation or liability insurance, and penalties, and filed all of the required DR 478, Vendor's Monthly Operating Reports (Rev. 07/07), incorporated by reference herein.
(2) If a former licensee or vendor requests reinstatement from two to four years from the date of resignation or from two to four years from the last day the former vendor operated a vending facility, whichever is most recent, the former licensee or vendor requesting reinstatement must either:
(A) Enroll in and complete the BEP Vendor Training Program described in Section 7212.1 of these regulations, except that an individual who was a former vendor will not be required to complete the on-the-job training specified in Section 7212.1(c)(2) of these regulations; or
(B) Challenge the requirement to take the BEP Vendor Training Program. Former licensees and vendors who challenge the need to take the Vendor Training Program are required to score 70 percent or higher on an examination given by the BEP Training Instructor, comparable to the midterm test specified in Section 7212.1(f) of these regulations. A former licensee or vendor who passes this test shall have his or her license to operate a vending facility reinstated by the BEP Manager.
(3) If a former licensee or vendor requests reinstatement after four years from the date of resignation or the last day he or she operated a BEP vending facility, the former licensee or vendor requesting reinstatement must complete all components of the Vendor Training Program described in Section 7212.1 of these regulations. 
(c) A former licensee or vendor who fails to take the appropriate actions specified herein shall not have his or her license reinstated.
(d) A former licensee or vendor whose license is not reinstated has the right to an administrative review and full evidentiary hearing as provided for in Sections 7227.1 and 7227.2 of these regulations, respectively.
NOTE

Authority cited: 20 USC Section 107b(5); 34 CFR Section 395.4; and Sections 19006, 19016, 19632 and 19639, Welfare and Institutions Code. Reference: 20 USC Sections 107, 107a(a)(5), 107a(b), 107a(e), 107b(3), 107b(6) and 107d-1(a); 34 CFR Sections 395.1(i), 395.2, 395.3(a)(7), 395.5, 395.7, 395.9 and 395.13; Sections 113700-114180, Health and Safety Code; and Sections 19011, 19625, 19629 and 19635, Welfare and Institutions Code.
HISTORY

1. New section filed 9-22-2009; operative upon the approval of the Secretary of the United States Department of Education, in accordance with title 34, Code of Federal Regulations, section 395.4(a) (Register 2009, No. 39).
2. Approved by the Secretary of the United States Department of Education in accordance with section 395.4(a) of title 34 of the Code of Federal Regulations on 6-2-2010; operative 9-15-2010 pursuant to section 7210(b)(2) of title 9 of the California Code of Regulations (Register 2010, No. 39).
Article 5. Vending Facilities; Announcement; Application; Selection; Placement
§7214. Announcing the Availability of Vending Facilities.
Note     •     History

(a) The Business Enterprises Program for the Blind (BEP) shall announce the availability of a vending facility by issuing a DR 460, Vending Facility Announcement (Rev. 09/09), incorporated by reference herein. At least 10 calendar days prior to the deadline for submitting applications, the BEP shall post the announcement on the Department's website, record the announcement on a telephone based information system that is available to licensees and vendors, and provide the announcement to the California Vendors Policy Committee. Upon request, the BEP shall also provide the announcement in an appropriate mode of communication, to the extent possible, consistent with Code of Federal Regulations, title 34, part 361.5(b)(5) and Welfare and Institutions Code section 19013.5(b). Such modes of communication may include providing the announcement in large print, Braille, on audiotape, 3.5” diskette, or compact disk, and transmitting announcement electronically.
(b) When announcing the availability of a vending facility, the BEP shall consider whether or not the vending facility is projected to generate an adequate net income, as defined in Section 7211(a)(2) of these regulations.
(1) When a newly established vending facility is available and the minimum projected net income meets BEP guidelines specified in Section 7211(a)(2) of these regulations, the vending facility shall be announced as available as a primary site, as defined in Section 7211(a)(36) of these regulations. 
(2) When a previously operated vending facility is available and the minimum projected net income meets BEP guidelines specified in Section 7211(a)(2) of these regulations, the vending facility shall be announced as a primary site, as defined in Section 7211(a)(36) of these regulations. The vending facility shall be announced within 15 working days following receipt of resignation or removal of the vendor whose facility is being vacated and made available.
(3) When a previously operated vending facility is available and the minimum projected net income does not meet BEP guidelines specified in Section 7211(a)(2) of these regulations, the vending facility shall be announced as available to be operated as a satellite site to be combined or consolidated with one or more other sites. The BEP Manager shall identify which of the sites is the primary site. 
(4) When two or more previously operated vending facilities are available concurrently, and no one vending facility is projected to generate a minimum projected net income specified in Section 7211(a)(2) of these regulations, the BEP may combine or consolidate the sites and announce them as available to be operated as a vending facility on more than one site. The BEP Manager shall identify which of the sites shall be the primary site. Sites that are combined or consolidated into a vending facility shall be announced as available within 15 working days of the BEP's decision to combine and consolidate the sites.
(c) Before announcing the availability of a vending facility that is comprised of two or more sites that have been combined or consolidated, the BEP Manager shall assess the potential income of each site to determine whether the combined or consolidated sites will generate a minimum projected net income of at least the amount specified in Section 7211(a)(2) of these regulations.
NOTE

Authority cited: 20 USC Section 107b(5); 34 CFR Section 395.4; and Sections 19006, 19016 and 19639, Welfare and Institutions Code. Reference: 20 USC Sections 107, 107a(a)(5), 107a(b), 107a(e) and 107b-1(3); 34 CFR Sections 361.5(b)(5), 395.1(i), 395.2, 395.3(a)(4), 395.5, 395.7 and 395.14(b); and Sections 19011, 19013.5(b), 19625, 19626, 19631 and 19638(b), Welfare and Institutions Code. 
HISTORY

1. New article 5 (sections 7214-7214.8) and section filed 9-22-2009; operative upon the approval of the Secretary of the United States Department of Education, in accordance with title 34, Code of Federal Regulations, section 395.4(a) (Register 2009, No. 39). For prior history of section 7214, see Register 93, No. 6. 
2. Approved by the Secretary of the United States Department of Education in accordance with section 395.4(a) of title 34 of the Code of Federal Regulations on 6-2-2010; operative 9-15-2010 pursuant to section 7210(b)(2) of title 9 of the California Code of Regulations (Register 2010, No. 39).
§7214.1. Application Requirements and the Application Process.
Note     •     History

(a) Licensees and vendors who are applying to operate a vending facility shall submit a completed a DR 462, Vending Facility Application (Rev. 07/07), incorporated by reference herein, to the BEP. The licensee or vendor may submit an application in an alternative form, as long as the application contains all information required by the DR 462, Vending Facility Application (Rev. 07/07). The completed application may be delivered to the BEP by mail, electronic mail, facsimile, or personal delivery. Applications must be postmarked or date stamped by the Department on or before the final filing date in order to be accepted. 
(b) A vendor currently operating a vending facility on a permanent basis must have operated that vending for at least 183 calendar days before the final filing date on the DR 460, Vending Facility Announcement (Rev. 09/09), incorporated by reference herein, to be eligible to submit an application to operate a different vending facility. 
(c) The application requirements established in subsection (b) herein may be waived by the BEP Manager after notification to the California Vendors Policy Committee (CVPC) of the waiver for the following reasons: 
(1) The vendor can demonstrate that the current vending facility he or she was selected for and assigned to operate was not opened within a reasonable period of time due to delays beyond the vendor's control; or
(2) The vendor can demonstrate that he or she was unable to remain at his or her vending facility for at least 183 days due to circumstances beyond the vendor's control.
(d) Grounds for immediate disqualification of an applicant include any one of the following:
(1) Failure to submit all required information on the DR 462, Vending Facility Application (Rev. 07/07) or on an application submitted in an alternative format.
(2) Failure to submit the application by the final filing date.
(3) Failure to comply with the provisions of subsection (b) herein, absent a waiver specified in subsection (c) herein.
(4) Failure to provide all requested information.
(5) Failure to appear at the designated time and date for the interview.
(6) Failure to pass any criminal or other background check required by the contracting agency.
(e) In addition to the grounds for immediate disqualification of an applicant established in subsection (d) herein, the BEP shall disqualify an applicant who owes the BEP monies, including, but not limited to, set-aside fees, payment for workers' compensation or liability insurance, and penalties, with the exception of subsection (e)(2) herein, or has any outstanding DR 478, Vendor's Monthly Operating Report (Rev. 07/07), incorporated by reference herein.
(1) The Department's Accounting Office shall verify that each applicant who is a vendor is not delinquent in the submission of any DR 478, Monthly Operating Report (Rev. 07/07), or payment of set-aside fees, penalties, or insurance payments. If the vendor is found to be delinquent on any of these payments, he or she may satisfy the delinquency by paying the amount of the delinquency in full, in the form of a cashier's check or money order, no later than five calendar days before the date of his or her interview. The applicant shall bring evidence of recent payment to the interview to avoid any potential disqualification.
(2) A vendor's application shall not be disqualified because the vendor is delinquent on, or has outstanding, payments of money owed to the BEP, if the amount of the delinquent payment is less than $100 or the amount owed has been delinquent for less than 60 calendar days from the final filing date specified on the DR 460, Vending Facility Announcement (Rev. 09/09).
(f) The BEP shall mail a DR 461, Notification of Selection Committee for Vending Facilities Meeting (Rev. 09/09), incorporated by reference herein, to each qualified applicant. This notice shall be sent at least 15 calendar days before the date of the interview specified in the notice. A scheduled time for a walkthrough of the available vending facility by prospective vendors shall be included in the notice, and the walkthrough shall occur at least seven days before the interview date specified in the notice. The BEP may schedule the walkthrough of the available vending facility, after consultation with the CVPC.
(g) The DR 461, Notification of Selection Committee for Vending Facilities Meeting (Rev. 09/09) must include, but is not limited to, the following information:
(1) The status of the application (i.e., accepted/qualified or rejected/disqualified). If the application is rejected, the reason(s) for rejection shall be stated, including, but not limited to: failure to meet the requirements of subsection (b) herein, absent a waiver specified in subsection (c) herein, or grounds specified in subsections (d) and (e) herein.
(2) Notice that any applicant may withdraw his or her application by notifying the Selection Coordinator in writing no later than five calendar days before the scheduled date for the Selection Committee for Vending Facilities Meeting.
(3) The date and time for the walkthrough specified in (f) herein.
(4) The date, time, and location of the Selection Committee for Vending Facilities Meeting, including the time of the applicant's interview.
(5) Notice that a vendor who is an applicant may not participate in a selection interview unless he or she pays any delinquent or outstanding payments as specified in subsection (e) herein, or files any delinquent or outstanding DR478, Vendor's Monthly Operating Report (Rev. 07/07).
(h) If the applicant does not appear at the date and time specified on the DR 461, Notification of Selection Committee for Vending Facilities Meeting (Rev. 09/09) and fails to give the notification specified in subsection (g)(2) herein, the applicant shall be subject to the restrictions specified in Section 7214.4(a) of these regulations.
NOTE

Authority cited: 20 USC Section 107b(5); 34 CFR Section 395.4; and Sections 19006, 19016 and 19639, Welfare and Institutions Code. Reference: 20 USC Sections 107, 107a(a)(5), 107a(b), 107a(e), 107b(3) and 107b-1(3); 34 CFR Sections 395.1(i), 395.2, 395.3(a)(4), 395.5, 395.7, 395.9 and 395.14(b); and Sections 19011, 19625, 19629 and 19638(b), Welfare and Institutions Code. 
HISTORY

1. New section filed 9-22-2009; operative upon the approval of the Secretary of the United States Department of Education, in accordance with title 34, Code of Federal Regulations, section 395.4(a) (Register 2009, No. 39).
2. Approved by the Secretary of the United States Department of Education in accordance with section 395.4(a) of title 34 of the Code of Federal Regulations on 6-2-2010; operative 9-15-2010 pursuant to section 7210(b)(2) of title 9 of the California Code of Regulations (Register 2010, No. 39).
§7214.2. Resume and Business Plan.
Note     •     History

(a) As part of the selection interview process specified in Section 7214.4 of these regulations, a qualified applicant shall submit a resume and a business plan for each vending facility he or she is applying to operate. 
(1) The resume shall provide information about the applicant's education and experience that is relevant to the operation of a vending facility. 
(2) The business plan shall include a description of the business, vision and mission statements, plans for staffing and operating the facility, hours of operation, the proposed menu and items for sale, and other relevant matters that demonstrate how the vendor envisions the business will function. 
(b) All resumes and business plans shall be prepared using type with at least a 14-point font.
(1) Four copies of both the resume and the business plan must be submitted to the Selection Coordinator, as defined in Section 7211(a)(41) of these regulations, before the selection interview. The resume and the business plan may be submitted to the Business Enterprises Program for the Blind (BEP) by U.S. Postal Service mail. If this method of submittal is used, the submittal must be postmarked five days before the selection interview with the Selection Committee for Vending Facilities. If the submittal is not mailed, it may be hand delivered at the beginning of the selection interview during the Selection Committee for Vending Facilities Meeting. 
NOTE

Authority cited: 20 USC Section 107b(5); 34 CFR Section 395.4; and Sections 19006, 19016 and 19639, Welfare and Institutions Code. Reference: 20 USC Sections 107, 107a(a)(5), 107a(b) and 107a(e); 34 CFR Sections 361.5(b)(5), 395.2, 395.3(a)(7), 395.5 and 395.7; and Sections 19011, 19013.5(b) and 19625, Welfare and Institutions Code. 
HISTORY

1. New section filed 9-22-2009; operative upon the approval of the Secretary of the United States Department of Education, in accordance with title 34, Code of Federal Regulations, section 395.4(a) (Register 2009, No. 39).
2. Approved by the Secretary of the United States Department of Education in accordance with section 395.4(a) of title 34 of the Code of Federal Regulations on 6-2-2010; operative 9-15-2010 pursuant to section 7210(b)(2) of title 9 of the California Code of Regulations (Register 2010, No. 39).
§7214.3. Selection Committee for Vending Facilities; Selection Coordinator; Committee Chairperson; Selection Process.
Note     •     History

(a) The selection of a licensee or vendor to operate a vending facility shall be made by a Selection Committee for Vending Facilities, as defined in Section 7211(a)(40) of these regulations. The Selection Committee for Vending Facilities shall consist of three representatives of the contracting agency, as defined in Section 7211(a)(12) of these regulations, unless a written waiver stating that the Selection Committee for Vending Facilities shall consist of less than three representatives has been signed by the individual responsible for representing the contracting agency. If the contracting agency chooses not to be represented, the Selection Committee for Vending Facilities members shall be individuals with administrative or managerial experience in food service recruited by the Business Enterprises Program for the Blind, herein BEP, who do not work for the BEP.
(1) The contracting agency may reverse its decision not to be represented until such time as all three members of the Selection Committee for Vending Facilities recruited by the BEP have agreed to serve.
(b) Members of the Selection Committee for Vending Facilities shall:
(1) Be present at each applicant selection interview.
(2) Comply with any instructions from the Selection Coordinator and the Selection Committee Chairperson.
(3) Ask only questions developed by the Selection Committee and approved by the Selection Coordinator.
(4) Score each applicant fairly and consistently.
(5) Not solicit opinions from the Selection Coordinator regarding a particular applicant. 
(6) Not discuss the scores of any applicant prior to announcement of the results of the selection process. Any contacts with applicants following selection interviews shall only be made by the Selection Coordinator.
(c) The Selection Coordinator, as defined in Section 7211(a)(41) of these regulations, shall serve as a non-scoring facilitator and coordinator for the Selection Committee for Vending Facilities. The Selection Coordinator shall:
(1) Contact a representative of the contracting agency and request the contracting agency identify the person who shall serve as the Selection Committee for Vending Facilities Chairperson and assist in establishing the Selection Committee for Vending Facilities.
(2) If the contracting agency declines to participate in the selection process, assist in the recruitment of Selection Committee for Vending Facilities members and, if necessary, assist members to select a Chairperson.
(3) Provide orientation to Selection Committee for Vending Facilities members and provide any needed materials. 
(4) Not offer any opinions as to any applicants at any time.
(5) Prior to the commencement of selection interviews, advise members of the Selection Committee for Vending Facilities that the selection process must remain confidential, and that members may not discuss the substance of selection interviews of applicants with anyone either during or after the completion of the selection process, except other members of the Selection Committee for Vending Facilities, and that the applicant selected is not to be discussed with anyone other than members of the Selection Committee for Vending Facilities until results are released under conditions specified in subsection (d) herein.
(6) Prior to the commencement of selection interviews, advise applicants that:
(A) All information contained in the applicant's resume and business plan and any other statements made by the applicant during the selection interview are subject to confirmation by the contracting agency prior to a final decision by the Selection Committee for Vending Facilities.
(B) Each applicant's selection interview is being recorded by the Department for administrative purposes. 
(C) On request, the Department shall record the applicant's selection interview for his or her personal use. The applicant must provide a blank cassette tape for this purpose.
(D) If the applicant later requests an administrative review and/or a full evidentiary hearing and requests copies of recorded selection interviews, the Department shall provide only his or her recorded interview.
(7) Be present during all selection interviews of applicants.
(8) Call each applicant into the selection interview room and introduce the applicant to the Selection Committee for Vending Facilities members. Any member from the contracting agency shall be identified by name and position title.
(9) Provide and operate a tape recorder and record all selection interviews for the Department and at the request of an applicant.
(10) Ensure that all applicants are asked the same questions and advise members of the Selection Committee for Vending Facilities when they ask an inappropriate question that cannot be permitted.
(11) Clarify conditions and requirements that apply to the vending facility for which applicants are competing, as necessary.
(12) Assure that applicants do not present any materials or persons prohibited pursuant to Section 7214.4(g) of these regulations.
(13) At the conclusion of the selection interviews, verify computations of scores assigned to applicants by members of the Selection Committee for Vending Facilities and record those scores for approval by the Chairperson.
(d) After all applicants scores have been recorded and approved by the Chairperson of the Selection Committee for Vending Facilities, the Selection Coordinator shall provide the following information to each applicant who was interviewed:
(1) His or her total score and placement in the selection interviews;
(2) The name of the applicant selected; and
(3) A copy of the list of applicant scores and placements without identifying the applicants in relation to the scores. 
(e) Duties of the Chairperson of the Selection Committee for Vending Facilities shall include the following:
(1) Ensure that the selection interview schedule is maintained. Selection interviews shall be limited to one hour for each applicant unless the Selection Committee for Vending Facilities members determine a longer period is needed before the first selection interview and each applicant is given the same opportunity. 
(2) Provide the applicant with the opportunity to state his or her relevant education and experience and discuss his or her overall plan to manage the vending facility, including the business plan, and ask standard questions developed by the Selection Committee for Vending Facilities. 
(3) Ask the questions developed prior to the interviews by the Selection Committee for Vending Facilities.
(4) Ensure that each member of the Selection Committee for Vending Facilities has the opportunity to ask the questions he or she has selected from a list of predetermined interview questions, as well as other questions that arise during the selection interview that pertain to the operation of the vending facility.
(5) Ensure that all questions asked of the applicant are relevant to the applicant's education, experience, or plans for the operation of the vending facility. 
(6) Provide the applicant with the opportunity to give a closing statement.
(7) Provide the contracting agency with time to perform any independent confirmation of an applicant's experience or other information on the applicant's resume and conduct any criminal and substance abuse background checks, if deemed necessary, prior to selection of the applicant.
(8) Record the scores of each applicant. The Chairperson shall review the scores with the Selection Coordinator before concluding the selection interview process. Any applicant who is rejected by the contracting agency pursuant to subsection (e)(7) herein shall be notified by the Chairperson of the Selection Committee for Vending Facilities that he or she has been eliminated from the selection process for good cause, as determined by the contracting agency.
NOTE

Authority cited: 20 USC Section 107b(5); 34 CFR Section 395.4; and Sections 19006, 19016 and 19639, Welfare and Institutions Code. Reference: 20 USC Sections 107b(6) and 107d-1(a); 34 CFR Sections 395.2, 395.3(a)(7) and 395.13; and Sections 19011 and 19635, Welfare and Institutions Code. 
HISTORY

1. New section filed 9-22-2009; operative upon the approval of the Secretary of the United States Department of Education, in accordance with title 34, Code of Federal Regulations, section 395.4(a) (Register 2009, No. 39).
2. Approved by the Secretary of the United States Department of Education in accordance with section 395.4(a) of title 34 of the Code of Federal Regulations on 6-2-2010; operative 9-15-2010 pursuant to section 7210(b)(2) of title 9 of the California Code of Regulations (Register 2010, No. 39).
§7214.4. Selection Interviews of Applicants.
Note     •     History

(a) Each qualified applicant is required to appear for a selection interview on the date and at the time and location specified on the DR 461, Notification of Selection Committee for Vending Facilities Meeting (Rev. 09/09), incorporated by reference herein. Any applicant who does not appear for the selection interview on the date and at the time and location in the notice, and who has not submitted a written notice of withdrawal in accordance with these regulations, shall be disqualified from:
(1) Participation in the selection interview process; and
(2) Applying for a vending facility for 183 calendar days from the date he or she last failed to appear.
(b) Depending on the number of qualified applicants and interviews to be scheduled, the Selection Committee for Vending Facilities Meeting may be conducted over two or more days.
(c) If the Selection Committee for Vending Facilities is comprised only of representatives from the contracting agency, then all qualified applicants shall be interviewed and scored by the same committee members. The BEP shall encourage the contracting agency to have at least three members on the Selection Committee for Vending Facilities. 
(d) If the Selection Committee for Vending Facilities is comprised of representatives recruited by the Business Enterprises Program for the Blind (BEP) and fewer than three members are present during an interview on any given day, but the Selection Committee for Vending Facilities wishes to conduct the selection interviews, the interviews scheduled for that day shall be conducted. In such case, applicant scores shall be assigned in accordance with subsection (e) (1) herein.
(e) All three members of the Selection Committee for Vending Facilities are expected to be present and participate in selection interviews of all applicants, except that:
(1) When a member who is present is not present for the entire interview of an applicant or is unable to assess and score an applicant fairly and impartially, that member shall withdraw from all selection interviews and that member's score shall not be recorded for any of the applicants. The remaining two committee members shall be the scores all of the applicants in the selection process. 
(f) The BEP shall request that the California Vendors Policy Committee (CVPC) provide a delegate or a CVPC representative to attend and observe selection interviews of applicants. The role of the CVPC delegate is strictly limited to that of an observer, and the CVPC delegate or representative does not participate in the selection process.
(1) The CVPC delegate or representative shall not discuss the substance of applicant selection interviews with any of the applicants or any other person either during or after completion of the selection process.
(2) Any applicant may request that the CVPC delegate or representative not observe his or her selection interview.
(g) With the exception of a resume and business plan described in Section 7214.2 of these regulations and personal notes, the applicant is prohibited from bringing any reference materials or displays into the selection interview and is prohibited from presenting any other materials to the Selection Committee for Vending Facilities. The applicant is prohibited from bringing persons acting as references or spokespersons into the selection interview.
(h) No applicant shall be questioned about his or her disability or disabilities during the selection interview.
(i) Members of the Selection Committee for Vending Facilities shall score each applicant on the member's DR 463, Selection Committee for Vending Facilities Rating Report (Rev. 07/07), incorporated by reference herein. At the conclusion of the selection interviews, completed reports from each member shall be forwarded to the Selection Coordinator. 
(j) The Selection Committee for Vending Facilities shall score each applicant based upon:
(1) A resume that describes the applicant's education and experience relevant to the operation of a vending facility, as required by Section 7214.2(a) of these regulations. 
(2) A business plan as required by Section 7214.2(a) of these regulations.
(3) Opening and closing statements and responses to questions asked during the selection interview process. 
(k) The Selection Committee for Vending Facilities shall select the applicant with the highest total score to operate the announced vending facility. The contracting agency shall determine if they wish to verify information submitted to the Selection Committee for Vending Facilities prior to making a decision to permit the establishment of a vending facility on property owned, leased, rented, or otherwise controlled or occupied by the contracting agency. After the contracting agency verifies any information provided, the Selection Coordinator shall contact the applicant with the highest score and advise the applicant of his or her selection to operate the announced vending facility. Such applicant has three working days from the date he or she is notified of being selected to operate the announced vending facility to accept or reject the announced vending facility. If the selected applicant rejects the announced vending facility, the Selection Committee for Vending Facilities shall select the applicant with the next highest total score to operate the announced vending facility.
(l) After the selection of an applicant is made, the Selection Coordinator may provide information specified in Section 7214.3(d) of these regulations to any applicant who was interviewed by the Selection Committee for Vending Facilities.
(m) The licensee or vendor selected to operate the announced vending facility shall be provided with a vendor's operating agreement, which shall include the permit or contract for the vending facility as an exhibit thereof, for the announced vending facility he or she has been selected to operate. The BEP shall also provide the vendor operating agreement, including exhibits thereof, in the vendor's preferred mode of communication, to the extent possible.
(n) The licensee or vendor selected to operate the vending facility must agree to abide by the terms and conditions for operation of the vending facility, as set forth in the vendor's operating agreement, and sign and return the agreement to the BEP within 10 working days of receipt. 
(1) Failure to sign the vendor's operating agreement shall be considered good cause for rejecting the licensee or vendor selected to operate the announced vending facility and awarding that vending facility to the next highest scoring applicant. 
NOTE

Authority cited: 20 USC Section 107b(5); 34 CFR Section 395.4; and Sections 19006, 19016 and 19639, Welfare and Institutions Code. Reference: 20 USC Sections 107, 107(a)(5), 107(b), 107(e) and 107b-1(3); 34 CFR Sections 395.1(i), 395.2, 395.3(a)(4), 395.3(a)(7), 395.5, 395.7 and 395.14(b); and Sections 19011, 19625 and 19638(b), Welfare and Institutions Code. 
HISTORY

1. New section filed 9-22-2009; operative upon the approval of the Secretary of the United States Department of Education, in accordance with title 34, Code of Federal Regulations, section 395.4(a) (Register 2009, No. 39).
2. Approved by the Secretary of the United States Department of Education in accordance with section 395.4(a) of title 34 of the Code of Federal Regulations on 6-2-2010; operative 9-15-2010 pursuant to section 7210(b)(2) of title 9 of the California Code of Regulations (Register 2010, No. 39).
§7214.5. Food Service Contracts; Interviews; Selection of a Vendor. [Reserved]

§7214.6. Other Methods of Selection; Management Interviews.
Note     •     History

(a) When the Business Enterprises Program for the Blind, herein BEP, announces the availability of a vending facility by preparing and circulating a DR 460, Vending Facility Announcement (Rev. 09/09), incorporated by reference herein, and there are fewer than three applicants, selection of a licensee or vendor shall be determined through interviews scheduled by the BEP and conducted by the contracting agency.
(1) If the contracting agency chooses not to conduct the management interviews, the BEP shall work with the contracting agency to select an independent party to conduct the interviews.
(2) A Selection Coordinator shall be present at all interviews in person or by telephone.
(b) The licensee or vendor must meet all of the application requirements set forth in Section 7214.1 of these regulations to be a qualified applicant and participate in the management interviews.
(c) The contracting agency may reject any applicant.
(1) If the contracting agency rejects all applicants, the DR 460, Vending Facility Announcement (Rev. 09/09) shall be re-circulated.
(2) If the announcement is re-circulated, and either there are no applicants or all the applicants have previously been rejected by the contracting agency, the vending facility shall be announced as available to be added as a satellite site to a vendor's existing site(s).
(d) The BEP may consider combining or consolidating the available site and one or more other existing and available sites only if:
(1) No licensees and vendors who apply to operate the vending facility as a primary site, or who apply to operate the vending facility as a satellite site, meet the application requirements established in subsection (b) herein; or
(2) The contracting agency rejects all applicants who have applied to operate the vending facility pursuant to subsection (b) herein; and
(3) The vending facility established by combining or consolidating two or more existing and available sites produces, or is likely to produce, an adequate net income as defined in Section 7211(a)(2) of these regulations.
NOTE

Authority cited: 20 USC Section 107b(5); 34 CFR Section 395.4; and Sections 19006, 19016 and 19639, Welfare and Institutions Code. Reference: 20 USC Sections 107, 107a(a)(5), 107a(b), 107a(e) and 107b-1(3); 34 CFR Sections 395.1(i), 395.2, 395.3(a)(4), 395.3(a)(7), 395.5, 395.7 and 395.14(b); and Sections 19011, 19625, 19626, 19631 and 19638(b), Welfare and Institutions Code. 
HISTORY

1. New section filed 9-22-2009; operative upon the approval of the Secretary of the United States Department of Education, in accordance with title 34, Code of Federal Regulations, section 395.4(a) (Register 2009, No. 39).
2. Approved by the Secretary of the United States Department of Education in accordance with section 395.4(a) of title 34 of the Code of Federal Regulations on 6-2-2010; operative 9-15-2010 pursuant to section 7210(b)(2) of title 9 of the California Code of Regulations (Register 2010, No. 39).
§7214.7. [Reserved]

§7214.8. Vendor Resignation from a Vending Facility to Accept a Different Vending Facility.
Note     •     History

(a) A vendor who is currently operating a vending facility and applies for and is selected to operate a different vending facility must formally resign from the vending facility he or she is currently operating. A vendor is prohibited from operating two vending facilities concurrently, except as provided for in Section 7215 of these regulations. A vendor, when resigning from a vending facility, is resigning from the primary site and any satellite sites within that vending facility. 
(b) To resign a vending facility he or she is currently operating, a vendor must sign a DR 1310, Vendor Resignation (Rev. 07/07), incorporated by reference herein, and state the effective date of his or her resignation from the vending facility he or she is currently operating. The effective date of the vendor's resignation is subject to approval by the Business Enterprises Program for the Blind (BEP) Manager, who shall determine how to transition the vendor to a different vending facility.
(c) A vendor who resigns from the vending facility he or she is currently operating, and then decides he or she wants to return, may do so only if a DR 460, Vending Facility Announcement (Rev. 09/09), incorporated by reference herein, announcing the availability of the vendor's former vending facility, has not yet been issued by the BEP and circulated to licensees and vendors.
(d) A vendor's failure to submit a DR 1310, Vendor Resignation (Rev. 07/07) from his current vending facility before or concurrently with the executed operating agreement for the announced vending facility shall result in the vendor being disqualified as the selected vendor for the announced vending facility.
(e) This section does not apply to:
(1) A vendor who applies for and is selected to operate a vending facility that shall be combined or consolidated with the vendor's existing sites; or 
(2) A vendor who applies for and is selected to operate an interim vending facility, as described in Section 7215 of these regulations.
NOTE

Authority cited: 20 USC Section 107b(5); 34 CFR Section 395.4; and Sections 19006, 19016 and 19639, Welfare and Institutions Code. Reference: 20 USC Sections 107, 107a(a)(5), 107a(b) and 107a(e); 34 CFR Sections 395.1(i), 395.2, 395.3(a)(7), 395.5 and 395.7; and Sections 19011, 19625 and 19626, Welfare and Institutions Code. 
HISTORY

1. New section filed 9-22-2009; operative upon the approval of the Secretary of the United States Department of Education, in accordance with title 34, Code of Federal Regulations, section 395.4(a) (Register 2009, No. 39).
2. Approved by the Secretary of the United States Department of Education in accordance with section 395.4(a) of title 34 of the Code of Federal Regulations on 6-2-2010; operative 9-15-2010 pursuant to section 7210(b)(2) of title 9 of the California Code of Regulations (Register 2010, No. 39).
Article 6. Interim Vending Facilities--Application; Selection; Placement
§7215. Placing a Vending Facility into Interim Operation.
Note     •     History

(a) The Business Enterprises Program for the Blind (BEP) may place a vending facility, whether comprised of one site or two or more sites combined or consolidated, into interim operation under any circumstances in which it is determined by the BEP Manager to be in the best interests of the BEP.
(b) The BEP may renew an interim vending facility more than once. An interim vending facility may be renewed only for as long as it takes for BEP to fill an unexpected vacancy. During the period of time the vending facility is being operated on an interim basis, the BEP shall decide whether the facility is to be announced as a vending facility on one site, or a combined or consolidated vending facility, as defined in Section 7211(a)(11) of these regulations, and to announce the vending facility as available to be operated on a permanent basis, as provided in Article 5 of these regulations, and select a vendor. The BEP Manager shall provide the California Vendors Policy Committee with written notification of a renewal at least 30 calendar days prior to the renewal of an interim operating facility. 
NOTE

Authority cited: 20 USC Section 107b(5); 34 CFR Section 395.4; and Sections 19006, 19016 and 19639, Welfare and Institutions Code. Reference: 20 USC Sections 107, 107a(a)(5), 107a(b), 107a(e) and 107b-1(3); 34 CFR Sections 395.1(i), 395.2, 395.3(a)(4), 395.5, 395.7 and 395.14(b); and Sections 19011, 19625, 19626 and 19638(b), Welfare and Institutions Code. 
HISTORY

1. New article 6 (sections 7215-7215.1) and section filed 9-22-2009; operative upon the approval of the Secretary of the United States Department of Education, in accordance with title 34, Code of Federal Regulations, section 395.4(a) (Register 2009, No. 39). For prior history of section 7215, see Register 93, No. 6. 
2. Approved by the Secretary of the United States Department of Education in accordance with section 395.4(a) of title 34 of the Code of Federal Regulations on 6-2-2010; operative 9-15-2010 pursuant to section 7210(b)(2) of title 9 of the California Code of Regulations (Register 2010, No. 39).
§7215.1. Interim Vending Facility; Announcement; Interviews; Selection of a Vendor.
Note     •     History

(a) The Business Enterprises Program for the Blind (BEP) shall announce the availability of an interim vending facility by issuing a DR 460, Vending Facility Announcement (Rev. 09/09), incorporated by reference herein. At least five calendar days prior to the deadline for submitting applications, the BEP shall post the announcement on the Department's website, record the announcement on a telephone based information system that is available to licensees and vendors, and provide the announcement to the California Vendors Policy Committee. Upon request, the BEP shall also provide the announcement in an appropriate mode of communication, to the extent possible, consistent with Code of Federal Regulations, title 34, part 361.5(b)(5) and Welfare and Institutions Code section 19013.5(b). Such modes of communication may include providing the announcement in large print, Braille, on audiotape, 3.5” diskette, or compact disk, and transmitting announcement electronically.
(b) To apply for an interim vending facility, a licensee or vendor must submit a DR 462, Vending Facility Application (Rev. 07/07), incorporated by reference herein, by the deadline listed in the announcement.
(c) For purposes of selecting a licensee or vendor to operate an interim vending facility, the BEP shall determine the qualifications of licensees and vendors based on the following:
(1) A licensee's or vendor's performance during training and/or related work experience; and
(2) A vendor's efficient operation and management of his or her current vending facility, as evidenced by submission of DR 478, Vendor's Monthly Operating Reports (Rev. 07/07), incorporated by reference herein, and payment of any and all financial obligations to the BEP arising from the operation of his or her vending facility in accordance with these regulations.
(d) Based on the information specified in (c) herein, the BEP shall make every effort to refer at least three licensees or vendors to the contracting agency for interviews and selection of an interim vendor. If the licensee or vendor selected rejects placement in the interim vending facility, the interim vending facility shall be offered successively to each of the licensees and vendors who were assessed pursuant to (c) herein, beginning with the licensee or vendor with the next highest ranking.
(e) If the contracting agency does not wish to participate in the selection process, the BEP Manager shall select the interim vendor, based on the assessment specified in subsection (c) herein.
NOTE

Authority cited: 20 USC Section 107b(5); 34 CFR Section 395.4; and Sections 19006, 19016 and 19639, Welfare and Institutions Code. Reference: 20 USC Sections 107, 107a(a)(5), 107a(b) and 107a(e); 34 CFR Sections 361.5(b)(5), 395.1(i), 395.2, 395.3(a)(4), 395.3(a)(7), 395.5, 395.7 and 395.14(b); and Sections 19011, 19013.5(b), 19625, 19626 and 19638(b), Welfare and Institutions Code. 
HISTORY

1. New section filed 9-22-2009; operative upon the approval of the Secretary of the United States Department of Education, in accordance with title 34, Code of Federal Regulations, section 395.4(a) (Register 2009, No. 39).
2. Approved by the Secretary of the United States Department of Education in accordance with section 395.4(a) of title 34 of the Code of Federal Regulations on 6-2-2010; operative 9-15-2010 pursuant to section 7210(b)(2) of title 9 of the California Code of Regulations (Register 2010, No. 39).
Article 7. Standards for the Establishment and Operation of Vending Facilities
§7216. Establishing a New Vending Facility.
Note     •     History

(a) The Business Enterprises Program for the Blind, hereafter BEP, vending facilities shall be established in accordance with the following:
(1) On federal property in accordance with federal law (20 USC Section 107 et seq.) and regulations (34 CFR Part 395). A person who is blind, as defined in Welfare and Institutions Code section 19153, licensed by the BEP shall be given priority in the operation of vending facilities on federal property consistent with 20 United States Code sections 107 and 107d-3(e) and 34 Code of Federal Regulations parts 395.30, 395.31, and 395.33.
(2) On state property in accordance with Welfare and Institutions Code section 19625 et seq. A blind person licensed by the BEP shall be given priority in the operation of vending facilities on state property consistent with Welfare and Institutions Code sections 19625 and 19627.
(b) The Department shall encourage the establishment of vending facilities on property owned or controlled privately, or by any county, city, city and county, or other political subdivision consistent with Welfare and Institutions Code section 19625(c). 
(c) The Department shall seek to establish a new vending facility on federal, state or other property only if the Department first determines that a vending facility is feasible. The Department shall consult with the California Vendors Policy Committee, herein CVPC, when evaluating whether a vending facility is feasible. Upon determining that a vending facility is feasible, the Department shall apply for a permit for the operation of a BEP vending facility with the agency or persons having care, control, or custody of the property on which the vending facility is located. In determining feasibility of a vending facility the Director shall consider, but is not limited to, all of the following:
(1) The number of employees in the building or on the federal, state or other property; 
(2) The size, in square feet, of the area leased, occupied, owned, or otherwise controlled by the contracting agency;
(3) The length of time the property will be leased or occupied by the contracting agency; 
(4) Whether the establishment of a vending facility would adversely affect the interest of the state;
(5) The likelihood the vending facility will produce adequate net income, as defined in Section 7211(a)(2) of these regulations, for a blind vendor as provided in Welfare and Institutions Code section 19631.
(d) When the Department receives written notice from the federal General Services Administration or California Department of General Services describing federal or state department or agency plans to occupy, acquire, renovate, or relocate a property, the Department shall review the notice within 30 calendar days of receipt and, if appropriate, respond to the notice expressing interest in establishing a vending facility on such property. The Department shall consider all of the factors identified subdivision (c) of this section to determine whether the property includes, or will include, a site that is feasible for the establishment of a vending facility. 
(e) Any decision that the placement or operation of a vending facility is not feasible, or that placement or operation would adversely affect the interests of the state shall be in writing, and shall be made available to the California Vendors Policy Committee, hereafter CVPC. Where the placement or operation of a vending facility is not feasible, the Department shall not issue a waiver permanently exempting the site or location from the priority established by the Randolph-Sheppard Act (20 USC 107 et seq.).
(f) If the BEP determines, based on factors specified in subsection (c) of this section, not to establish a vending facility on a property, the BEP may contract with a commercial vending purveyor to provide vending machine services on the property. 
(g) When establishing a new vending facility, the BEP, in consultation with the contracting agency, shall determine what type of vending facility, as defined in section 7211(a)(54) of these regulations, shall be established on the property. 
(h) BEP shall assign a facility number to the newly established vending facility immediately upon its being identified as a feasible site, in accordance with subdivision (c) of this section.
(i) After the establishment of a vending facility, the BEP Manager may re-evaluate the income and expenses of the vending facility and approve a change in the type of vending facility in consultation with the contracting agency and the California Vendors Policy Committee.
NOTE

Authority cited: 20 USC Section 107b(5); 34 CFR Section 395.4; and Sections 19006, 19016 and 19639, Welfare and Institutions Code. Reference: 20 USC Sections 107, 107(b)(2), 107b-1(3) and 107d-3(e); 34 CFR Sections 395.1(q), 395.3(a)(3), 395.3(a)(4), 395.14(b), 395.30, 395.31 and 395.33; and Sections 19011, 19153, 19625, 19627, 19631 and 19638(b), Welfare and Institutions Code. 
HISTORY

1. New article 7 and renumbering and amendment of former section 7214 to section 7216 and amendment of Note and renumbering of former section 7216 to section 7218 filed 2-4-93; operative 3-8-93 (Register 93, No. 6).
2. Amendment of section heading, repealer and new section and amendment of Note filed 9-22-2009; operative upon the approval of the Secretary of the United States Department of Education, in accordance with title 34, Code of Federal Regulations, section 395.4(a) (Register 2009, No. 39).
3. Approved by the Secretary of the United States Department of Education in accordance with section 395.4(a) of title 34 of the Code of Federal Regulations on 6-2-2010; operative 9-15-2010 pursuant to section 7210(b)(2) of title 9 of the California Code of Regulations (Register 2010, No. 39).
§7216.1. Combining or Consolidating Two or More Sites Into a Vending Facility.
Note     •     History

(a) The Business Enterprises Program for the Blind, hereafter BEP, may combine or consolidate two or more sites into a vending facility, one of which is a primary site, as defined in Section 7211(a)(36) of these regulations, and others that are satellite sites, as defined in Section 7211(a)(38), when it has determined that such a combination of sites is likely to produce, within a reasonable period of time, an adequate net income as defined in section 7211(a)(2) of these regulations. A vending facility cannot be considered for combining or consolidation if it would result in displacing the vendor presently operating that vending facility.
(b) The BEP may create a vending facility by combining or consolidating:
(1) Two or more prospective sites;
(2) Prospective site(s) with an established site(s); or
(3) Two or more established sites;
(c) The vending facilities that comprise a vending facility specified in (b) of this section must be within 50 miles of each other. For the purposes of this subdivision, vending machine facilities shall not be required to be within 50 miles of the other vending facilities that comprise the single vending facility. The BEP Manager, after consultation with the California Vendors Policy Committee, herein CVPC, may permit vending facilities that comprise the single vending facility specified in (b) of this section to be more than 50 miles from the other vending facilities that comprise the single vending facility. 
(d) The BEP shall announce the availability of a newly created single vending facility in accordance with section 7214 of these regulations. A facility number, as defined in section 7211(a)(21) of these regulations, shall be assigned to the combined or consolidated vending facility at that time. A licensee or vendor shall be selected to operate the vending facility in accordance with Article 5 of this chapter. 
(e) The BEP Manager, with the active participation of the California Vendors Policy Committee, hereafter CVPC, shall identify which site shall be considered to be the primary site, as defined in section 7211(a)(36) of these regulations, and which site(s) shall be considered to be satellite site(s), as defined in section 7211(a)(38) of these regulations.
NOTE

Authority cited: 20 USC Section 107b(5); 34 CFR Section 395.4; and Sections 19006, 19016 and 19639, Welfare and Institutions Code. Reference: 20 USC Section 107b-1(3); 34 CFR Sections 395.3(a)(4) and 395.14(b); and Sections 19011, 19626, 19631 and 19638(b), Welfare and Institutions Code. 
HISTORY

1. New section filed 9-22-2009; operative upon the approval of the Secretary of the United States Department of Education, in accordance with title 34, Code of Federal Regulations, section 395.4(a) (Register 2009, No. 39).
2. Approved by the Secretary of the United States Department of Education in accordance with section 395.4(a) of title 34 of the Code of Federal Regulations on 6-2-2010; operative 9-15-2010 pursuant to section 7210(b)(2) of title 9 of the California Code of Regulations (Register 2010, No. 39).
§7216.2. Vending Facility Closure.
Note     •     History

(a) A vending facility may be closed when any of the following have occurred:
(1) The vending facility has been announced as available for operation twice, and no licensees or vendors have applied to operate the vending facility either as a vending facility on one site or as a vending facility to be combined or consolidated with one or more other vending facilities on different sites. 
(2) The minimum projected net income of the vending facility does not meet the standards for adequate net income, as defined in section 7211(a)(2) of these regulations.
(3) The contracting agency cancels the permit or contract with the Business Enterprises Program for the Blind, hereafter BEP.
(4) Efforts by the BEP to change the type of vending facility do not result in licensees or vendors applying to operate the vending facility.
(5) Efforts by the BEP to combine or consolidate the vending facility with one or more other vending facilities, consistent with section 7216.1 of these regulations are unsuccessful. 
(b) The decision to close a vending facility shall be made by the BEP Manager, with the active participation of the California Vendors Policy Committee, hereafter CVPC, considering factors specified in subsection (a) of this section and whether the site is feasible in accordance with Section 7216(c) of these regulations.
NOTE

Authority cited: 20 USC Section 107b(5); 34 CFR Section 395.4; and Sections 19006, 19016 and 19639, Welfare and Institutions Code. Reference: 20 USC Section 107b-1(3); 34 CFR Sections 395.1(o), 395.1(q), 395.3(a)(4), 395.14(b), 395.16, 395.34 and 395.35; and Sections 19011, 19627(h) and 19638(b), Welfare and Institutions Code.
HISTORY

1. New section filed 9-22-2009; operative upon the approval of the Secretary of the United States Department of Education, in accordance with title 34, Code of Federal Regulations, section 395.4(a) (Register 2009, No. 39).
2. Approved by the Secretary of the United States Department of Education in accordance with section 395.4(a) of title 34 of the Code of Federal Regulations on 6-2-2010; operative 9-15-2010 pursuant to section 7210(b)(2) of title 9 of the California Code of Regulations (Register 2010, No. 39).
§7217. Equipment.
Note     •     History

(a) BEP shall determine the need and provide equipment for the vending facility, in consultation with the vendor whenever possible. 
(b) The title to vending facility equipment provided by BEP is vested in BEP.
(c) Upon termination of the operating agreement and/or license, the vendor shall surrender BEP-owned equipment to its lawful owner in the condition in which it was received, reasonable wear and tear excepted. BEP shall assess the equipment to determine its condition. If equipment is removed/replaced, the equipment inventory shall be adjusted, as appropriate and provided to the new vendor. The vendor shall remove his/her vendor-owned equipment from the vending facility at his/her expense.
(d) The vendor shall acknowledge receipt of the equipment provided by the BEP as part of the operating agreement.
(e) The vendor shall use the equipment furnished by the BEP and/or agency named in the permit only for the purpose of the permit. The vendor shall exercise whatever care is necessary to preserve and maintain the equipment in good condition.
(f) The BEP shall provide all necessary repairs and replacement of BEP-owned equipment. The vendor shall promptly inform the BEP of the need for equipment repairs or replacement. The vendor shall contact his/her BEC to report equipment malfunction/failure. Upon notification by the vendor of the need for equipment maintenance, the BEC shall promptly authorize repair or replacement.
(g) The BEP shall phase-in the replacement of all BEP-owned equipment in accordance with the written replacement plan and subject to fund availability. Replacement shall occur within one year of the stated life expectancy, unless, after review of usage patterns and repair history, BEP determines that replacement should be either delayed or accelerated. Replacement may be delayed if a history of limited service problems can be demonstrated or may be accelerated if the equipment has a history of excessive mechanical failure.

	Item Description	Life Expectancy in Years

	Broiler, Electric	5
	Broiler, Gas	25
	Commercial Food Processor	10
	Cash Register	5
	Commercial Coffee Brewer	8
	Commercial Toaster	7
	Dishwasher, Above Counter, Rack	15
	Dishwasher, Belt	25
	Dishwasher, Under Counter, Rack	15
	Display Food Warmer	20
	Drinking Water Cooler	14
	Food Mixer	25
	Food Slicer	25
	Food Steamer	10
	Food Warming Drawer	25
	Fryer, Electric	8
	Fryer, Gas	8
	Garbage Disposal	8
	Griddle, Electric	10
	Griddle, Gas	15
	Ice Maker (Counter and Floor)	8
	Jet Spray Beverage Dispenser	6
	Merchandizing Freezer	11
	Oven, Convection	15
	Oven, Infra Red	10
	Oven, Microwave	5
	Oven, Rair	8
	Popcorn Machine	4
	Range, Electric	10
	Range, Gas	15
	Refrigerated Beverage Dispenser	8
	Refrigerated Salad Bar	12
	Refrigerated Sandwich/Salad Unit	10
	Refrigerator, Display	9
	Refrigerator, Household	10
	Refrigerator, Storage	11
	Salad Bar (no refrigeration)	13
	Steam Kettle	10
	Storage Freezer	13
	Vending Machine	7
	Ventilation Fan System	25
	Ventilation Fire Suppression System	25
	Yogurt Machine	8
	
(h) BEP-owned Equipment, which is tagged with an identifying number, shall not be added or removed within a vending facility without the consent of the BEP. The removal and replacement of equipment for repairs or maintenance must be authorized by the BEP in writing. The vendor shall not purchase, lease, borrow or contract for equipment or services for the vending facility without the authorization of the BEP. BEP may remove any BEP-owned equipment from the vending facility when BEP determines that it is not being properly used by the vendor. BEP shall give written notice of the intent to remove equipment seven calendar days prior to removal. The notice shall state what equipment is to be removed and the date of the removal. After equipment removal, the vendor shall be provided with a revised copy of the inventory for his/her facility.
(i) The vendor shall be responsible for maintaining vendor-owned equipment in good repair and attractive condition and for replacing worn-out or obsolete equipment.
(j) When a vendor dies or leaves the program, BEP shall have first option to purchase vendor-owned equipment at fair market value. BEP is not obligated to purchase vendor-owned equipment.
NOTE

Authority cited: Sections 19006, 19016, 19626.5 and 19639, Welfare and Institutions Code. Reference: Section 19626.5, Welfare and Institutions Code; Randolph-Sheppard Act, 20 USC 107b(5); and 34 CFR Sections 395.4, 395.6 and 395.10.
HISTORY

1. Renumbering and amendment of former section 7215 to section 7217 and amendment of Note and renumbering and amendment of former section 7217 to section 7219 filed 2-4-93; operative 3-8-93 (Register 93, No. 6).
§7217.1. Equipment Repair and Replacement
Note     •     History

(a) The vendor shall promptly inform the BEP of the need for equipment repairs or replacement. The vendor shall contact his/her BEC to report equipment malfunction/failure. Upon notification by the vendor of the need for equipment maintenance, the BEC shall promptly authorize repair.
(b) The title to vending facility equipment provided by BEP is vested in BEP.
(c) Upon termination of the operating agreement and/or license, the vendor shall surrender BEP-owned equipment to its lawful owner in the condition in which it was received, reasonable wear and tear excepted. BEP shall assess the equipment to determine its condition. If equipment is removed/replaced, the equipment inventory shall be adjusted, as appropriate and provided to the new vendor. The vendor shall remove his/her vendor-owned equipment from the vending facility at his/her expense.
(d) The vendor shall acknowledge receipt of the equipment provided by the BEP as part of the operating agreement.
(e) The vendor shall use the equipment furnished by the BEP and/or agency named in the permit only for the purpose of the permit. The vendor shall exercise whatever care is necessary to preserve and maintain the equipment in good condition.
(f) The BEP shall provide all necessary repairs and replacement of BEP-owned equipment. 
(g) The BEP shall phase-in the replacement of all BEP-owned equipment in accordance with the written replacement plan and subject to fund availability. Replacement shall occur within one year of the stated life expectancy, unless, after review of usage patterns and repair history, BEP determines that replacement should be either delayed or accelerated. Replacement may be delayed if a history of limited service problems can be demonstrated or may be accelerated if the equipment has a history of excessive mechanical failure.

	Item Description	Life Expectancy in Years

	Broiler, Electric	5
	Broiler, Gas	25
	Commercial Food Processor	10
	Cash Register	5
	Commercial Coffee Brewer	8
	Commercial Toaster	7
	Dishwasher, Above Counter, Rack	15 
	Dishwasher, Belt	25

	Dishwasher, Under Counter, Rack	15
	Display Food Warmer	20
	Drinking Water Cooler	14

	Food Mixer	25
	Food Slicer	25

	Food Steamer	10

	Item Description	Life Expectancy in Years

	Food Warming Drawer	25

	Fryer, Electric	8

	Fryer, Gas	8

	Garbage Disposal	8
	Griddle, Electric	10
	Griddle, Gas	15
	Ice Maker (Counter and Floor)	8
	Jet Spray Beverage Dispenser	6

	Merchandizing Freezer	11
	Oven, Convection	15
	Oven, Infra Red	10
	Oven, Microwave	5
	Oven, Rair	8
	Popcorn Machine	4
	Range, Electric	10
	Range, Gas	15
	Refrigerated Beverage Dispenser	8
	Refrigerated Salad Bar	2
	Refrigerated Sandwich/Salad Unit	10
	Refrigerator, Display	9
	Refrigerator, Household	10
	Refrigerator, Storage	11
	Salad Bar (no refrigeration)	13
	Steam Kettle	10
	Storage Freezer	13
	Vending Machine	7
	Ventilation Fan System	25
	Ventilation Fire Suppression System	25
	Yogurt Machine	8
	
(h) BEP-owned Equipment, which is tagged with an identifying number, shall not be added or removed within a vending facility without the consent of the BEP. The removal and replacement of equipment for repairs or maintenance must be authorized by the BEP in writing. The vendor shall not purchase, lease, borrow or contract for equipment or services for the vending facility without the authorization of the BEP. BEP may remove any BEP-owned equipment from the vending facility when BEP determines that it is not being properly used by the vendor. BEP shall give written notice of the intent to remove equipment seven calendar days prior to removal. The notice shall state what equipment is to be removed and the date of the removal. After equipment removal, the vendor shall be provided with a revised copy of the inventory for his/her facility.
(i) The vendor shall be responsible for maintaining vendor-owned equipment in good repair and attractive condition and for replacing worn-out or obsolete equipment.
(j) When a vendor dies or leaves the program, BEP shall have first option to purchase vendor-owned equipment at fair market value. BEP is not obligated to purchase vendor-owned equipment.
NOTE

Authority cited: Sections 19006, 19016, 19626.5 and 19639, Welfare and Institutions Code. Reference: Section 19626.5, Welfare and Institutions Code; Randolph-Sheppard Act, 20 USC 107b(5); and 34 CFR Sections 395.4, 395.6 and 395.10.
HISTORY

1. Renumbering and amendment of  section 7217 to new section 7217.1  filed 1-12-94 as an emergency; operative 1-12-94 (Register 94, No. 2). A Certificate of Compliance must be transmitted to OAL by 5-12-94 or emergency language will be repealed by operation of law on the following day.
2. Reinstatement of section as it existed prior to emergency amendment filed 3-3-95 by operation of Government Code section 11346.1(f) (Register 95, No. 9).
§7217.2. Vendor Responsibility for Equipment  Maintenance Expense. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 19006, 19016 and 19639, Welfare and Institutions Code. Reference: Section 19629,  Welfare and Institutions Code; Randolph-Sheppard Act, 20 USC 107b(5); and 34 CFR Section 395.10.
HISTORY

1. New section  filed 1-12-94 as an emergency; operative 1-12-94 (Register 94, No. 2). A Certificate of Compliance must be transmitted to OAL by 5-12-94 or emergency language will be repealed by operation of law on the following day.
2. Repealed by operation of Government Code section 11346.1(g) (Register 95, No. 9).
Article 7.5. Vending Facility Equipment
§7218. Vendor-Owned Vending Facility Equipment.
Note     •     History

(a) Vendors may choose to purchase all or part of the equipment for a vending facility, rather than exclusively using equipment owned by the Business Enterprises Program for the Blind, hereafter BEP.
(b) When vendors choose to purchase vending facility equipment, such equipment may be amortized and included as an operating expense when preparing the DR 478, Vendor's Monthly Operating Report (Rev. 07/07), incorporated by reference herein, in accordance with the following:
(1) Vending facility equipment costing less than $1,000 may be charged as an expense during the first month it is in service.
(2) Vending facility equipment costing $1,000 or more but less than $5,000 shall be purchased only with the prior written approval of the BEP Manager or the Supervising Business Enterprises Consultant, hereafter SBEC, and charged as an expense using conventional, straight line depreciation over the first 12 months of service.
(3) Vending facility equipment costing $5,000 or more shall be purchased only with the prior written approval of the BEP Manager or the SBEC. The vendor shall also propose to the BEP Manager or the SBEC, the method for amortizing the cost of the equipment. The prior written approval shall document the method the vendor is to use for amortizing the cost of the equipment
(c) The vendor shall maintain, repair, and replace any vendor-owned vending facility equipment at his or her expense and may include the expense as a cost of doing business when preparing the DR 478, Vendor's Monthly Operating Report (Rev. 07/07).
(d) If the vendor fails to properly maintain, repair, or replace vending facility equipment that the vendor purchased, the BEP shall charge the vendor for the actual costs incurred by the BEP to maintain, repair, or replace the equipment or the BEP shall provide written notice to the vendor that the equipment must be removed from the vending facility within 10 working days at the vendor's expense. The BEP shall send a written invoice to the vendor for the actual costs incurred by the BEP and the vendor shall remit payment to the BEP for the charges by the date stated in the invoice. 
(e) The BEP retains the first option to purchase all or part of vendor-owned equipment if vendor wishes to dispose of his or her vendor-owed equipment and vendor moves to another vending facility, his or her vendor license or operating agreement is terminated, or he or she resigns from the vending facility or the BEP. If the BEP declines to purchase all or part of the vendor-owned equipment, the vendor shall remove the vendor-owned equipment at his or her expense within 10 working days of receiving written notice that the BEP declines to purchase the equipment or prior to vacating the facility.
(f) If a vendor has an outstanding financial obligation owed to the BEP for set aside fees, payment for liability or workers' compensation coverage, penalties, or other BEP related matters, the BEP retains the right to the first option to take possession of the vendor-owned equipment and the fair market value of the vendor-owned equipment shall be applied to satisfy all or part of the debt owed to the BEP. If the BEP exercises this option, the vendor shall transfer ownership of the vendor owned equipment to the BEP within five working days of receiving written notice that the BEP is exercising its option.
NOTE

Authority cited: 20 USC Section 107b(5); 34 CFR Section 395.4; and Sections 19006, 19016 and 19639, Welfare and Institutions Code. Reference: 20 USC Section 107b(2); 34 CFR Sections 395.3(a)(5) and 395.6; and Section 19011, Welfare and Institutions Code. 
HISTORY

1. Renumbering of former section 7216 to section 7218 and amendment of Note and renumbering of former section 7218 to section 7220 filed 2-4-93; operative 3-8-93 (Register 93, No. 6).
2. New article 7.5 heading, amendment of section heading, repealer and new section and amendment of Note filed 9-22-2009; operative upon the approval of the Secretary of the United States Department of Education, in accordance with title 34, Code of Federal Regulations, section 395.4(a) (Register 2009, No. 39).
3. Approved by the Secretary of the United States Department of Education in accordance with section 395.4(a) of title 34 of the Code of Federal Regulations on 6-2-2010; operative 9-15-2010 pursuant to section 7210(b)(2) of title 9 of the California Code of Regulations (Register 2010, No. 39).
§7219. Initial Stock. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 19006, 19016 and 19639, Welfare and Institutions Code. Reference: Section 19629, Welfare and Institutions Code; and Section 12419.5, Government Code; and Randolph-Sheppard Act, 20 USC 107b(5); and 34 CFR Sections 361.42(a)(14) and 395.4.
HISTORY

1. New subsection (b)(5) filed 2-10-83; designated effective 2-20-83 pursuant to Government Code section 11346.2(d) (Register 83, No. 7).
2. Renumbering and amendment of former section 7217 to section 7219 and amendment of Note and renumbering of former section 7219 to section 7221 filed 2-4-93; operative 3-8-93 (Register 93, No. 6).
3. Change without regulatory effect amending subsections (b)(1)-(2) filed 6-1-93 pursuant to title 1, section 100, California Code of Regulations (Register 93, No. 23).
4. Repealer filed 9-22-2009; operative upon the approval of the Secretary of the United States Department of Education, in accordance with title 34, Code of Federal Regulations, section 395.4(a) (Register 2009, No. 39).
5. Approved by the Secretary of the United States Department of Education in accordance with section 395.4(a) of title 34 of the Code of Federal Regulations on 6-2-2010; operative 9-15-2010 pursuant to section 7210(b)(2) of title 9 of the California Code of Regulations (Register 2010, No. 39).
§7219. Initial Stock.
Note     •     History

(a) A client who is licensed and is being installed in a vending facility for the first time may be provided initial stock by his/her counselor using Case Service funds subject to a determination of the client's financial participation pursuant to Sections 7190-7193. BEP, in consultation with the client, shall determine the type and amount of initial stock to be purchased. When case service funds are provided, the following shall apply:.
(1) Title to the stock or like stock shall be vested in BEP until the client's vocational rehabilitation case is closed or six months after licensure, whichever is less.
(b) A licensee being installed in a facility for the first time, who does not receive initial stock pursuant to (a), or vendor moving into another vending facility may be provided a loan to purchase all or part of the initial stock by BEP using the Vending Facility Trust Fund subject to the following conditions:
(1) The licensee or vendor completes form DR 471-A (New  11/92), entitled “Initial Stock-Application”, incorporated by reference herein, to establish his/her need for the loan and that he/she does not have assets to purchase all or part of the stock.
(2) The licensee or vendor has signed the Promissory Note, DR 472 (Rev. 11/92), incorporated by reference herein, which specifies the terms and conditions for repayment.
(A) BEP, in consultation with the licensee or vendor, shall determine the repayment schedule. The Department shall provide the licensee or vendor with:
1. A copy of the fully executed promissory note with the payment breakdown in monthly installments and the due date.
2. A biannual statement indicating the outstanding loan balance and how much has been applied to his/her loan at each location.
(3) Title to the stock (or like stock) is vested in BEP until the promissory note has been paid.
(4) Scheduled loan payments shall be remitted by the licensee or vendor at the  same time as he/she remits his/her set-aside charges, as specified in Section 7221(a). When a scheduled loan payment is received 30 days or more after the due date, a penalty of ten percent of the scheduled loan repayment shall be assessed against the licensee or vendor.
(c) If a licensee or vendor fails to repay an initial stock loan, the Department may do either or both of the following to satisfy the promissory note for initial stock:
(1) Make every effort to pursue collection, including the remedies set forth in Government Code Section 12419.5.
(2) Arrange for appropriate disposal of salable stock.
NOTE

Authority cited: Sections 19006, 19016 and 19639, Welfare and Institutions Code. Reference: Section 19629, Welfare and Institutions Code; and Section 12419.5, Government Code; and Randolph-Sheppard Act, 20 USC 107b(5); and 34 CFR Sections 361.42(a)(14) and 395.4.
HISTORY

1. New subsection (b)(5) filed 2-10-83; designated effective 2-20-83 pursuant to Government Code section 11346.2(d) (Register 83, No. 7).
2. Renumbering and amendment of former section 7217 to section 7219 and amendment of Note and renumbering of former section 7219 to section 7221 filed 2-4-93; operative 3-8-93 (Register 93, No. 6).
3. Change without regulatory effect amending subsections (b)(1)-(2) filed 6-1-93 pursuant to title 1, section 100, California Code of Regulations (Register 93, No. 23).
§7219.1. Stock Transfer/Sale.
Note     •     History

(a) If an incoming vendor decides to purchase stock from an outgoing vendor and the outgoing vendor had obtained an initial stock loan for which there is an outstanding loan balance, payment for the stock shall first be sent to the Department. The Department shall use the funds to offset the outgoing vendor's outstanding loan balance. The Department shall forward the remaining funds, if any, to the outgoing vendor within 45 working days of receipt of the written inventory by the Department indicating the amount and type of stock being purchased by the incoming vendor.
NOTE

Authority cited: Sections 19006, 19016 and 19639, Welfare and Institutions Code. Reference: Section 19629, Welfare and Institutions Code; Randolph-Sheppard Act, 20 USC 107b(5); and 34 CFR 361.42(a)(14).
HISTORY

1. New section filed 2-4-93; operative 3-8-93 (Register 93, No. 6).
Article 7.7. Vending Facility Operations
§7220. Operation of a Vending Facility.
Note     •     History

(a) Upon signing the vendor's operating agreement, the vendor shall be recognized as the operator of the vending facility named in the agreement and shall operate and manage all aspects of the vending facility in accordance with the vendor operating agreement, permit or contract, United States Code, title 20, section 107 et seq., Code of Federal Regulations, title 34, part 395, Welfare and Institutions Code section 19625 et seq., applicable Health and Safety Code sections, California Code of Regulations, title 9, section 7210 et seq., and local permits and business licenses that may be required to operate the vending facility. This includes maintaining a drug-free environment within the vending facility.
(b) The Business Enterprises Program for the Blind, herein BEP, shall provide the vendor with a copy of the vendor operating agreement, which shall include the permit or contract for the vending facility as an exhibit thereof. The BEP shall also provide the vendor with the vendor operating agreement and exhibit thereof in the vendor's preferred mode of communication, to the extent possible.
(c) The vendor shall obtain and maintain all required state and local licenses and permits and satisfy any other legal requirements to operate the vending facility prior to commencing operation of a vending facility.
(d) The vendor shall sell only those items identified in the permit or contract for the vending facility. If a vendor wishes to add or delete items for sale listed in the permit or contract, he or she shall submit a written request of the proposed changes to the BEP. An amendment to the vendor operating agreement and, if applicable, the permit or contract must be executed by the vendor, BEP, and, if applicable, contracting agency, prior to the vendor changing the items for sale at the vending facility. 
(e) A vending facility shall not be operated without liability and workers' compensation insurance required and provided by the BEP through the BEP group policy, except a vending facility established pursuant to title 34 Code of Federal Regulations part 395.33. The vendor shall remit payment for liability and workers' compensation insurance in accordance with Section 7221(c) of these regulations. Within 24 hours of a vendor learning of an incident occurring in connection with the vending facility that may give rise to a workers' compensation or liability claim, the vendor must contact the BEP and the insurance carrier to report the incident.
(f) The vendor shall be personally responsible and accountable for all of the following:
(1) Operating the vending facility in accordance with all applicable federal, state, and local laws and regulations, as identified in subdivision (a) of this section;
(2) Providing a level of goods and services satisfactory to the contracting agency;
(3) Establishing and maintaining good relations with customers and the contracting agency;
(4) Maintaining and operating the facility in accordance with all health and safety standards set forth in Health and Safety Code sections 113700 et seq. and 114259.4, and other Health and Safety Code sections referenced in this chapter, as applicable; and
(5) Posting information for employees as required by Labor Code section 6408;
(g) To ensure that his or her vending facility operates in full compliance with all applicable law and regulation, a vendor shall be physically present at the primary site of his or her vending facility on a regular basis and personally accountable for, and fully aware of, the ongoing activities at any satellite sites that are part of his or her vending facility. 
(h) Vendors shall be personally present at and participate in all of the following:
(1) A quarterly meeting with the Business Enterprises Consultant, hereafter BEC, at the vendor's primary site, which shall include, but not be limited to, a review all of the DR 478, Vendor's Monthly Operating Reports (Rev. 07/07) filed since the last quarterly meeting, payment of any financial obligations owed to the BEP, any delinquent DR 478, Vendor's Monthly Operating Reports (Rev. 07/07) or payments of any financial obligations owed to the BEP, any complaints received from the contracting agency, and any incidents reported in accordance with subdivision (e) of this section.
(2) A quarterly meeting with the BEC to review the results of the DR 484, Vending Facility Review (Rev. 11/07).
(3) An annual meeting with the BEC to review, update, and sign for the vending facility equipment at all sites within the vendor's vending facility.
(i) Failure of a vendor to be personally present at and participate in the reviews required by subdivision (h) of this section shall be good cause for termination or suspension of the Vendor's Operating Agreement and/or license. Employees or other agents of the vendor may not represent the vendor for the purpose of such reviews, except as provided for in Section 7220.7 of these regulations.
(j) Under no circumstances shall a vendor purchase services, merchandise, supplies or equipment for his or her vending facility from himself or herself or a partnership or other entity in which the vendor has a financial interest of any type and include the cost of such services, merchandise, supplies or equipment in a DR 478, Vendor's Monthly Operating Report (Rev. 07/07) to offset the set aside fees owed to the BEP.
(k) Upon the request of the BEP, vendors shall establish that the compensation paid to employees, including family members, is reasonable and commensurate with compensation for other similarly situated employees. For the purposes of this subdivision, similarly situation employees may include employees working at other BEP vending facilities or businesses which are not part of the BEP. Excessive compensation shall not be paid to employees, including family members.
(l) The vendor shall maintain required records on the operation of the facility for the current year plus the three preceding years or until completion of the action and resolution of all issues which may arise as a result of any litigation, claim, negotiation, audit, or other relevant action involving the records prior to the expiration of the three-year period, whichever is later. Upon written request, books of accurate account and records pertaining to a vending facility operation shall be made available for examination and audit by the Department at any reasonable time and place. Such records shall include:
(1) Monthly operating reports (profit and loss statements);
(2) Work sheets used to prepare monthly operating reports;
(3) Sales register (monthly summary of sales and other income);
(4) Daily cash reports (cash count forms);
(5) Cash register tapes (entire tape, if adjustments have been made to the total-“z” totals, if no adjustments have been made);
(6) Records on other operation receipts (vending machines, catering, etc.);
(7) Board of Equalization reports (sales tax);
(8) Bank deposit receipts;
(9) Purchase register (monthly summary of purchases or check register);
(10) Invoices from purveyors (cash, check and credit purchases);
(11) Canceled checks;
(12) Records on other operation purchases (vending machines, catering, etc.);
(13) Supporting records for reported monthly inventory;
(14) Physical inventory records;
(15) Payroll register (compensation records);
(16) Employee time cards or time sheets;
(17) Quarterly tax reports (Federal 941 and State DE3);
(18) Employee W-2 reports;
(19) Documentation for cost of employee meals;
(20) Records on employee fringe benefits (health, dental, pension, etc.);
(21) Records on other operating expenditures;
(22) Records on other income (subsidies, commissions, trainee revenue, vending machine commissions, etc.); and
(23) Bank statements and reconciliations.
(m) If records are not maintained to support the DR 478, Vendor's Monthly Operating Reports (Rev. 07/07), the BEP or the Department may estimate the sales, expenses, and set-aside fees from all information available, including sales tax returns, facility announcements, prior the DR 478, Vendor's Monthly Operating Reports (Rev. 07/07) filed for the vending facility or other similar locations. The vendor shall pay the BEP the set-aside fees calculated in accordance with this subdivision and any penalties.
(n) A vendor must take all appropriate action to correct any deficiencies identified by a BEP facility review or an audit conducted by the Department within the period of time established by the Department. 
(o) The vendor shall take and report the physical inventory of the vending facility merchandise and supplies twice annually for the periods ending June 30th and December 31st and submit the inventory reports to his or her assigned BEP Business Enterprises Consultant by July 25th and January 25th, respectively. The BEP may also notify the vendor in writing that the vendor must take and report the physical inventory of the vending facility merchandise and supplies at other times as well. The written notice shall include date in which the report must be submitted to the BEP. 
(p) The vendor shall be solely responsible for the payment of all rent or utility charges in accordance with the terms and conditions of the vendor operating agreement or permit or contract.
(q) The vendor shall ensure that any guide dog shall be excluded from food preparation and utensil wash areas in accordance with Health and Safety Code Section 114259.4.
(r) An amount equal to 10 percent of the wages paid by a vendor to any blind person, as defined in Welfare and Institutions Code section 19153, or employee who has a mental or physical disability, as defined in Government Code section 12926, shall be deducted from any set-aside fees paid by the vendor. Upon the request of the BEP, a vendor who is deducting an amount equal to 10 percent of the wages paid to a blind or disabled person must provide documentation supporting the deduction. If a vendor does not claim the deduction during the month for which the gross earnings were paid, the vendor may claim it at a later date. In any one month the deductions shall not exceed the set-aside charges. There shall be no deduction from set-aside fees paid by a vendor, if the vendor does not pay wages at least equal to minimum wages required of employers pursuant to Chapter 1 (commencing with Section 1171) of Part 4 of Division 2 of the Labor Code).
(s) The continuing eligibility of a vendor as a blind person pursuant to Welfare and Institutions Code section 19153 shall be recertified every 24 months for partially sighted individuals and whenever the Department has reason to believe a vendor's status as a blind person no longer meets the definition set forth in Welfare and Institutions Code section 19153. Recertification shall require an examination by a licensed physician or surgeon who specializes in diseases of the eye or a licensed optometrist and submission of documentation signed by the examining physician or optometrist to the BEP Manager upon completion. 
NOTE

Authority cited: 20 USC Section 107b(5); 34 CFR Section 395.4; and Sections 19006, 19016 and 19639, Welfare and Institutions Code. Reference: 20 USC Sections 107, 107a(a)(5), 107a(b), 107a(e) and 107b(3); 34 CFR Sections 361.5(b)(5), 395.1(o), 395.3(a)(7), 395.3(a)(11)(vi), 395.3(a)(11)(viii), 395.3(a)(11)(ix), 395.5, 395.7, 395.9, 395.16, 395.34 and 395.35; Section 12926, Government Code; Sections 113700 et seq. and 114259.4, Health and Safety Code;  Sections 1171 et seq., 5401, 6408 and 6409.1, Labor Code; and Sections 19011, 19013.5(b), 19153, 19625, 19629, 19632(a) and 19633, Welfare and Institutions Code.
HISTORY

1. Renumbering and amendment of former section 7218 to section 7220 and amendment of Note and renumbering of former section 7220 to section 7225 filed 2-4-93; operative 3-8-93 (Register 93, No. 6).
2. New article 7.7 heading, amendment of section heading, repealer and new section and amendment of Note filed 9-22-2009; operative upon the approval of the Secretary of the United States Department of Education, in accordance with title 34, Code of Federal Regulations, section 395.4(a) (Register 2009, No. 39).
3. Approved by the Secretary of the United States Department of Education in accordance with section 395.4(a) of title 34 of the Code of Federal Regulations on 6-2-2010; operative 9-15-2010 pursuant to section 7210(b)(2) of title 9 of the California Code of Regulations (Register 2010, No. 39).
§7220.3. Vendor Placed on Probation.
Note     •     History

(a) For the purposes of this section, the DR 468, Vending Facility License (Rev. 07/07), incorporated by reference herein, shall be referred to as the “license.” Only the Department may place a licensee or vendor on probation.
(b) Written notice of the intent to place a licensee or vendor on probation shall be considered properly served by one of the following two methods and shall include a declaration of service:
(1) Certified mail to the current mailing address provided to the BEP Manager by the licensee or vendor in accordance with Section 7213(c) of these regulations; or
(2) Personal service on the licensee or vendor.(c) The notice of intent to place a licensee or vendor on probation shall specify the following:
(1) If applicable, the primary site and any satellite sites of a vendor's vending facility, as defined in Section 7211(a)(36) and (a)(38) of these regulations, respectively, that are affected.
(2) The grounds for placing the licensee or vendor on probation as specified in subdivision (e) of this section. 
(3) The facts upon which placing the licensee or vendor on probation are based.
(4) The effective date of the probationary period.
(5) The length of the probationary period.
(6) The right of the licensee or vendor to an administrative review and a full evidentiary hearing, in accordance with Sections 7227.1 and 7227.2 of these regulations, respectively.
(d) Probation shall be effective 15 working days from the date of service, unless the vendor or licensee files a request for an administrative review or a full evidentiary hearing, in accordance with Section 7227.1 or 7227.2 of these regulations, respectively, before the effective date of probation. 
(1) If a licensee or vendor appeals being placed on probation, and the Department prevails at an administrative review and/or a full evidentiary hearing, the probationary period shall commence upon the effective date of the decision.
(e) The Department may place a licensee or vendor on probation when the licensee or vendor:
(1) Fails to comply with Health and Safety Code requirements specified in this chapter.
(2) Fails to file one or more DR 478, Vendor's Monthly Operating Reports (Rev. 07/07), incorporated by reference herein, in accordance with Section 7221 of these regulations.
(3) Fails to pay financial obligations to the BEP, including, but not limited to set-aside fees, liability or workers' compensation insurance coverage, or penalties in accordance with Section 7220 or 7221 of these regulations.
(4) Fails to personally manage his or her vending facility pursuant to Section 7220(g) of these regulations.
(5) Fails to comply with any other requirements of these regulations.
(f) If the licensee or vendor does not comply with all terms and conditions of probation, the vendor's or licensee's license and/or vendor's operating agreement shall be suspended or terminated in accordance with these regulations.
NOTE

Authority cited: 20 USC Section 107b(5); 34 CFR Section 395.4; and Sections 19006, 19016 and 19639, Welfare and Institutions Code. Reference: 20 USC Sections 107, 107a(a)(5), 107a(b), 107a(e), 107b(6) and 107d-1(a); 34 CFR Sections 395.2, 395.3(a)(7), 395.3(a)(11)(ii), 395.5, 395.7 and 395.13; and Sections 19011, 19625, 19632(d) and 19635, Welfare and Institutions Code. 
HISTORY

1. New section filed 9-22-2009; operative upon the approval of the Secretary of the United States Department of Education, in accordance with title 34, Code of Federal Regulations, section 395.4(a) (Register 2009, No. 39).
2. Approved by the Secretary of the United States Department of Education in accordance with section 395.4(a) of title 34 of the Code of Federal Regulations on 6-2-2010; operative 9-15-2010 pursuant to section 7210(b)(2) of title 9 of the California Code of Regulations (Register 2010, No. 39).
§7220.5. Initial Stock for Vending Facility.
Note     •     History

(a) An individual who is a licensee selected to operate a vending facility for the first time may be provided with initial stock, consistent with Section 7149(p) of these regulations.
(1) The Business Enterprises Program for the Blind, hereafter BEP, in consultation with the licensee and the individual's Vocational Rehabilitation Counselor for the Blind, shall determine the type and amount of initial stock to be purchased, consistent with the type of vending facility specified in section 7211(a)(54) of these regulations that the individual will operate.
(2) The individual's Vocational Rehabilitation Counselor for the Blind shall determine whether the licensee is required to financially participate in the cost of services (i.e., initial stock), consistent with Sections 7190 through 7193 of these regulations.
(b) If the Department pays for or reimburses the individual for the initial stock, such stock shall be the property of the BEP until the individual's record of services is closed, or no later than six months after licensure as a BEP vendor.
(c) If the individual is required to purchase the initial stock, consistent with subsection (a)(2) of this section, the initial stock shall be the property of that individual.
NOTE

Authority cited: 20 USC Section 107b(5); 34 CFR Section 395.4; and Sections 19006, 19016 and 19639, Welfare and Institutions Code. Reference: 20 USC Section 107b(2); 29 USC Section 723(a)(9); 34 CFR Sections 361.48(p), 395.3(a)(2), 395.3(a)(2)(5) and 395.6; and Sections 19011 and 19150(a)(9), Welfare and Institutions Code. 
HISTORY

1. New section filed 9-22-2009; operative upon the approval of the Secretary of the United States Department of Education, in accordance with title 34, Code of Federal Regulations, section 395.4(a) (Register 2009, No. 39).
2. Approved by the Secretary of the United States Department of Education in accordance with section 395.4(a) of title 34 of the Code of Federal Regulations on 6-2-2010; operative 9-15-2010 pursuant to section 7210(b)(2) of title 9 of the California Code of Regulations (Register 2010, No. 39).
§7220.7. Vendor Incapacitated or Deceased.
Note     •     History

(a) If a vendor becomes incapacitated and is unable to operate his or her vending facility, or supervise a manager at his or her vending facility, the Department may place the facility into interim operation consistent with section 7215 of these regulations and select a licensee or vendor to operate the interim vending facility for a period of six months. 
(1) The licensee or vendor selected to operate the interim vending facility may operate the vending facility for an additional six months, if the prognosis of the incapacitated vendor's illness is still unknown. 
(2) The Department shall announce the vending facility as available to be operated on a permanent basis at the end of a one-year period, unless there is written medical justification that indicates the incapacitated vendor can resume responsibility for the vending facility at a specific, and within a reasonable, period of time. 
(b) If a conservator is appointed to manage the incapacitated vendor's estate, the Department shall cooperate with that conservator regarding management of the vending facility and, if appropriate, the disposition of any of the vendor's assets.
(c) Upon the death of a vendor, the vendor's license shall be deemed surrendered. 
(d) The spouse of a vendor who meets the requirements of Welfare and Institutions Code section 19641, may operate the vending facility.
(e) If the deceased vendor's spouse does not meet the requirements of Welfare and Institutions Code section 19641, the Department shall arrange with the spouse or other legal representative of the deceased vendor for the settlement of that vendor's accounts, including the vendor's interest in any equipment and stock. Once the actions taken pursuant to this subdivision are initiated, the BEP shall announce the vending facility as available to operated by licensees and vendors consistent with section 7214 of these regulations.
(f) The spouse or other legal representative of an incapacitated or deceased vendor shall be allowed a full evidentiary hearing pursuant to section 7227.2 of these regulations with respect to the amount to be paid by the BEP for the vendor's equity in the vending facility stock and equipment.
NOTE

Authority cited: 20 USC Section 107b(5); 34 CFR Section 395.4; and Sections 19006, 19016 and 19639, Welfare and Institutions Code. Reference: 20 USC Sections 107b(6) and 107d-1(a); 34 CFR Sections 395.3(a)(7), 395.6 and 395.13; and Sections 19011, 19635 and 19641, Welfare and Institutions Code.
HISTORY

1. New section filed 9-22-2009; operative upon the approval of the Secretary of the United States Department of Education, in accordance with title 34, Code of Federal Regulations, section 395.4(a) (Register 2009, No. 39).
2. Approved by the Secretary of the United States Department of Education in accordance with section 395.4(a) of title 34 of the Code of Federal Regulations on 6-2-2010; operative 9-15-2010 pursuant to section 7210(b)(2) of title 9 of the California Code of Regulations (Register 2010, No. 39).
Article 7.9. Vending Facility Trust Fund and Standards for Vending Machine Commissions
§7221. Vending Facility Trust Fund and Set-Aside Fees.
Note     •     History

(a) Vendors operating a Business Enterprises Program for the Blind, hereafter BEP, vending facility shall pay a set-aside fee into the Vending Facility Trust Fund. 
(1) Payment of the set-aside fee shall be made monthly based on the net proceeds, as defined in Welfare and Institutions Code section 19629(d) of the vending facility for the preceding month. The fees shall not exceed 6 percent of the monthly gross sales, and the vendor may determine if he or she shall pay 6 percent of the monthly gross sales or use the BEP established set-aside fee schedule that has been approved by the Rehabilitation Services Administration to determine the set-aside fees to be paid. When using the set-aside schedule, the fees shall not exceed 6 percent of the monthly gross sales. 
(2) Payment of the set-aside fee shall be made to the Department of Rehabilitation, Vending Facility Trust Fund, Accounting Section, P.O. Box 944222, Sacramento, California, 94299-9222. Payment of the fee shall be accompanied by the completed DR 478, Vendor's Monthly Operating Report (Rev. 07/07), incorporated by reference herein. The income and expenses of each vending facility shall be reported using a DR 478, Vendor's Monthly Operating Report (Rev. 07/07). 
(b) No set-aside fee shall be paid by a vendor when the net proceeds of the Business Enterprise are less than the set-aside fee exemption amount determined by BEP in accordance with Welfare and Institutions Code section 19629(b) and pursuant to (a)(1) herein, however, the vendor is required to file a completed DR 478, Vendor's Monthly Operating Report (Rev. 07/07) with the Department of Rehabilitation, Accounting Section, in accordance with subdivision (a)(2) of this subdivision, by the 25th day of the month following the month being reported or the vendor will be subject to the penalties contained in (c) herein. 
(1) BEP shall adjust the set-aside fee exemption amount annually to reflect changes in the cost of living by the method indicated in Welfare and Institutions Code section 19629(b).
(2) BEP shall provide 30 days advance written notice to vendors of any adjustment to the set-aside fee exemption amount.
(3) Adjusted set-aside fee exemption amounts shall be effective on January 1st of the calendar year following the notice of adjustment. 
(c) The DR 478, Vendor's Monthly Operating Report (Rev. 07/07), set-aside fee and payment for liability and workers' compensation insurance either must be received by the Department of Rehabilitation Accounting Section or postmarked by the 25th day of the month following the month being reported, in accordance with subdivision (a)(2) of this section. When the 25th day of the month falls on a Saturday, Sunday or a holiday, the DR 478, Vendor's Monthly Operating Report (Rev. 07/07) and the set-aside fee, shall be considered timely if postmarked on the following business day pursuant to Government Code section 6706.
(1) A penalty not to exceed either 15 percent of the late set-aside charge or $75, whichever is greater, shall be assessed against a vendor for each month that the DR 478, Vendor's Monthly Operating Report (Rev. 07/07) or set-aside fee is late when one or more of the following conditions occur:
(A) Set-aside fees or the DR 478, Vendor's Monthly Operating Report (Rev. 07/07), or both, are not received pursuant to subsection (c) herein.
(B) The set-aside fee shall be considered past due if some of the amount owed is received, but the accompanying payment is incorrect and less than the amount that is due in accordance with the DR 478, Vendor's Monthly Operating Report (Rev. 07/07) submitted for that month. 
(C) The set-aside fee shall be considered past due if payment is made by check, and the check is returned for insufficient funds.
(D) The DR 478, Vendor's Monthly Operating Report (Rev. 07/07), shall be considered past due, if it is not signed by the vendor or the vendor does not use the DR 478, Vendor's Monthly Operating Report (Rev. 07/07) adopted by the Department
(2) Penalties shall not be assessed, if acts of nature beyond the vendor's control and due to no negligence on the part of the vendor, the vendor is unable to file the DR 478, Vendor's Monthly Operating Report (Rev. 07/07), in accordance with subdivision (c) of this section. The vendor must notify the BEP Manager in writing of the facts that prevent the vendor from filing the DR 478, Vendor's Monthly Operating Report (Rev. 07/07) in accordance with subdivision (c) of this section. The BEP Manager shall determine whether penalties shall not be assessed in accordance with this subsection. 
(3) Vendors who have submitted a DR 478, Vendor's Monthly Operating Report (Rev. 07/07) but have failed to include the set-aside fee shall be given written notice of the delinquency.
(4) If a DR 478, Vendor's Monthly Operating Report (Rev. 07/07) is delinquent for more than a month, the BEP or the Department shall determine the set-aside fee based on the most reliable information available and the vendor shall be liable for this amount, together with any penalties.
(A) In the event a vendor is delinquent the first month at a new or newly assigned vending facility, the BEP or the Department may determine the set-aside fee using the estimates contained in the DR 460, Vending Facility Announcement (Rev. 09/09), incorporated by reference herein.
(d) Vendors shall send a copy of the DR 478, Vendor's Monthly Operating Report (Rev. 07/07), to the Department's Accounting Office, as provided in subdivision (a)(2) of this section, as well as the BEP district office where the primary vending facility is located. Upon receipt, the Business Enterprises Consultant, hereafter BEC, shall either accept or reject the DR 478 Vendor's Monthly Operating Report (Rev. 07/07). The BEC's review to determine whether to accept or reject the DR 478 Vendor's Monthly Operating Report (Rev. 07/07) shall include, but not limited to, the following:
(1) Comparison of the DR 478, Vendor's Monthly Operating Report (Rev. 07/07), using financial averages, as defined in section 7211(a)(23) of these regulations, with similar vending facilities in a similarly populated area.
(2) Verification of compliance with the DR 478A, Vendor's Monthly Operating Report Instructions (Rev. 07/07), incorporated by reference herein.
(3) Review of the gross receipts, net sales, cost of goods, payroll expense, other operating expense, other income, net proceeds, set-aside fee, and payments due. This review shall include all required data, increases or decreases, during the past year, and comparability of such figures to those of similar facilities.
(e) If after the review, the BEC rejects the DR 478 Vendor's Monthly Operating Report (Rev. 07/07), such report shall be returned to the vendor with a written notice of the deficiencies. The vendor shall correct all deficiencies and submit the corrected DR 478, Vendor's Monthly Operating Report (Rev. 07/07), to the Department's Accounting Office in accordance with subdivision (a) of this section and the BEP field office in accordance with subdivision (d) of this section. The late penalty shall be assessed in accordance with subdivision (c) of this section.
(f) A vendor operating an interim vending facility shall submit a separate DR 478, Vendor's Monthly Operating Report (Rev. 07/07), while he or she is operating the facility. 
(g) Department records of financial data including quarterly and annual reports of the Vending Facility Trust Fund shall be made available to any interested party in accordance with the California Public Records Act (Government Code section 6250 et seq.).
(h) Set-aside funds deposited into the Vending Facility Trust Fund shall be used only for the purposes specified in Welfare and Institutions Code section 19629, 20 United States Code section 107b(3), and 34 Code of Federal Regulations section 395.9. 
(i) The Department shall report financial averages to vendors. Financial averages are used by the Department to review trends and patterns within the food service industry, and to provide Department field staff with data that can be used to assist vendors to improve the operation and profitability of their vending facilities. BEP shall prepare and distribute to all vendors an annual report of the BEP profit and loss statewide financial averages for each type of by August 31st of each year, reporting data for the previous fiscal year.
NOTE

Authority cited: 20 USC Section 107b(5); 34 CFR Section 395.4, and Sections 19006, 19016 and 19639, Welfare and Institutions Code. Reference: 20 USC Sections 107b(3) and 107b-1(1); and 34 CFR Sections 361.49(a)(5)(v), 395.9 and 395.12. Government Code, Sections 6250 et seq., 6706 and 12926; and Sections 19629, 19637 and 19639, Welfare and Institutions Code.
HISTORY

1. Amendment filed 2-10-83; designated effective 2-20-83 pursuant to Government Code section 11346.2(d) (Register 83, No. 7).
2. Renumbering of former section 7219 to section 7221 and amendment of Note and renumbering of former section 7221 to section 7224 filed 2-4-93; operative 3-8-93 (Register 93, No. 6).
3. Amendment of subsection (a) and new subsections (b)-(b)(2)  filed 1-12-94 as an emergency; operative 1-12-94 (Register 94, No. 2). A Certificate of Compliance must be transmitted to OAL by 5-12-94 or emergency language will be repealed by operation of law on the following day.
4. Reinstatement of section as it existed prior to emergency amendment filed 3-3-95 by operation of Government Code section 11346.1(f) (Register 95, No. 9).
5. Amendment of subsections (a) and (b), new subsection (b)(1) and amendment of Note filed 10-29-99 as an emergency; operative 10-29-99 (Register 99, No. 44). A Certificate of Compliance must be transmitted to OAL by 2-28-2000 or emergency language will be repealed by operation of law on the following day.
6. Editorial correction of subsection (d) and Note (Register 2000, No. 13).
7. Certificate of Compliance as to 10-29-99 order, including further amendment of subsection (b) and (b)(1), transmitted to OAL 2-28-2000 and filed 4-4-2000 (Register 2000, No. 14).
8. New article 7.9 heading, amendment of section heading, repealer and new section and amendment of Note filed 9-22-2009; operative upon the approval of the Secretary of the United States Department of Education, in accordance with title 34, Code of Federal Regulations, section 395.4(a) (Register 2009, No. 39).
9. Approved by the Secretary of the United States Department of Education in accordance with section 395.4(a) of title 34 of the Code of Federal Regulations on 6-2-2010; operative 9-15-2010 pursuant to section 7210(b)(2) of title 9 of the California Code of Regulations (Register 2010, No. 39).
§7222. Vendor Removal from the Assigned Location.
Note     •     History

(a) The following shall apply to vendor removal when initiated by the Department:
(1) BEP shall immediately remove a vendor from his/her assigned location, if that vendor's actions or the conditions of the facility pose a significant risk to the health and safety of the public. Significant risk means any condition, based upon inspection findings or other evidence, including, but not limited to, unsafe food temperature, sewage contamination, nonpotable water supply or an employee who is a carrier of a communicable condition, that can cause:
(A) Food infection.
(B) Food intoxication.
(C) Disease transmission.
(D) Hazardous condition.
(2) Whenever a vendor is removed from his/her assigned location pursuant to (1), the BEP shall provide written notice to the vendor setting forth the following:
(A) The acts or omissions with which the vendor is charged.
(B) The specific code or regulation sections which have been violated.
(C) The Department's intent to terminate the vendor's license.
(D) The vendor's right to a full evidentiary hearing and the time frame for filing a request.
1. Failure to request a hearing within the time frame specified shall be deemed a waiver of the right to a full evidentiary hearing.
(E) The need to take inventory in the presence of the BEP staff to determine the type and amount of stock on hand at the time of removal.
(3) The facility shall be operated by an interim vendor until the status of the vendor's license is determined.
(4) The Department shall be responsible for stock liquidation, if title to the stock is vested in BEP pursuant to Section 7219. The Department may sell the stock to the interim vendor or to any other vendor interested in purchasing the stock. If title to the stock is vested in the vendor, he/she shall be responsible for stock liquidation. The BEP shall assist the vendor in liquidating any perishable stock.
(b) If building management requests removal of a vendor, the Department shall follow the process set forth in Section 19632(c) of the Welfare and Institutions Code.
(c) The removal of a vendor, whether initiated by the Department or upon the request of the person, governing board, or legislative body having the care, custody and control of the property in which a vending facility is operated shall not require a finding of ineligibility for licensing. Any such finding of ineligibility for licensing shall occur only after the vendor has been given the opportunity for a full evidentiary hearing.
(1) A vendor who prevails at the full evidentiary hearing, shall be reinstalled in his/her facility. Retroactive compensatory damages may only be obtained by way of civil action, if the basis for an action exists.
(2) If the hearing officer finds in favor of the Department, the BEP may then terminate or suspend the vendor's license and advertise and award the location to another vendor.
(d) If the vendor fails to file a request for a full evidentiary hearing regarding the proposed suspension or termination and good cause exists, as specified in Section 7213.2, the Department may either suspend or terminate the vendor's license and then advertise and award the location.
NOTE

Authority cited: Sections 19006, 19016 and 19639, Welfare and Institutions Code. Reference: Sections 19006, 19016 and 19632, Welfare and Institutions Code; Randolph-Sheppard Act, 20 USC 107b(5); and 34 CFR 395.7.
HISTORY

1. Renumbering and amendment of former section 7222 to sections 7226, 7226.3, and 7226.4 and new section 7222 filed 2-4-93; operative 3-8-93 (Register 93, No. 6).
§7223. Termination of an Operating Agreement.
Note     •     History

The operating agreement may be terminated by BEP when the permit is withdrawn, the vendor vacates the vending facility, or the vendor's license is terminated or suspended. The vendor shall give the BEP at least forty-five days' written notice of intent to terminate the operating agreement. The BEP may waive or reduce this time requirement.
When the operating agreement is terminated the vendor shall vacate the vending facility premises.
NOTE

Authority cited: Sections 19006, 19016 and 19639, Welfare and Institutions Code. Reference: Sections 19006, 19016 and 19639, Welfare and Institutions Code; Randolph-Sheppard Act, 20 USC 107b(5); and 34 CFR 395.4.
HISTORY

1. Renumbering of former section 7226 to section 7223 and amendment of Note and renumbering of former section 7223 to section 7213.1 filed 2-4-93; operative 3-8-93 (Register 93, No. 6).
§7224. Disabled Employees of Vendors.
Note     •     History

(a) To encourage the vendor to employ more blind and disabled employees, a vendor may claim the deduction from his or her set-aside charges as provided for in Section 7220(r) of these regulations.
(b) A vendor shall notify the Business Enterprises Program for the Blind, herein BEP, of any employment opportunity in the vending facility in order that consumers of the Department may be given preference. The vendor shall cooperate with the Department in employing and training consumers of the Department. If the Department is unable to refer qualified employees, the vendor may utilize other labor sources, giving preference to individuals with disabilities. 
NOTE

Authority cited: Sections 19006, 19016 and 19639, Welfare and Institutions Code. Reference: Randolph-Sheppard Act, 20 USC Section 107b(5); 34 CFR Section 395.4; and Sections 19006, 19016 and 19639, Welfare and Institutions Code.
HISTORY

1. Renumbering of former section 7221 to section 7224 and amendment of Note and renumbering of former section 7224 to section 7213.2 filed 2-4-93; operative 3-8-93 (Register 93, No. 6).
2. Repealer and new section and amendment of Note filed 9-22-2009; operative upon the approval of the Secretary of the United States Department of Education, in accordance with title 34, Code of Federal Regulations, section 395.4(a) (Register 2009, No. 39).
3. Approved by the Secretary of the United States Department of Education in accordance with section 395.4(a) of title 34 of the Code of Federal Regulations on 6-2-2010; operative 9-15-2010 pursuant to section 7210(b)(2) of title 9 of the California Code of Regulations (Register 2010, No. 39).
Article 8. Standards for Collection of Vending Machine Income
§7225. Vending Machine Commissions.
Note     •     History

(a) Vending machine commissions shall be collected and disbursed from vending machines located on federal property as specified in 34 Code of Federal Regulations parts 395.8 and 395.32, unless the Business Enterprises Program for the Blind, herein BEP, has entered into a contract with the organization operating the vending machines on federal property. 
(b) Commissions shall be collected from vending machines located on all state property as follows:
(1) A commercial vending company operating vending machines on state property, where there is a BEP vending facility, shall pay commissions in accordance with a contract with the Department to BEP on a monthly basis. All such commissions from these vending machines shall be paid to the BEP for disbursement to the vendor. Vending machine commissions shall be reported by the vendor on the DR 478, Vendor's Monthly Operating Report (Rev. 07/07), incorporated by reference herein, when the commissions are received by the vendor.
(A) Vending machine income received, pursuant to (b)(1) herein, must be forwarded to the appropriate vendor within 30 days of receipt by the BEP.
(2) A commercial vending company operating vending machines on state property where there is no BEP vending facility shall enter into a contract with the Department and shall pay commissions from these vending machines to the BEP. These commissions shall be deposited into the Vending Machine Trust Fund and identified as “Unassigned Vending Machine Income.” Vending commissions received under this subsection shall be used for the purposes specified in Welfare and Institutions Code sections 19630(d) and (g), title 20 United States Code section 107d-3(c), 34 Code of Federal Regulations part 395.8(c), and subject to a vote of the vendors.
(c) This section does not apply to machines operated as of January 1, 1978, on state property by employee-operated, non-profit organizations. 
(d) A vendor may be given approval by the BEP to contract with a private vending machine company for the operation of vending machines on-site at his or her vending facility if the vending machines are not owned by the BEP.
(1) Such vending machine income shall be reported on the DR 478, Vendor's Monthly Operating Report (Rev.07/07), incorporated by reference herein, as part of the net proceeds for the month in which the income was received. 
(2) A vendor shall not contract with a private vending machine company to operate vending machines purchased and owned by the BEP.
(e) The BEP may authorize a vendor to lease or purchase vending machines, pursuant to the conditions contained in section 7218 in these regulations.
(1) Sales from leased or purchased machines shall be reported as part of gross receipts. Lease payments shall be the responsibility of the vendor and included as an expense item.
(2) The cost of the vending machine(s) may be amortized pursuant to Section 7218 of these regulations. (f) The BEP shall provide the California Vendors Policy Committee, herein CVPC, with an annual accounting of the unassigned vending machine income collected during the previous calendar year, and the amount of unassigned vending machine income deposited into the vendor retirement account. This accounting shall be provided on or before April 15th of the subsequent calendar year. 
NOTE

Authority cited: 20 USC Section 107b(5); 34 CFR Section 395.4; and Sections 19006, 19016 and 19639, Welfare and Institutions Code. Reference: 20 USC 107d-3; 34 CFR Sections 395.8 and 395.32; and Sections 19011 and 19630, Welfare and Institutions Code.
HISTORY

1. Renumbering of former section 7225 to section 7213.3 and amendment of Note filed 2-4-93; operative 3-8-93 (Register 93, No. 6).
2. New article 8 heading and renumbering and renumbering of  former section 7220 to section 7225 and amendment of Note, and renumbering of former section 7225 to section 7213.3 filed 2-4-93; operative 3-8-93 (Register 93, No. 6).
3. Amendment of section heading, repealer and new section and amendment of Note filed 9-22-2009; operative upon the approval of the Secretary of the United States Department of Education, in accordance with title 34, Code of Federal Regulations, section 395.4(a) (Register 2009, No. 39).
4. Approved by the Secretary of the United States Department of Education in accordance with section 395.4(a) of title 34 of the Code of Federal Regulations on 6-2-2010; operative 9-15-2010 pursuant to section 7210(b)(2) of title 9 of the California Code of Regulations (Register 2010, No. 39).
Article 9. State Committee of Blind Vendors
§7226. Elections--General Provisions.
Note     •     History

(a) A biennial election of a committee of licensed blind vendors shall be conducted in odd-numbered years by secret ballot.
(b) The Committee shall be known as the California Vendors Policy Committee, hereafter CVPC.
(c) The Committee shall be fully representative of all blind licensees in the state program. District boundaries shall be established by the CVPC to ensure that representation shall, at a minimum, be one committee member for every 25 licensed vendors. Districts shall not vary more than seven licensed vendors between the districts having the least number of licensed vendors and the districts having the greatest number of licensed vendors. When districts vary more than seven, district reapportionment shall be conducted by, and require the majority vote of, the CVPC. Reapportionment shall not be conducted until after January 1 of the even-numbered year and shall not be effective until the General Election the following odd-numbered year.
(d) Only licensed blind persons operating a facility on a non-interim basis may serve on the Committee or vote in any poll or election authorized under this section. Such licensed blind persons shall be entitled to one vote each.
(e) Elected vendors shall be known as delegates to the Committee. The Committee shall consist of and be limited to one delegate per district who has been duly elected by a plurality vote of the licensed vendors within that district who are eligible to vote, as specified in (d). Each delegate shall be entitled to one vote.
(1) A vendor who operates a vending facility that has been combined or consolidated and consists of a primary site and one or more satellite sites may only vote in the district where his or her primary site is located and may only serve as a delegate representing the district where his or her primary site is located.
(f) An elected vendor shall cease to be a delegate for the district in which he or she was elected when he or she accepts a new location in another district and begins to receive remuneration for that location. 
(g) If a delegate resigns from office during his or her term, he or she shall be ineligible to run for a vacancy in the special election for his or her district.
(h) If a delegate vacancy occurs in a district due to resignation, no nomination, illness or death of a delegate or a delegate accepts a vending facility in another district and begins to receive remuneration from that facility, the Executive Officers of CVPC shall appoint an alternate from that district until a delegate is elected in a special election.
(i) Election materials shall be prepared and provided to a vendor in a vendor's preferred mode of communication, to the extent possible. Such modes of communication may include large print or Braille, on audiotape, 3.5 diskette, compact disk or electronic transmission. 
(j) Elections shall be completed by November 25th of each odd-numbered year. Delegates shall take office on January 1 of the even-numbered year following the election and shall serve a two year term.
(k) The Director shall appoint an Election Coordinator to conduct and oversee all aspects of an election, consistent with this section. The Election Coordinator shall be responsible for the following election duties:
(1) Preparing nomination letters, along with a nomination form and a preaddressed envelope for each vendor who is eligible to vote, in accordance with subsection (d). Election materials shall be prepared and mailed to each vendor in his or her preferred mode of communication, to the extent possible. Such modes of communication may include providing election materials in large print, Braille, on audiotape, 3.5” diskette, or compact disk. The Department shall transmit copies of the election materials electronically, on request.
(2) Receiving and placing sealed envelopes containing votes received from vendors in a secure location, pending the date the ballots are to be counted.
(3) Certifying the security of the ballots.
(4) Overseeing the ballot tabulation.
(5) Certifying the election results to the Director.
NOTE

Authority cited: 20 USC Section 107b(5); 34 CFR Section 395.4; and Sections 19006, 19016 and 19639, Welfare and Institutions Code. Reference: 20 USC Section 107b-1(3); 34 CFR Sections 395.3(a)(4) and 395.14(b); and Sections 19011 and 19638(b), Welfare and Institutions Code.
HISTORY

1. New article 9 and renumbering and amendment of former section 7222 to sections 7226, 7226.3, and 7226.4 and renumbering of former section 7226 to section 7223 filed 2-4-93; operative 3-8-93 (Register 93, No. 6).
2. Change without regulatory effect amending subsection (g) filed 6-1-93 pursuant to title 1, section 100, California Code of Regulations (Register 93, No. 23).
3. Amendment of section and Note filed 9-22-2009; operative upon the approval of the Secretary of the United States Department of Education, in accordance with title 34, Code of Federal Regulations, section 395.4(a) (Register 2009, No. 39).
4. Approved by the Secretary of the United States Department of Education in accordance with section 395.4(a) of title 34 of the Code of Federal Regulations on 6-2-2010; operative 9-15-2010 pursuant to section 7210(b)(2) of title 9 of the California Code of Regulations (Register 2010, No. 39).
§7226.1. General Elections.
Note     •     History

(a) Nomination letters specifying that nominations are open shall be mailed to each vendor operating a facility on a non- interim basis no later than October 1 of each odd-numbered year along with a nomination form and a pre-addressed return envelope.
(b) A vendor may nominate him or herself using the nomination form, but shall not nominate any other vendor in his or her district. The nomination form shall be postmarked within 15 calendar days of the date of the letter and received within five calendar days of the postmark to be deemed timely received.
(c) Upon receipt, the nomination forms shall be reviewed to ensure the timeliness of submission and that the nominated vendor meets the requirements specified in subdivisions (d), (e)(1), and (f) of Section 7226. A separate ballot shall then be prepared for each district listing the qualified vendors who were nominated in that district.
(d) Ballots shall be mailed, return receipt requested no signature required, by November 1st of each odd-numbered year to all vendors specified in Section 7226(d), along with instructions for completing and mailing the ballot. Vendors shall be mailed only that ballot which is specific to his or her district, a ballot envelope and a pre-addressed mailing envelope. If a vendor does not receive his or her ballot by November 7th, it is the vendor's responsibility to contact the Election Coordinator and request a ballot.
(e) In order to vote, the vendor shall do all of the following:
(1) Mark his/her ballot for one of the vendor names on the ballot.
(2) Place the unsigned ballot in the ballot envelope, seal and sign his/her name on the envelope.
(3) Place the ballot envelope in the pre-addressed mailing envelope and return. The mailing envelope shall be postmarked by November 15th and received within 5 calendar days to be considered timely received.
(f) Upon receipt, the mailing envelope shall be locked in a file without disturbing the seal until the scheduled date for ballot counting.
(g) Proper submission of the ballot shall be certified by the Election Coordinator at the time of ballot counting. A ballot shall be deemed properly submitted if:
(1) It was received within the time frame specified in (e)(3).
(2) The vendor's signature has been affixed to the ballot envelope.
(3) Each ballot envelope contains only one ballot.
(h) Ballots shall be counted and recorded by district. The nominee in each district receiving the most votes shall be deemed elected. 
(i) In case of a tie in any district after ballot counting, re-nomination and balloting shall occur in that district. If re-nomination and balloting is undertaken, that process shall be completed within 30 calendar days from November 25th of the odd-numbered year. The time frames for the submission of nomination forms and ballots shall be set by the Election Coordinator.
(j) All vendors who participated in the election shall be notified in writing of the election results no later than November 30th of the odd-numbered year.
NOTE

Authority cited: 20 USC Section 107b(5); 34 CFR Section 395.4; and Sections 19006, 19016 and 19639, Welfare and Institutions Code. Reference: 20 USC 107b-1(3); 34 CFR Sections 395.3(a)(4) and 395.14(b); and Sections 19011 and 19638(b), Welfare and Institutions Code. 
HISTORY

1. New section filed 2-4-93; operative 3-8-93 (Register 93, No. 6).
2. Amendment of section and Note filed 9-22-2009; operative upon the approval of the Secretary of the United States Department of Education, in accordance with title 34, Code of Federal Regulations, section 395.4(a) (Register 2009, No. 39).
3. Approved by the Secretary of the United States Department of Education in accordance with section 395.4(a) of title 34 of the Code of Federal Regulations on 6-2-2010; operative 9-15-2010 pursuant to section 7210(b)(2) of title 9 of the California Code of Regulations (Register 2010, No. 39).
§7226.2. Special Elections.
Note     •     History

(a) If a delegate vacancy occurs, a special election shall be completed within 60 days of the vacancy to determine the successor for the remainder of the term. A special election shall be conducted, if any of the following situations occur:
(1) A delegate leaves the district from which he or she was elected, as specified in Section 7226(f).
(2) A delegate resigns from office during his or her term.
(3) A delegate, or his or her alternate, fails to attend two regularly meetings per term. Regular meetings shall consist of two one day sessions. Attendance means participation in both days.
(4) Serious illness or death of a delegate.
(5) No delegate nomination was made.
(b) The procedures and requirements for nomination, ballot preparation, voting, receipt of ballots and ballot counting set forth in Section 7226.1 shall also apply to special elections. The time frames for the submission of nomination forms and ballots shall be set by the Election Coordinator to facilitate completion of the process within 60 days of the vacancy.
(c) In the case of a tie in any district after ballot counting and renomination and balloting are necessary, that process shall be completed within 60 calendar days of the date the election results are known. The time frames for the submission of nomination forms and ballots shall be set by the Election Coordinator.
(d) In special elections, the vendors shall be notified of the election results within 60 calendar days of the date of the nomination letters informing them of the vacancy.
NOTE

Authority cited: 20 USC Section 107b(5); 34 CFR Section 395.4; and Sections 19006, 19016 and 19639, Welfare and Institutions Code. Reference: 20 USC Section 107b-1(3); 34 CFR Sections 395.3(a)(4) and 395.14(b); and Sections 19011 and 19638(b), Welfare and Institutions Code. 
HISTORY

1. New section filed 2-4-93; operative 3-8-93 (Register 93, No. 6).
2. Amendment of section and Note filed 9-22-2009; operative upon the approval of the Secretary of the United States Department of Education, in accordance with title 34, Code of Federal Regulations, section 395.4(a) (Register 2009, No. 39).
3. Approved by the Secretary of the United States Department of Education in accordance with section 395.4(a) of title 34 of the Code of Federal Regulations on 6-2-2010; operative 9-15-2010 pursuant to section 7210(b)(2) of title 9 of the California Code of Regulations (Register 2010, No. 39).
§7226.3. Committee Responsibilities.
Note     •     History

(a) The committee shall:
(1) Participate in major administrative decisions, and policy and program development.
(2) Receive and transmit grievances of vendors and assist such vendors at their request.
(3) Participate in the development and administration of a transfer and promotion system for vendors;
(4) Participate in developing training and retraining programs;
(5) Sponsor meetings and instructional conferences for vendors. The meetings shall be conducted in accordance with Sections 11120 through 11131, of the Government Code.
(6) Be allowed to provide input regarding the adequacy of the BEP staffing levels prior to the Director's annual review.
NOTE

Authority cited: Sections 19006, 19016 and 19639, Welfare and Institutions Code. Reference: Section 19636, Welfare and Institutions Code; Randolph-Sheppard Act, 20 USC 107b-1 and 107b(5); and 34 CFR Sections 395.3, 395.4, 395.7 and 395.14.
HISTORY

1. Renumbering and amendment of  former section 7222 to sections 7226, 7226.3, and 7226.4 filed 2-4-93; operative 3-8-93 (Register 93, No. 6).
§7226.4. Committee Organization and Operation.
Note     •     History

(a) The committee may establish by-laws consistent with the Federal and State law. The by-laws may specify:
(1) The terms and conditions pertaining to the election and function of vendor delegates.
(2) The organization and operation of the committee and subcommittees including communication procedures.
(3) The role of the committee in initiating matters for consideration by BEP.
(4) That BEP shall have the ultimate responsibility and accountability for the administration of the State vending facilities program.
(b) The committee may refer major issues to all vendors in order to ascertain their views.
(c) BEP shall take into careful and serious account the committee's written recommendations. BEP shall notify the committee in writing of the decision reached or the actions taken on all recommendations and the reasons therefore within 30 calendar days of the receipt of the committee's written recommendation.
(d) The committee may contract for professional services, including, but not limited to, legal counsel. Payment for professional services rendered to the committee shall be made from commissions from vending machines on state property pursuant to Section 19630 of the Welfare and Institutions Code.
(e) Delegates shall be reimbursed for actual and necessary expenses incurred as a result of their participation in committee functions. Subcommittee members shall be reimbursed for only transportation expenses unless it is necessary to stay more than a 24-hour period. In such instances, reimbursement for lodging may be made, subject to the CVPC Chairman's validation of the necessity. DR 265 (Rev. 1/93), entitled “Non-State Employee Travel Expense Claim”, incorporated by reference herein, shall be completed for all travel expense reimbursements. All reimbursements shall be made in accordance with State Board of Control rules within 45 calendar days of receipt by the Department of a properly completed claim.
NOTE

Authority cited: Sections 19006, 19016 and 19639, Welfare and Institutions Code. Reference: Section 19638, Welfare and Institutions Code; Randolph-Sheppard Act, 20 USC 107b-1; and 34 CFR Sections 395.3, 395.7 and 395.14.
HISTORY

1. Renumbering and amendment of  former section 7222 to sections 7226, 7226.3, and 7226.4 filed 2-4-93; operative 3-8-93 (Register 93, No. 6).
2. Change without regulatory effect amending subsection (e) and Note filed 6-1-93 pursuant to title 1, section 100, California Code of Regulations (Register 93, No. 23).
Article 10. Administrative Review and Full Evidentiary Hearing Procedures
§7227. General Provisions.
Note     •     History

(a) Any Business Enterprises Program for the Blind, hereafter BEP, licensee or vendor, who is dissatisfied with any action of the Department arising from licensing, selection as a vendor, termination or suspension of a license or vendor operating agreement, probation, or administration of the BEP shall have an opportunity for a prompt informal administrative review by the supervisory staff of BEP and/or a full evidentiary hearing before a hearing officer in accordance with the provisions of Sections 7227.1 and 7227.2 of these regulations.
(b) The licensee or vendor may file for an administrative review or may proceed directly to a full evidentiary hearing.
(c) When requested by a licensee or vendor, the California Vendors Policy Committee, hereafter CVPC, and CVPC delegate, who represents the district where the vendor's primary facility is located, shall: 
(1) Assist in the preparation and submission of a written request for review and/or hearing.
(2) Provide assistance in the administrative review or full evidentiary hearing process. 
(3) Intervene on behalf of the licensee or vendor to negotiate with Department staff to resolve a complaint.
(4) Endeavor to achieve a fair and equitable solution to the complaint.
(d) A licensee or vendor shall be responsible for the costs of his or her own expenses related to disputing or settling issues which may include, but not limited to, travel or private counsel. 
(e) Upon request of the vendor or licensee, the BEP shall provide a reader or other communication services, to the extent possible, at the administrative review or full evidentiary hearing. 
(f) The CVPC may contract for professional services for training vendors in the preparation and submission of requests for review and hearings for all of the processes specified in subsection (a) herein, using vending machine income pursuant to Welfare and Institutions Code section 19630, subsections (d) and (g), and section 7225, subsection (b)(2) herein. 
(g) Any client-trainee who is dissatisfied with an action arising from the administration of the BEP or the provision of vocational services, or a licensee or vendor who is dissatisfied with an action arising from the provision of vocational rehabilitation services shall have an opportunity for a prompt administrative review by the Vocational Rehabilitation supervisory staff and/or a fair hearing in accordance with Chapter 12 (commencing with Section 7350) and Section 7350 et seq. of these regulations.
NOTE

Authority cited: Sections 19006, 19016, 19627 and 19639, Welfare and Institutions Code. Reference: 20 USC Sections 107b(5), 107b(6), 107b-1(3); 34 CFR Sections 395.4 and 395.13; and Sections 19629, 19635, 19638 and 19700 et seq., Welfare and Institutions Code.
HISTORY

1. Amendment filed 2-10-83; designated effective 2-20-83 pursuant to Government Code section 11346.2(d) (Register 83, No. 7).
2. New article 10 heading and repealer and new section filed 2-4-93; operative 3-8-93 (Register 93, No. 6).
3. Editorial correction restoring History 1 (Register 99, No. 7).
4. Repealer and new section and amendment of Note filed 9-22-2009; operative upon the approval of the Secretary of the United States Department of Education, in accordance with title 34, Code of Federal Regulations, section 395.4(a) (Register 2009, No. 39).
5. Approved by the Secretary of the United States Department of Education in accordance with section 395.4(a) of title 34 of the Code of Federal Regulations on 6-2-2010; operative 9-15-2010 pursuant to section 7210(b)(2) of title 9 of the California Code of Regulations (Register 2010, No. 39).
6. Amendment of subsection (g) filed 7-27-2012 as an emergency; operative 7-27-2012 (Register 2012, No. 30). Pursuant to Welfare and Institutions Code section 19710, this action is a deemed emergency and the emergency regulations are exempt from OAL review. A Certificate of Compliance must be transmitted to OAL by 1-23-2013 or the emergency action will be repealed by operation of law on the following day.
7. Amendment of subsection (g) refiled 1-17-2013 as an emergency; operative 1-17-2013 (Register 2013, No. 3). Pursuant to Welfare and Institutions Code section 19710, this action is a deemed emergency and the emergency regulations are exempt from OAL review. A Certificate of Compliance must be transmitted to OAL by 4-17-2013 or emergency language will be repealed by operation of law on the following day.
§7227.1. Administrative Review.
Note     •     History

(a) Licensees or vendors who are dissatisfied with any action of the Department arising from licensing, selection as a vendor, termination or suspension of a license or vendor operating agreement, probation, or any other administrative action on the part of the Department, may elect to participate in the administrative review process prior to pursuing a full evidentiary hearing. Participating in an administrative review will not affect the right of a licensee or vendor to request a full evidentiary hearing. Licensees or vendors who elect to participate in the administrative review process shall comply with the following requirements. All requests for administrative review shall:
(1) Be made within 30 working days of the action or occurrence with which licensee or vendor is dissatisfied.

(2) 	Be made in writing to a Supervising Business Enterprise Consultant. Nothing shall prevent a licensee or vendor from addressing a request to a higher level, but the Department retains the right to remand the request back to a lower level.
(3) Include the following information:
(A) The reason for the request.
(B) The action the licensee or vendor wishes to have taken.
(b) Except in unusual circumstances, a request for an administrative review shall be processed and decided upon by the supervisory staff of the Department in the following order:
(1) The Supervising Business Enterprises Consultant shall examine the facts and recommend a proposed decision.
(2) The BEP Manager shall review the facts and either approve or change the proposed decision.
(3) The Deputy Director who oversees the Business Enterprises Program for the Blind shall have final review authority and shall decide the issue by approving or changing the proposed decision.
(c) The following requirements shall be met at all levels of the administrative review process:
(1) The supervisory staff of the BEP shall thoroughly review all facts pertinent to the disputed issue and shall endeavor to achieve a fair and equitable resolution to the complaint in an expeditious manner.
(2) A written notification of the decision shall be mailed to the licensee or vendor within 15 working days of the date the request was received by the Department. Each of the supervisory staff shall complete his or her level of review in sufficient time to ensure that this time frame is met. If at any level of review the supervisory staff has cause to believe that written notification cannot be provided within this time frame, the reviewer shall elevate the request to the next level of review.
(d) If a licensee or vendor is dissatisfied with the proceedings at any level of the review process, he or she may seek remedy by elevating the request to the next level of review or may abandon the administrative review process and seek remedy through a full evidentiary hearing.
(e) If the administrative review does not resolve the complaint, the licensee or vendor may request a full evidentiary hearing. The request shall be made in writing within 15 working days of the receipt of the administrative review decision.
NOTE

Authority cited: Sections 19006, 19016 and 19639, Welfare and Institutions Code; 20 USC Section 107b(5); and 34 CFR Section 395.4. Reference: Sections 19006, 19016, 19635 and 19639, Welfare and Institutions Code.
HISTORY

1. New section filed 2-4-93; operative 3-8-93 (Register 93, No. 6).
2. Amendment of section and Note filed 9-22-2009; operative upon the approval of the Secretary of the United States Department of Education, in accordance with title 34, Code of Federal Regulations, section 395.4(a) (Register 2009, No. 39).
3. Approved by the Secretary of the United States Department of Education in accordance with section 395.4(a) of title 34 of the Code of Federal Regulations on 6-2-2010; operative 9-15-2010 pursuant to section 7210(b)(2) of title 9 of the California Code of Regulations (Register 2010, No. 39).
§7227.2. Full Evidentiary Hearing.
Note     •     History

(a) Licensees or vendors who are dissatisfied with an action of the Department arising from licensing, selection as a vendor, termination or suspension of a license or vendor operating agreement, probation, or administration of the BEP may request a full evidentiary hearing before a hearing officer. All requests for a full evidentiary hearing shall:
(1) Be made within 30 working days of the action with which the licensee or vendor is dissatisfied, or within the time frame specified in Section 7227.1(e) of these regulations, if the licensee or vendor elected to participate in the administrative review process. In cases involving the suspension or termination of licensure or probation, the date of the action shall be deemed to be two days after the date the Department mails the written notice of proposed action specified in Section 7213.1 of these regulations.
(2) Be made in writing to the Department's Legal Affairs Office.
(3) Be date stamped by the Department's Legal Affairs Office upon receipt when the postmark is illegible or the request is personally delivered. 
(c) The licensee or vendor shall be notified of:
(1) The time and place of the hearing, which shall be accessible to both the hearing officer and the licensee or vendor and at a geographical location convenient to the licensee or vendor.
(2) The hearing procedures, including but not limited to:
(A) The circumstances under which a continuance may be granted.
(B) The opportunity to be represented by an authorized representative of the licensee's or vendor's choosing.
(C) The necessity of confirming attendance at the scheduled hearing.
(d) Any party or the hearing officer may request a continuance of the full evidentiary hearing which may be granted at the discretion of the hearing officer. A continuance shall be granted only if good cause exists and shall not extend the date of the full evidentiary hearing for more than 20 calendar days from the original hearing date. The hearing officer shall give written notice of any continuance to all parties. The notice of continuance for good cause shall include the grounds upon which the continuance was granted. For purposes of this subsection, good cause includes, but is not limited to, the following:
(1) Death of a family member of a party or authorized representative. For the purposes of this section family member shall include, but is not limited to, spouse or domestic partner. 
(2) Illness of a party or authorized representative. 
(3) Unavoidable conflicts in schedules that are beyond the control of a person essential to the full evidentiary hearing.
(4) Unavailability of a witness or evidence, the absence of which would result in prejudice to the licensee or vendor.
(e) The hearing officer shall voluntarily disqualify him or herself from hearing a case in which he or she cannot accord a fair and impartial consideration. Any party may request a disqualification of the hearing officer by filing an affidavit prior to the taking of evidence at the hearing, stating with particularity the grounds by which it is believed a fair and impartial hearing may not take place. Within five working days of the filing of the affidavit, the issue shall be decided by the Director or Chief Deputy Director and a new full evidentiary hearing scheduled.
(f) Except for properly granted continuances, the licensee or vendor shall be given one opportunity to appear at a scheduled hearing. Failure to appear occurs when the licensee or vendor is more than thirty minutes late for a hearing without good cause, as determined by the hearing officer, or has failed to give the hearing officer at least twenty-four hours notice of intent not to appear. Failure of an authorized representative to appear shall not constitute failure of the licensee or vendor to appear, provided the licensee or vendor agrees that the full evidentiary hearing shall proceed in the absence of the authorized representative. Upon the licensee's or vendor's failure to appear at a scheduled full evidentiary hearing, the hearing officer shall immediately send, by certified mail, to the licensee or vendor and the authorized representative, if any, a notice stating that the opportunity to appear has been exhausted and that a request to reschedule the full evidentiary hearing for good cause must be received by the Department within ten working days. If a response is not received within the required period, the hearing officer shall inform the Director who may dismiss the appeal with prejudice. If the request to reschedule is received within the required period and the hearing officer finds good cause has been shown, the full evidentiary hearing shall be rescheduled within 20 calendar days of receipt of the showing of good cause.
(g) The rules governing the full evidentiary hearing shall be as follows:
(1) The hearing officer shall receive all relevant evidence as specified in Government Code Section 11513(c).
(2) All testimony shall be under oath or affirmation. The hearing officer is hereby empowered to administer such oath or affirmation.
(3) The licensee or vendor may appear alone, with an authorized representative, or be represented by an authorized representative.
(4) The Department may be represented by the BEP Manager or staff, legal counsel, or any other person designated by the Department.
(5) All parties shall be allowed to call witnesses and to submit any relevant evidence.
(6) All parties shall be allowed to confront and question adverse witnesses.
(7) If it appears to the hearing officer that additional evidence not produced at the hearing is necessary for a full and fair hearing, he/she may order any of the following:
(A) A continuance of the hearing to take the additional evidence.
(B) That the record be left open to allow a party to submit written evidence not produced at the hearing. The other party shall be given an opportunity to respond to the new evidence and may request the hearing officer to reconvene the full evidentiary hearing if that is necessary for a fair response. The hearing officer shall determine whether or not reconvening is justified or if the record will be closed after he or she reevaluates the record.
(C) All documents submitted under (A) and (B) above shall be served upon both the hearing officer and the other party or parties.
(8) If the parties reach a settlement agreement prior to the record in the full evidentiary hearing being closed, the written settlement agreement executed by the parties shall be submitted to the Director who may issue the final decision in conformity therewith. If the Director does not issue a final decision in conformity therewith, the matter shall be remanded to the hearing officer for a full evidentiary hearing.
(9) The hearing officer shall prepare and submit to the Director a proposed decision within fifteen calendar days from the date the hearing record is closed. The hearing officer shall mail a copy of the proposed decision to the licensee or vendor and authorized representative, if any, at the time of submission to the Director. The proposed decision shall include at a minimum the following:
(A) The issues.
(B) The findings of fact.
(C) The reasons for the proposed decision referencing applicable laws, regulations and policy.
(10) Within 15 calendar days from receipt of the proposed decision from the hearing officer, the Director shall review the proposed decision based upon the standards specified in paragraph (11) of this section and take one of the following actions:
(A) Adopt the proposed decision in its entirety as the final decision.
(B) Decide an additional review is necessary to either:
1. Modify the proposed decision.
2. Reject the proposed decision and decide the matter on the basis of the record with or without additional evidence.
(11) The following standards of review shall be applied by the Director when reviewing each proposed decision rendered by the hearing officer. The proposed decision shall be adequately supported by:
(A) The sufficiency of the evidence.
(B) The findings of fact.
(C) Applicable state and federal laws and regulations.
(12) If the Director chooses to conduct an additional review of the proposed decision, he or she shall provide notice of the intent to review to all parties within the time limit specified in paragraph (10) of this section and may do either of the following:
(A) Resubmit the matter to the hearing officer for the taking of additional evidence in accordance with paragraph (7) of this section. In this instance the Director shall render a final decision within 15 calendar days of the receipt of the additional evidence.
(B) Modify the proposed decision or reject the proposed decision on the basis of the record without additional evidence. In this instance, the Director shall render a final decision within 15 calendar days of having provided notice of his or her intent to review the proposed decision.(13) The Director shall base the final decision upon careful consideration of:
(13) The Director shall base the final decision upon careful consideration of:
(A) The issues.
(B) The findings of fact.
(C) Applicable law, regulation and policy.
(D) Any new evidence submitted by the licensee or vendor or authorized representative in conjunction with the Department's written response or rebuttal to the new evidence
(14) The final decision shall be sent to the licensee or vendor and the authorized representative, if any, by certified mail within five working days of the decision being adopted by the Director. An explanation of the licensee's or vendor's right to file a complaint with the Secretary shall be mailed with the final decision.
(h) The record of the hearing shall consist of the decision resulting from the administrative review, if that process was undertaken prior to the full evidentiary hearing, the proposed decision, the final decision, a transcript or recording of the hearing, and all exhibits, papers and reports filed in the proceeding. If requested by the licensee or vendor or the authorized representative, the record of the hearing or any part thereof shall be furnished to him or her within 30 calendar days from receipt of a written request at a cost not to exceed ten cents per page or for free if fewer than ten pages are requested. 
(i) If a licensee or vendor is dissatisfied with the decision made after a full evidentiary hearing he or she may request that an arbitration panel be convened by filing a complaint with the Secretary of the United States Department of Education pursuant to 20 United States Code section 107d-1(a).
NOTE

Authority cited: 20 USC Section 107b(5); 34 CFR Section 395.4; and Sections 19006, 19016 and 19639, Welfare and Institutions Code. Reference: 20 USC 107b(5), 107b(6), 107d-1 and 107d-2; 34 CFR Section 395.13; and Section 19635, Welfare and Institutions Code. 
HISTORY

1. New section filed 2-4-93; operative 3-8-93 (Register 93, No. 6).
2. Amendment of section and Note filed 9-22-2009; operative upon the approval of the Secretary of the United States Department of Education, in accordance with title 34, Code of Federal Regulations, section 395.4(a) (Register 2009, No. 39).
3. Approved by the Secretary of the United States Department of Education in accordance with section 395.4(a) of title 34 of the Code of Federal Regulations on 6-2-2010; operative 9-15-2010 pursuant to section 7210(b)(2) of title 9 of the California Code of Regulations (Register 2010, No. 39).
Chapter 7. Special Programs
§7260. Social Security Disability Insurance, Supplemental Security Income Programs. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 19006 and 19016, Welfare and Institutions Code. Reference: 45 CFR, 1361.110 et seq. and 45 CFR, 1361.120 et seq., and 42 USC 402, 422 and 1382(d).
HISTORY

1. New article 14 (section 7260) filed 4-4-80; effective thirtieth day thereafter (Register 80, No. 14).
2. Amendment filed 10-18-80; effective thirtieth day thereafter (Register 80, No. 42).
3. Renumbering of former article 14 (sections 7260-7265) to chapter 7 (sections 7260-7265) filed 6-21-90; operative 7-21-90 (Register 90, No. 35).
4. Repealer filed 1-14-92; operative 2-13-92 (Register 92, No. 13).
Article 1. College Level Training  for the Deaf
§7261. Definitions and Terms.
Note     •     History

(a) For the purposes of this Article, the following definitions shall apply:
(1) “Coordinating Rehabilitation Counselor for the Deaf or Coordinating RCD” means the individual responsible for the provision of services to clients attending Gallaudet University, the National Technical Institute for the Deaf (NTID), and the California State University, Northridge (CSUN).
(2) “Coordinating Rehabilitation Supervisor or Coordinating RS” means the individual who provides direct supervision to the Coordinating RCD.
(3) “Deaf and Hard of Hearing Services Section Program Manager” means the individual employed by the Department to oversee the development and coordination of policy with respect to programs for the deaf and hearing impaired which are administered through the Deaf and Hard of Hearing Services Section.
(4) “Departmental Sponsorship” means the provision of funding, in whole or in part for a deaf client's college level training program.
(5) “Local/Sending Rehabilitation Counselor for the Deaf or Local/Sending RCD” means the individual who has determined a client's eligibility for college level training and is processing the case for services and/or transfer to a Coordinating Rehabilitation Counselor for the Deaf.
(6) “Local/Sending Rehabilitation Supervisor or Local/Sending RS” means the individual who provides direct supervision to the Local/Sending RCD.
(7) “Sponsorship Probation means a trial period in which a client/student is permitted to correct any deficiency related to meeting the requirements set forth in Section 7261.2(a)(1) through (4).
NOTE

Authority Cited: Sections 19006 and 19016, Welfare and Institutions Code. Reference: Sections 19050, 19150 and 19200, Welfare and Institutions Code; 34 CFR Section 361.42.
HISTORY

1. New section filed 12-23-91; operative 1-22-92 (Register 92, No. 13).
2. Editorial correction restoring inadverently omitted article heading (Register 93, No. 7).
§7261.1. General Provisions.
Note     •     History

(a) The Department shall inform deaf clients of in-state and out--of-state college training opportunities. A client shall be considered for Departmental sponsorship of his/her college program only if he/she has all of the following:
(1) A clearly defined vocational goal which requires college level training,
(2) The ability and potential to complete the IWRP based upon the following academic criteria:
(A) For a four-year college program:
1. Completion of a standardized test acceptable to the college, including but not limited to, the Stanford Achievement Test, the Stanford Achievement Test for the Hearing Impaired, or the Scholastic Aptitude Test. The client shall be required to have:
a. Average scores of at least 8.0 on the reading, language and math subtests, when a standardized achievement test is taken.
b. The equivalent of at least an 8.0 grade level of achievement, when a college entrance exam is taken.
c. For Gallaudet University, when the Stanford Achievement Test For the Hearing Impaired is taken, scores on the subtests of at least 8.0 in reading, 8.5 in language and an average of 8.5 in math.
2. Acceptance of scores lower than those specified in 1. require one of the following:
a. Justification and rationale by the local RCD and approval by the local RS.
b. Successful completion of at least one year of college level core classes. Academic success is measured by the completion of a minimum of 12 units per semester/quarter with a grade of ”C“ or better in each class while maintaining a 2.0 G.P.A.
(B) For the National Technical Institute for the Deaf:
1. Completion of a standardized test, as specified in (a)(2)(A)1., with the average scores specified in either a. or b.
2. Lower scores than those specified in 1. shall be acceptable only if the requirements of (a)(2)(A)2. have been met.
(C) For two-year college programs:
1. The local RCD shall make a determination of the client's ability to successfully complete the IWRP based upon the client's goals and related training needs, level of maturity, past performance and school records, if available, and shall prepare a written justification and rationale supporting the training. Training shall be subject to the approval of the local RS after he or she has reviewed the justification and rationale and ensured that the Provisions of sections 7154 through 7156 have been met.
(3) A disability that is stable to ensure the completion of the training.
(4) A means of support, such as SSI/SSDI, a scholarship, or personal funds, which is available to pay for the client's basic living expense while attending school. Maintenance payments shall not be provided except as set forth in Section 7167.
(5) A formal acceptance at the college in a program that meets the academic requirements for admittance at least as a freshman.
(b) The provision of college level training for the deaf shall be subject to all of the following:
(1) The similar benefits provisions of Sections 7031 through 7034.
(2) The training services provisions of Section 7154.
(3) The out-of-state training provisions of Section 7158.8, except for training at the following Federal Regional Post Secondary Educational Programs:
(A) Gallaudet University.
(B) National Technical Institute for the Deaf (NTID).
(C) Seattle Community College.
(D) St. Paul Technical-Vocational Institute.
(c) Graduate school training and tuition at non-resident rates shall not be provided unless both of the following conditions exist:
(1) The provision of service is essential to the success of the IWRP.
(2) The approval of the local RS has been obtained after he/she has ensured that the requirements of (a) and (b) have been met, as well as the training services provisions of Section 7154.
(d) Any client who fails to meet one or more of the requirements of Section 7261.2 (a)(1) through (4) shall be placed on sponsorship probation for one grading period following the grading period in which deficiency occurred, or until such time as the Coordinating RCD confirms that the client has corrected the deficiency and is in compliance with those requirements. Except in unusual circumstances, sponsorship probation shall not be extended beyond the time frame specified above. All extensions shall require the prior approval of the Coordinating RS. The Coordinating RCD shall:
(1) Comply with the requirements of Sections 7261.4(a)(2)(F) and (G) before making a decision to withdraw financial support for the client's training because no improvement has been made.
(2) Give the client the option of financing his/her own college program, if support is to be withdrawn.
(e) The Coordinating RCDs shall meet as needed with their RSs and the Deaf and Hard of Hearing Services Section for mutual caseload conferences and problem solving to ensure consistent application of policies and procedures in all caseloads.
(f) Case disputes which may arise between districts shall be referred to the Deaf and Hard of Hearing services Section Program Manager for review and recommendations.
NOTE

Authority Cited: Sections 19006 and 19016, Welfare and Institutions Code. Reference: Sections 19050, 19150 and 19200, Welfare and Institutions Code; 34 CFR 361.42 and 361.47(b).
HISTORY

1. New section filed 12-23-91; operative 1-22-92 (Register 92, No. 13).
§7261.2. Client/Student Responsibilities.
Note     •     History

(a) Each client participating in college level training shall be subject to all requirements specified below to remain in the program. The client shall:
(1) Maintain a minimum of 12 credit hours/units per quarter/semester, whichever is appropriate to the college. Due to extenuating circumstances such as a family problem, the Coordinating RCD may approve taking fewer credit hours/units for that grading period in which the problem occurred.
(2) Maintain a cumulative grade point average of 2.0.
(3) Communicate with his/her coordinating RCD on a regular basis as outlined and agreed upon in the IWRP to discuss course progress and any major program changes.
(4) Provide his/her Coordinating RCD with grade and progress reports as they are received from the college.
(5) Promptly correct any deficiency, if placed on sponsorship probation.
NOTE

Authority cited: Sections 19006 and 19016, Welfare and Institutions Code. Reference: Sections 19150 and 19200, Welfare and Institutions Code; 34 CFR 361.42.
HISTORY

1. New section filed 12-23-91; operative 1-22-92 (Register 92, No. 13).
§7261.4. Counselor Responsibilities.
Note     •     History

(a) For clients attending a program outside the geographic boundaries of his/her local district office which is served by a coordinating district, the Local/Sending RCD shall contact the Coordinating RCD to discuss the appropriateness of the program for the client and to work towards finalizing the IWRP and case transfer.
(1) The Local/Sending RCD's responsibilities shall include:
(A) Confirming acceptance and justifying potential for college level work.
(B) Updating the case file with documentation which demonstrates that the client meets the applicable criteria set forth in Section 7261.1 (a), (b), and (c) and also includes:
1. The results of the following required medical examinations:
a. General Medical Exam.
b. Otological Exam.
c. Ophthalmological or Optometric Exam.
d. Any other examination recommended by the Medical Consultant.
2. School transcripts, if available.
3. Achievement test results, if required to determine eligibility for Departmental sponsorship of the program.
4. Documentation on any grants, scholarships or similar benefits for which the client has applied.
C. Developing jointly and mutually agreeing upon the IWRP with the client and the Coordinating RCD to include:
1. Support services, as appropriate, such as notetakers, sign or oral interpreters and tutors.
2. Physical restoration services such as eye glasses or hearing aids.
3. Specific client responsibilities as specified in 7261.2.
(2) The Coordinating RCD for Gallaudet, NTID, or CSUN receiving the client shall provide general case supervision and maintain the case file for deaf clients attending the programs under his/her jurisdiction. The Coordinating RCD's responsibilities shall include:
(A) Coordinating the development and transfer of the case with the Local/Sending RCD.
(B) Obtaining current schedules of fees and the actual cost of books and supplies from the college and informing the client of the amount authorized for these expenses at the beginning of each school year.
1. Additional authorizations may be made for books/supplies, if requested by the client at least one week in advance of his/her need and if approved by the Counselor.
(C) Providing the client with those support services, books and supplies which are necessary to ensure the successful completion of the IWRP.
(D) Giving the client written notification at the beginning of each school year to inform him/her of the importance of maintaining periodic communication. Such communication shall be in accordance with Section 7261.2 (a)(3) and (4).
(E) Documenting the case record with a summary of all client/counselor communications specifically listing any problems the client may have and/or progress made with the course of study.
(F) Providing written notification to inform a client, who has failed to meet one or more of the requirements of Section 7261.2(a) (1) through (4), that immediate steps must be taken to correct the deficiency(ies). The notice shall be in the client's primary language and at the client's language level. The notice shall inform the client that he/she has been placed on sponsorship probation in accordance with Section 7261.1(d), and that Department sponsorship shall be withdrawn if he/she fails to correct the deficiency(ies) within the time frames specified below. Deficiencies shall be corrected within:
1. 30 days from the date of a written notification informing the client of his/her failure to communicate or to provide grade/progress reports.
2. One grading period following the grading period in which the client has failed to maintain:
a. A cumulative grade point average of 2.0.
b. The required number of credit hours/units specified in 7261.2(a)(1).
(G) Assisting the client who is academically deficient to set specific objectives and to pursue the resources that are available to aid the client in clearing the deficiency. The resources may include tutoring or attendance at either an adult education school or community college. The case file shall be documented to indicate which resources have been discussed and which resources the client plans to utilize.
(H) Providing the client attending an out-of-state college with a travel allowance consistent with the lowest public air carrier rate for round trip transportation and baggage shipment. The travel allowance shall only be provided for the transportation expenses necessary for the client/student to travel to the college in the fall and return in the spring, or one round trip per school year.
1. The client shall have the option of using his/her travel allowance for air fare or may use that allowance on any other mode of transportation he or she chooses.
(I) Scheduling annual counseling visits to each school.
(J) Informing the client who has completed his/her educational program that he/she has the following options. The client may request:
1. That his/her case be transferred to either:
a. The district where he/she hopes to find employment.
b. The local/sending district.
2. To remain in the Coordinating RCD's caseload.
(b) For deaf clients attending a college within the geographic boundaries of his/her local district office, or an out-of-state program not covered by a Coordinating RCD, the local/sending RCD shall provide the basic eligibility determination and planning of the IWRP and shall assume all those responsibilities specified in (a).
NOTE

Authority cited: Sections 19006 and 19016, Welfare and Institutions Code. Reference: Sections 19150 and 19200, Welfare and Institutions Code; 34 CFR Section 361.42.
HISTORY

1. New section filed 12-23-91; operative 1-22-92 (Register 92, No. 13).
Article 2. Orientation Center for the Blind (OCB)
§7262. Admissions Requirements.
Note     •     History

(a) Blind clients shall be eligible to receive the training offered at the Orientation Center for the Blind (OCB) only if they have been accepted by the Admissions Committee, defined in subsection (d). Before deciding acceptance, the Admissions Committee shall make a careful review of the case file, the contents of which is specified in section 7262.5(a)(1), to determine if the client:
(1) Meets the referral criteria specified in subsection (b).
(2) Has a need for and is likely to benefit from the comprehensive, intensive services provided by the OCB preparatory to engaging in a vocational rehabilitation program. Services include:
(A) Assistance in adapting socially and psychologically to blindness and developing daily living and prevocational skills.
(B) Instruction, as appropriate, in a residential setting in the areas of mobility, braille, industrial arts, grooming, typing, shopping, abacus, sewing, physical conditioning and training in the use of technological aids and devices such as computers.
(b) A client shall meet at least one of the following conditions before a Counselor makes a referral to the Admissions Committee for review. The results of examinations performed by an ophthalmologist or an optometrist shall be submitted to demonstrate that the client:
(1) Is blind within the meaning set forth in Section 19153, Welfare and Institutions Code.
(2) Has a serve visual impairment which significantly limits the individual's ability to function visually.
(3) Has a prognosis which indicates that vision is diminishing, and legal blindness is anticipated.
(c) Referral priority shall be given to a recently blinded client providing that the client's general physical and psychological condition would permit full participation in the learning process and the client shows a strong desire to undertake the orientation program.
(1) “Recently blinded” means any individual who has become blind within a period of three years prior to his/her application for enrollment.
(d) The Admissions Committee consisting of the OCB Administrator, the OCB Rehabilitation Counselor, the OCB Medical Consultant and one faculty member shall:
(1) Consider each case using the criteria specified in subsections (a), (b) and (c) within two weeks of referral unless the Committee has questions which cannot be answered by examining the case file and shall then either:
(A) Request additional information from the referring Counselor, or
(B) Arrange for the client to visit the Center at no expense to the client.
(2) Place a client selected for admission on a waiting list who shall then be accepted into the OCB in referral date order after such consideration as:
(A) Available space for applicants who will fully participate in the program on a residential basis.
(B) Available dormitory space for males and females.
(C) Immediate need for service to retain current employment.
(D) Medical needs of the client population currently residing at the Center.
(3) Prepare a written summary of the Committee's reasons if a client is denied admission and send such summary to the referring Counselor within one week of that decision. The referring Counselor shall provide the client with a copy of the Committee's summary upon the client's request.
NOTE

Authority cited: Sections 19006 and 19016, Welfare and Institutions Code. Reference: Sections 19153 and 19500-19506, Welfare and Institutions Code; 34 CFR Section 361.42.
HISTORY

1. New Article 2 and section filed 2-10-93; operative 3-12-93 (Register 93, No. 7).
§7262.1. Student Competency/Skills Deficiency Assessment.
Note     •     History

(a) Upon enrollment, a written training schedule shall be jointly developed by the student and OCB staff, to include those services specified in section 7262(2)(A) and (B), which will both:
(1) Assess the functional limitations and capacities of the student.
(2) Meet the individual training needs of the student.
(b) The written training schedule shall include all of the following:
(1) The necessary areas of training specific to the student.
(2) The anticipated length of stay at the Center.
(3) A statement of understanding regarding the student's rights and responsibilities as specified in section 7262.7.
(c) The written training schedule shall be modified, as necessary, to accommodate the changing needs of each student as he/she progresses through the program. Any modifications to the training schedule shall be made in writing and shall be made only after conferring with the student.
(d) Written assessments of each student's progress shall be made by each instructor at least three times during the course of training with a final report at the conclusion of training.
NOTE

Authority cited: Sections 19006 and 19016, Welfare and Institutions Code. Reference: Sections 19500-19506, Welfare and Institutions Code; 34 CFR Section 361.42.
HISTORY

1. New section filed 2-10-93; operative 3-12-93 (Register 93, No. 7).
§7262.3. Needs Assessments and Planning--Health.
Note     •     History

(a) Within the first 24 hours of a new student's arrival, the OCB Counselor shall:
(1) Provide the student with information regarding the transmission of infectious diseases including those which are blood borne, airborne, sexually transmitted and transmitted through the sharing of needles, with special emphasis on AIDS. The information shall be in braille, large print or on tape.
(2) Require the student to sign a statement acknowledging receipt of the information specified in (a)(1), or note the student's refusal, if the student refuses to sign.
(3) Provide the student with proper materials, such as gloves, to safely clean up spills and to ensure that hygienic conditions are maintained.
(b) Limited health related services shall be available to students and shall include those services offered by:
(1) The OCB Physician who shall:
(A) Review all medical reports prior to a student's enrollment and make recommendations in regard to further examination or treatment.
(B) Confirm that all students are continuing their required medication or medical treatment through a physician in the area.
(C) Consult with treating physicians regarding medication therapy and arrange for medication to be administered at the Center when feasible.
(D) Diagnose immediate and pending problems and prescribe interim treatment for minor conditions not requiring referral to another physician.
(E) Arrange student consultations with the Nutritionist in those cases where there is a need for a special diet or a metabolic problem exists.
(F) Be available to staff for advice in emergency situations.
(G) Work in conjunction with the nurse to record the following information in the student's medical record:
1. The administration of prescribed drugs.
2. Appointments with physicians.
3. Recommendations of students' physician(s).
4. Any treatment given or arranged for by the OCB.
(H) Review the health status of students to determine their capability of continuing with training and advise the OCB Counselor and/or other appropriate staff when a student's medical condition is such that there can be no further benefit from training at the Center.
(2) The Nurse who shall:
(A) Administer medication, within his/her realm of competency, as prescribed by licensed physicians.
(B) Make necessary medical appointments and arrangements for transportation in instances when the client has not reached the skill level or his/her health condition does not permit taking independent action in this area.
(C) Administer first aid when required.
(D) Manage emergency situations when on duty.
(3) The Nutritionist who shall:
(A) Discuss dietary problems with students.
(B) Develop special diets for those students who need them.
(C) Review menus to ensure they meet accepted nutrition standards.
NOTE

Authority cited: Sections 19006 and 19016, Welfare and Institutions Code. Reference: Sections 19500-19506, Welfare and Institutions Code; 34 CFR Section 361.42.
HISTORY

1. New section filed 2-10-93; operative 3-12-93 (Register 93, No. 7).
§7262.5. Counselor Responsibilities.
Note     •     History

(a) The referring Counselor shall:
(1) Ensure that the case file is properly documented prior to submission to the Admissions Committee for review to include all of the following:
(A) A report by an ophthalmologist or optometrist, including a description of usable residual vision and, if appropriate, recommendations for low vision aids.
(B) A current medical or internist report including results of a recent blood test indicating creatinine level, BUN (blood urea nitrogen), and blood fasting sugar for all clients who are diabetic.
(C) A chest X-ray or a TB skin test report.
(D) Reports of any psychological tests completed.
(E) School transcripts, if available.
(F) Employment history, if any.
(G) A referral letter which specifies:
1. Particular areas in which the client needs training.
2. Why OCB training is appropriate.
3. Which services are anticipated to continue after OCB training.
4. A tentative vocational objective.
(H) An overview of the student's means of support.
(2) Ensure there has been follow-up on recommendations for low vision aids prior to enrollment.
(3) Inform the client, if accepted at the OCB, when a vacancy is anticipated.
(4) Ensure that the client has a watch or an alarm clock (Braille when appropriate) when he/she arrives at the OCB.
(5) Confer with the OCB Counselor to provide the client with additional equipment and supplies, if necessary.
(6) Maintain communication throughout the client's stay, at least every 30 days to check on the client's progress.
(7) Inform the client, within one week of the Committee's decision to deny admission, of his/her right to appeal the decision and the time frame for filing an appeal. A written summary of the reasons for the Committee's decision shall be provided, if requested by the client.
(b) The OCB Counselor shall:
(1) Ensure the provision of classes, seminars, and counseling sessions on the transmission of infectious diseases including those which are blood borne, airborne, sexually transmitted and transmitted through the sharing of needles, with special emphasis on AIDS. Instruction shall be given to new staff when hired, to students in accordance with section 7262.3(a) and at least every three months after admittance to the OCB, and to existing staff at least twice annually.
(2) Participate in staff conferences, attended by the counselors and teachers working with the clients. The conferences shall be scheduled:
(A) At least every two weeks, to discuss the overall progress of clients.
(B) Within two weeks of the time a client leaves the program, to secure a final report of the client's mastery of those skills which prepare him/her for vocational services.
(3) Compile the assessments submitted by the staff attending each conference and ensure that copies are:
(A) Given to the student, if requested.
(B) Incorporated in the case record.
(C) Sent to the referring Counselor.
(4) Notify the referring Counselor of the client's readiness to leave the Center.
(5) Notify students whose absences are sufficient to interfere substantially with progress at the Center that one of the following actions shall be taken depending on the circumstances in each individual case. The student may:
(A) Be placed on probation until attendance improves.
(B) Be placed on a leave of absence until such time as the problem causing the absenteeism has been corrected.
(C) Be dismissed from the program if the absenteeism is not corrected.
NOTE

Authority cited: Sections 19006 and 19016, Welfare and Institutions Code. Reference: Sections 19500-19506, Welfare and Institutions Code; 34 CFR Section 361.42.
HISTORY

1. New section filed 2-10-93; operative 3-12-93 (Register 93, No. 7).
§7262.7. Student Responsibilities.
Note     •     History

(a) A student attending the OCB shall:
(1) Attend all scheduled classes unless too ill to do so, or unless an excused absence has been obtained by contacting the OCB Counselor and informing the teacher of the absence.
(2) Keep all medical appointments.
(3) Be solely responsible for both of the following:
(A) The sanitation, veterinary care, feeding, and upkeep of his/her guide dog.
1. A student shall assume financial responsibility for the board and care of his/her guide dog if absent from OCB for any reason.
(B) Any injury or damage which has its origin in the behavior or activity of his/her guide dog.
NOTE

Authority cited: Sections 19006 and 19016, Welfare and Institutions Code. Reference: Sections 19500-19506, Welfare and Institutions Code; 34 CFR Section 361.42.
HISTORY

1. New section filed 2-10-93; operative 3-12-93 (Register 93, No. 7).
Article 3. Loan Guarantee Programs
§7263. Definitions.
Note     •     History

(a) For the purposes of this article, the following definitions shall apply:
(1) “Assistive Technology Loan Guarantee Program” means the program established pursuant to Sections 19850 through 19856, Welfare and Institutions Code.
(2) “Department” means the Department of Rehabilitation.
(3) ``Eligible lender'' means a financial institution organized, chartered, or holding a license or authorization certificate under a law of this state or the United States to make loans or extend credit and subject to supervision by an official or agency of this state or the United States.
(4) “Eligible persons” means any of the following provided that household income does not exceed the level prescribed for moderate-income families by the Department of Housing and Community Development pursuant to Section 50093 of the Health and Safety Code:
(A) Parents or legal guardians of children of any age with disabilities who are living in the home and who require a modified vehicle for mobility, as certified by a physician or the Department.
(B) Persons with disabilities who require a modified vehicle for mobility, as certified by a physician or the Department, and who have been found ineligible for vocational rehabilitation services from the Department or who are eligible for vocational rehabilitation services but have been placed on the Department's order of selection waiting list pursuant to Section 7053. The person shall be employed and require a vehicle to maintain that employment.
(5) “Household income” means the net income received by the individuals specified in either (A), (B), or (C). Net income is the amount of income received after deductions for such items as income tax withholdings, state disability insurance, health insurance premiums, or retirement. In the case of an employer, net income is the amount of income received after deductions for all expenses and any items specified above.
(A) When the loan is for an item for the primary benefit of a child with a disability, the income received by or on behalf of the child as well as the income of any person living with the child who contributes to his/her support shall be considered household income.
(B) Except as specified in (C), when the loan is for an item for the primary benefit of an adult, the income received by that person and that person's spouse, or other adult with whom that person voluntarily shares income or financial responsibility, shall be considered household income.
(C) When an employer is applying for the loan in accordance with Section 7264.4(a)(1)(C), the employer's income shall be considered the household income.
(6) ``Loan guarantee agreement'' means the contractual agreement between the lender and the Department which specifies the terms of the loan guarantee and the conditions under which the Department may terminate a loan guarantee.
(7) ``Program Administrator'' means the Department's designee who reviews and approves applications for the programs.
(8) ``Transportation Loan Guarantee Program” means the program established pursuant to Sections 19460 through 19470, Welfare and Institutions Code.
NOTE

Authority cited: Sections 19006, 19016 and 19470, Welfare and Institutions Code. Reference: Sections 19460-19470, 19852 and 19853, Welfare and Institutions Code.
HISTORY

1. New section filed 12-31-80; effective thirtieth day thereafter (Register 81, No. 1).
2. New article 3 heading filed 4-22-93; operative 5-24-93 (Register 93, No. 17).
3. Amendment of article heading, section heading, text and Note filed 4-5-94; operative 5-5-94 (Register 94, No. 14).
4. New subsections (a)(2) and (a)(4)-(a)(4)(B), subsection renumbering, and amendment of newly designated subsections (a)(3) and (a)(5) filed 5-17-2001; operative 5-17-2001 pursuant to Government Code section 11343.4 (Register 2001, No. 20).
§7263.5. Application Process.
Note     •     History

(a) Any person wishing to apply for either the Assistive Technology or Transportation Loan Guarantee programs may do so at any of the Department's District or Branch offices. Applicants shall supply the Department with all of the following information:
(1) The name, home address and telephone number of the individual whom the loan will benefit.
(2) Documentation of the current monthly household income and expenses.
(3) Proof of steady employment and/or other source of income for a minimum of one year prior to the date of the loan request.
(4) Either of the following:
(A) A physician's certification, including a description and prognosis of the individual's disabling condition, that:
1. In the case of applicants for the Transportation Loan Guarantee program, the child or employed adult requires a modified vehicle for mobility.
2. In the case of applicants for the Assistive Technology Loan Guarantee program, the individual with a disability requires the specified equipment, aid or device in order to engage in employment or to live more independently.
(B) A written description from a professional knowledgeable in the field, such as an independent living specialist, rehabilitation engineer, or a private rehabilitation counselor of both 1. and either 2. or 3.:
1. The individual's functional capacities.
2. The type of vehicle and the modifications that will be necessary to a vehicle for applicants for the Transportation Loan Guarantee program.
3. The specific type of equipment, aid or device that will be required based upon the individual's functional capacities in order for the individual to engage in employment or live more independently for applicants for the Assistive Technology Loan Guarantee program.
(5) The estimated or, if known, the actual amount of the loan request.
(6) For applicants for the Transportation Loan Guarantee program, an estimate of the number of miles per month that the applicant anticipates the vehicle will be driven.
(7) Any additional information specified by the Department that is necessary to determine eligibility for a loan guarantee pursuant to these regulations.
(b) Any cost incurred as a direct result of the application process shall be the responsibility of the applicant. However, those costs may be included as part of the loan request.
NOTE

Authority cited: Sections 19006, 19016 and 19470, Welfare and Institutions Code. Reference: Sections 19460 through 19470 and 19853, Welfare and Institutions Code.
HISTORY

1. New section filed 4-5-94; operative 5-5-94 (Register 94, No. 14).
§7264. Eligibility Requirements -- General.
Note     •     History

(a) To be eligible for either loan guarantee program, an applicant shall meet all of the following conditions:
(1) Have household income, after deducting current expenses, at least equal to the amount of the monthly loan payment plus the costs of operating and maintaining the item(s), as determined in accordance with (b), for which the loan is requested. Current expenses shall include, but not be limited to, housing, utility and food costs, attendant care costs, and payments on outstanding obligations.
(2) Have a credit record that supports a determination by the Department, in consultation with the lender, that the applicant is unlikely to default on the loan.
(3) Have an approved loan request that is all of the following:
(A) From an eligible lender.
(B) Contingent upon a contractual agreement with the Department to guarantee the loan.
(C) Not in excess of:
1. For the Assistive Technology Loan Guarantee program, the actual total costs of the item(s) to be purchased plus any costs specified in Section 7263.5(b).
2. For the Transportation Loan Guarantee program, the lesser of either the amount specified in Section 19469, Welfare and Institutions Code or the amount necessary for the costs of all of the following:
a. The purchase of the vehicle and other special equipment required to safely transport or be driven by the child or the employed person with a disability.
b. Vehicle insurance at the minimum level required by State law.
c. Any costs specified in Section 7263.5(b).
(b) The costs of operating and maintaining the item(s) to be purchased shall be determined as follows:
(1) For equipment, including vehicle modifications, aids and devices, the amount specified by the entity from which the item(s) will be purchased.
(2) For vehicles, the Department shall multiply the estimated monthly mileage reported by the applicant by $.15 per mile for vehicles other than vans and $.20 per mile for vans. If vehicle insurance is not included in the approved loan request, the costs of such insurance at the minimum level required by State law shall be prorated monthly and added to this amount.
NOTE

Authority cited: Sections 19006, 19016 and 19470, Welfare and Institutions Code. Reference: Sections 19460 through 19470 and 19853, Welfare and Institutions Code.
HISTORY

1. Repealer and new section filed 4-5-94; operative 4-5-94 (Register 94, No. 14).  For prior history, see Register 81, No. 1. 
§7264.2. Eligibility Requirements--Transportation Loan Guarantee Program. 
Note     •     History

(a) In addition to the requirements specified in Section 7264, to be eligible for a loan guarantee under the Transportation Loan Guarantee Program the applicant shall meet the definition of an eligible person established in Section 7263(a)(4)(A) or (B).
(b) The Department's certification pursuant to Section 7263(a)(4)(A) and (B) shall be based upon the information specified in Section 7263.5(a)(4)(B).
NOTE

Authority cited: Section 19470, Welfare and Institutions Code. Reference: Sections 19460 through 19470, Welfare and Institutions Code.
HISTORY

1. New section filed 4-5-94; operative 5-5-94 (Register 94, No. 14).
2. Amendment of subsection (a), repealer of subsections (a)(1)-(a)(2) and amendment of subsection (b) filed 5-17-2001; operative 5-17-2001 pursuant to Government Code section 11343.4 (Register 2001, No. 20).
§7264.4. Eligibility Requirements -- Assistive Technology Loan Guarantee Program.
Note     •     History

(a) In addition to the requirements specified in Section 7264, to be eligible for an approved loan under the Assistive Technology Loan Guarantee program all of the following conditions shall exist:
(1) The applicant shall be one of the following:
(A) An adult with a disability.
(B) The parent of a child with a disability.
(C) A private employer of an employee with a disability.
(2) The item(s) to be purchased with the loan shall be both:
(A) For the benefit of a person with a disability who requires the use of the item(s) to engage in employment or to live more independently as certified by a physician or by the Department. The Department's certification shall be based upon the documentation specified in Section 7263.5(a)(4)(B).
(B) Unobtainable for the person with a disability from a free or less costly source. In order to make this determination, the Department may require such actions of the applicant or the person with a disability as the:
1. Submission of proof of the denial of purchase of the item(s) from sources such as Medi-Cal, Medicare or private health insurance when the person with a disability is currently eligible under such programs and the item(s) to be purchased appear to be covered benefits.
2. Application for benefits/services under programs such as Vocational Rehabilitation, Independent Living Services and Medi-Cal when the person with a disability appears eligible for such programs and the item(s) to be purchased appear to be services/benefits available from the programs.
3. Purchase of the item(s) from a specified source when the Department has knowledge that the cost of the item(s) is less from the specified source than the amount of the loan request.
NOTE

Authority cited: Sections 19006, 19016 and 19470, Welfare and Institutions Code. Reference: Section 19853,  Welfare and Institutions Code.
HISTORY

1. New section filed 4-5-94; operative 5-5-94 (Register 94, No. 14).
§7264.6. Eligibility Determination Process.
Note     •     History

(a) Within five working days of receipt of the information specified in Section 7263.5, the District or Branch office shall initiate an eligibility determination to ensure that the non-financial eligibility requirements specified in the following sections are met:
(1) Section 7263(a)(4)(A) or (B) for applicants for the Transportation Loan Guarantee Program.
(A) When needed to determine whether the applicant is an eligible person as defined in Section 7263(a)(4)(B), the Department shall:
1. Conduct an eligibility determination for vocational rehabilitation services pursuant to Section 7060 et seq.; and
2. For applicants who are determined to be eligible for vocational rehabilitation services, determine the applicant's priority category under order of selection pursuant to Section 7050 and determine whether the applicant will be placed on the order of selection waiting list pursuant to Section 7053.
(B) When it is necessary for the Department to make the determination(s) specified in (a)(1)(A), the applicant's loan guarantee request shall be held pending the outcome of such determination(s).
(2) Section 7264.4 for applicants for the Assistive Technology Loan Guarantee Program. If proof of denial of coverage must be submitted in accordance with Section 7264.4(a)(2)(B) 1. or 2., the loan guarantee request shall be held pending the completion of the action(s) required by those regulations.
(b) Upon completion of the non-financial eligibility determination, the District or Branch office shall take either of the following actions, as appropriate:
(1) Refer applicants who are eligible based upon the non-financial eligibility determination to the Program Administrator. The referral shall include all of the information collected during the application and non-financial eligibility determination process.
(2) Deny the loan guarantee request when the applicant does not meet the non-financial eligibility criteria or refuses to cooperate with any phase of the non-financial eligibility determination process.
(c) Within five working days of receipt of a referral specified in (b)(1), the Program Administrator shall initiate an eligibility determination to ensure that the following financial eligibility criteria are met:
(1) There are sufficient funds in the appropriate account to cover the loan guarantee.
(2) Based upon the applicant's household income and current expenses, it appears that the applicant has sufficient income to make the monthly loan repayment.
(3) Based upon the applicant's employment or income history over the previous year, it appears that the applicant will not default on the loan.
(4) The household income of an applicant for the Transportation Loan Guarantee program is within the limits specified in Section 19461, Welfare and Institutions Code.
(d) Upon completion of the financial eligibility determination, the Program Administrator shall take either of the following actions, as appropriate:
(1) Contact a lender who will mail its standard loan application to the applicant when the applicant is eligible based upon the financial eligibility determination. 
(2) Deny the loan guarantee request when any of the following conditions exist:
(A) There are insufficient funds in the account to cover the amount of the loan request.
(B) The applicant does not meet the financial eligibility criteria.
(C) The applicant refuses to cooperate with any phase of the financial eligibility determination.
NOTE

Authority cited: Sections 19006, 19016 and 19470, Welfare and Institutions Code. Reference: Sections 19460-19470 and 19853,  Welfare and Institutions Code.
HISTORY

1. New section filed 4-5-94; operative 5-5-94 (Register 94, No. 14)
2. Amendment of section heading, section and Note filed 5-17-2001; operative 5-17-2001 pursuant to Government Code section 11343.4 (Register 2001, No. 20).
§7264.8. Final Eligibility Determination and Loan Guarantee Process.
Note     •     History

(a) The applicant shall be responsible for providing the lender with the information necessary for the lender to determine the applicant's eligibility for a loan.
(b) Upon notification from the lender of its decision regarding the applicant's loan application, the Program Administer shall take either of the following actions as appropriate:
(1) When the conditions specified in Section 7264(a)(2) and (3) exist, the Program Administrator shall both:
(A) In consultation with the lender, determine an affordable monthly payment and interest rate.
(B) Execute a loan guarantee agreement with the lender. At a minimum, the agreement shall include the amount of the loan, the agreed upon interest rate and acknowledgement that the lender will comply with the provisions specified in (d) and Section 7266.
(2) Notify the applicant in writing that his/her loan guarantee request has been denied.
(c) Individuals for whom the Department has guaranteed a loan shall make their monthly payments directly to the lender.
(d) Lenders with whom the Department has executed a loan agreement shall notify the Program Administrator at least quarterly of the amount of the unpaid balance on the guaranteed loan. In addition, the lender shall notify the Program Administrator at any time when the individual does not make his/her monthly payment.
NOTE

Authority cited: Sections 19006, 19016 and 19470, Welfare and Institutions Code. Reference: Sections 19460 through 19470 and 19853,  Welfare and Institutions Code.
HISTORY

1. New section filed 4-5-94; operative 5-5-94 (Register 94, No. 14).
§7265. Notification and Appeal Procedures.
Note     •     History

(a) All notifications made to the applicant pursuant to this article shall be in writing and shall include all of the following:
(1) The specific reasons for the determination of ineligibility.
(2) The legal or regulation citation supporting the determination.
(3) An explanation of the applicant's right to an administrative review and fair hearing in accordance with Sections 7350 through 7361, including how to request such an action and the time frames within which the request must be made. For the purposes of Section 7353, the Administrative Review Officer shall be the Deputy Director of the Independent Living Division.
NOTE

Authority cited: Sections 19006, 19016 and 19470, Welfare and Institutions Code. Reference: Sections 19460 through 19470 and 19853,  Welfare and Institutions Code.
HISTORY

1. Renumbering of former section 7265 to section 7266 and new section filed 4-5-94; operative 5-5-94 (Register 94, No. 14).
§7266. Loan Defaults and Terminations.
Note     •     History

(a) The lender shall make every reasonable effort allowable under the law to recover all property, or  the value thereof, for which a loan has been guaranteed under the loan guarantee programs and for which the borrower fails to meet the repayment schedule of the loan.
(b) The liability of the Department for defaulted loans shall be limited to the lesser of either: 
(1) The amount of the loan guarantee. 
(2) The outstanding balance of the loan plus the costs incurred by the lender in recovering and selling the property. Any amount recovered shall be deducted when calculating the outstanding balance.
(c) The Department shall terminate a loan guarantee agreement when either of the following occur:
(1) The loan has been repaid.
(2) The lender fails to meet the conditions of the loan guarantee agreement.
NOTE

Authority cited: Sections 19006, 19016 and 19470, Welfare and Institutions Code. Reference: Sections 19460 through 19470 and 19853, Welfare and Institutions Code.
HISTORY

1. Renumbering and amendment of former section 7265 to section 7266 filed 4-5-94; operative 5-5-94 (Register 94, No. 14).
Article 4. Nonvocational Services  for the Blind
§7270. Application Process and Other General Requirements.
Note     •     History

(a) Any individual wishing to apply for the nonvocational services for the blind specified in this article may do so orally or in writing at the Department's district or branch office closest to his/her place of residence. The individual shall be required to supply only such limited documentation as necessary for the Counselor to establish eligibility and the amount and type of services to be provided.
(b) The Counselor shall:
(1) Fully explain the provisions of this article to individuals requesting nonvocational services for the blind.
(2) Promptly determine an individual's eligibility and the amount and type of services to be provided, but in no instance later than 45 days from the receipt of his/her application in the district or branch office.
(3) Promptly notify the individual in a communication medium, such as large print, braille or recording, appropriate to his/her needs of any decision to approve, deny or terminate services or change the amount and type of services provided under this article. Notices to deny, terminate or reduce services shall include all of the following:
(A) The reason the action is being taken.
(B) The legal or regulatory citation supporting the action.
(C) An explanation of the individual's appeal rights.
(c) In addition to the provisions of this article, the following regulations shall apply to nonvocational services for the blind:
(1) Sections 7120 and 7123 through 7125 regarding case records. The content of the case record shall include, but not be limited to, documentation supporting both of the following:
(A) That the provisions of this article have been fully explained to the individual.
(B) Decisions regarding eligibility for, and/or the amount and type of, services to be received. This shall include copies of the notices sent in accordance with (b).
(2) Sections 7140 through 7143.5 regarding confidentiality, to the extent that those sections apply to the limited information that this article requires to be collected.
(3) Sections 7350 through 7361 regarding administrative review and fair hearing procedures.
NOTE

Authority cited: Sections 19006 and 19016, Welfare and Institutions Code. Reference: Sections 19525 and 19526, Welfare and Institutions Code.
HISTORY

1. New article 4 (sections 7270-7273) filed 4-22-93; operative 5-24-93 (Register 93, No. 17).
2. Editorial correction renumbering History note (Register 99, No. 7).
§7271. Eligibility Requirements--General.
Note     •     History

(a) In order to receive services pursuant to this article, an individual shall meet both of the following conditions:
(1) Be ineligible for, or not interested in receiving, services under the Vocational Rehabilitation program.
(2) Qualify as a blind person under the definition at Section 19153, Welfare and Institutions Code.
NOTE

Authority cited: Sections 19006 and 19016, Welfare and Institutions Code. Reference: Sections 19525 and 19526, Welfare and Institutions Code.
HISTORY

1. New section filed 4-22-93; operative 5-24-93 (Register 93, No. 17).
§7272. Personal Goal Services.
Note     •     History

(a) An individual meeting the conditions specified in Section 7270 may receive services from a Counselor-teacher providing the Counselor-teacher has determined that all of the following conditions exist:
(1) The individual is both of the following:
(A) At least 18 years of age.
(B) A California resident which shall be established by physical presence with no present intention of leaving California. However, if the individual maintains a home for himself/herself in another state, he/she is not a California resident.
(2) The individual has a demonstrated need for the specialized services that can be performed by the Counselor-teacher.
(3) There is a reasonable expectation that the individual has the ability to substantially benefit from the specialized services within a limited period of time.
(b) Personal goal services shall:
(1) Be provided directly by the Counselor-teacher.
(2) Include, but not be limited to, those services specified in Section 19525, Welfare and Institutions Code.
(3) Be provided in the individual's home or a community-based setting.
NOTE

Authority cited: Sections 19006 and 19016, Welfare and Institutions Code. Reference: Section 19525, Welfare and Institutions Code.
HISTORY

1. New section filed 4-22-93; operative 5-24-93 (Register 93, No. 17).
§7273. Reader Services.
Note     •     History

(a) The Department shall purchase reader services for an individual meeting the conditions specified in Section 7271 providing all of the following requirements are met:
(1) The individual:
(A) Possesses a high school diploma or its equivalent.
(B) Has been accepted for enrollment and is working toward a degree or diploma of graduation in any college or university within California.
(C) Agrees to use the reader services exclusively for his/her academic studies.
(2) There are sufficient funds to purchase the reader services.
(b) The number of hours of service authorized by the Counselor shall be based upon each individual's needs, as limited by (c). Factors to be considered in determining the number of hours of service required shall include but not be limited to all of the following:
(1) The amount of required reading in the courses for which the individual is currently enrolled.
(2) The availability of the required reading material in other communication media that are useable by the individual, such as large print, braille or recordings.
(3) The amount, duration and scope of reader services being received by the individual through another source. Nothing in this section shall be construed to require that the individual apply for and accept services from another source.
(c) Hours in excess of an average of two hours per unit per week shall be authorized only with the prior approval of the Rehabilitation Supervisor. In addition, the prior approval of the District Administrator shall be required in order to authorize hours in excess of 1,100 hours per year for undergraduate students and 1,300 hours per year for graduate students.
NOTE

Authority cited: Sections 19006 and 19016, Welfare and Institutions Code. Reference: Section 19526, Welfare and Institutions Code.
HISTORY

1. New section filed 4-22-93; operative 5-24-93 (Register 93, No. 17).
2. Change without regulatory effect amending subsection (c) filed 6-1-93 pursuant to title 1, section 100, California Code of Regulations (Register 93, No. 23).
§7280. General Provisions. [Renumbered]
Note     •     History

NOTE

Authority cited: Section 19006 and Section 19016, Welfare and Institutions Code and Section 1798.30, Civil Code. Reference: Sections 1798 et seq., Civil Code and 45 CFR 1361.47.
HISTORY

1. New subchapter 6 (Sections 7280-7287) filed 6-4-79; effective thirtieth day thereafter (Register 79, No. 23).
2. Renumbering and amendment of Section 7280 to Section 7140 filed 6-21-90;operative 7-21-90 (Register 90, No. 35). For prior history, see Register 79, No. 23.
§7281. Collection of Information. [Renumbered]
Note     •     History

NOTE

Authority cited: Section 19006 and Section 19016, Welfare and Institutions Code and Section 1798.30, Civil Code. Reference: Sections 1798 et seq., Civil Code and 45 CFR 1361.47.
HISTORY

1. Renumbering of Section 7281 to Section 7140.5 filed 6-21-90; operative 7-21-90 (Register 90, No. 35). For prior history, see Register 79, No. 23.
§7282. Disclosure to the Applicant or Client. [Renumbered]
Note     •     History

NOTE

Authority cited: Section 19006 and Section 19016, Welfare and Institutions Code and Section 1798.30, Civil Code. Reference: Sections 1798.25-1798.34, Civil Code.
HISTORY

1. Renumbering of Section 7282 to Section 7141 filed 6-21-90; operative 7-21-90 (Register 90, No. 35). For prior history, see Register 79, No. 23.
§7283. Request to Change the Case Record. [Renumbered]
History

HISTORY

1. Renumbering of Section 7283 to Section 7141.5 filed 6-21-90; operative 7-21-90 (Register 90, No. 35). For prior history, see Register 79, No. 23.
§7284. Disclosure to Other Persons or Entities. [Renumbered]
Note     •     History

NOTE

Authority cited: Section 19006 and Section 19016, Welfare and Institutions Code and Section 1798.30, Civil Code. Reference: 1798.24, Civil Code and 45 CFR 1361.47.
HISTORY

1. Renumbering and amendment of Section 7284 to Section 7142 filed 6-21-90; operative 7-21-90 (Register 90, No. 35). For prior history, see Register 81, No. 47.
§7285. Prohibition Against Redisclosure. [Renumbered]
Note     •     History

NOTE

Authority cited: Section 19006 and Section 19016, Welfare and Institutions Code and Section 1798.30, Civil Code. Reference: 45 CFR 1361.47.
HISTORY

1. Renumbering of Section 7285 to Section 7142.5 filed 6-21-90; operative 7-21-90 (Register 90, No. 35). For prior history, see Register 81, No. 47.
§7286. Disclosures Without Written Consent. [Renumbered]
Note     •     History

NOTE

Authority cited: Sections 19006 and 19016, Welfare and Institutions Code and Section 1798.30, Civil Code. Reference: Section 1798.24(s), Civil Code.
HISTORY

1. Subsection 7286(a)(12) filed as an emergency 6-9-80; effective upon filing (Register 80, No. 24). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 10-7-80.
2. Subsection (a)(12) repealed by operation of Section 11346.1(g), Government Code (Register 81, No. 47).
3. Renumbering of Section 7286 to Section 7143 filed 6-21-90; operative 7-21-90 (Register 90, No. 35). For prior history, see Register 81, No. 47.
§7287. Prohibition Against Disclosure to Law Enforcement Officials. [Renumbered]
Note     •     History

NOTE

Authority cited: Section 19006 and Section 19016, Welfare and Institutions Code and Section 1798.30, Civil Code. Reference: 45 CFR 1361.47
HISTORY

1. Renumbering of Section 7287 to Section 7143.5 filed 6-21-90; operative 7-21-90 (Register 90, No. 35). For prior history, see Register 79, No. 23.
Chapter 8. Standards for Facilities and Providers of Service
Article 1. General Standards
§7290. General.
Note     •     History

(a)  All facilities and providers of services shall meet the minimum standards specified in this chapter prior to providing services to clients.
(b)  For the purposes of this chapter, the following definitions shall apply: 
(1)  “Certified” means a facility or provider has been approved by the Department to provide specific services to clients.
(2) “Facility” means an organizational entity providing a program of integrated and coordinated services. The services are directed toward the medical, physical, emotional, mental, social and vocational restoration and adjustment of disabled children and adults. The services consist of evaluation, treatment, education, training and placement.
(3) “Provider of services” means an individual, company, corporation or other entity, other than a facility, which provides those goods and/or services listed in Section 7150.
NOTE

Authority cited: Sections 19006 and 19016, Welfare and Institutions Code. Reference: Section 19150, Welfare and Institutions Code; 34 CFR section 361.45.
HISTORY

1. New section filed 10-9-91; operative 11-8-91 (Register 92, No. 3).
2. Editorial correction of printing error inserting chapter heading (Register 92, No. 33).
§7291. Rehabilitation Facilities.
Note     •     History

Rehabilitation facilities shall meet the standards specified in Chapter 11, commencing with Section 7330.
NOTE

Authority cited: Sections 19006 and 19016, Welfare and Institutions Code. Reference: Section 19150, Welfare and Institutions Code; 34 CFR section 361.45.
HISTORY

1. New section filed 10-9-91; operative 11-8-91 (Register 92, No. 3).
Article 2. Health Care Providers
§7295. Providers of Health Care Services.
Note     •     History

(a) All hospitals shall meet both of the following conditions:
(1) Be certified, or meet the requirements for certification, under Title XVIII of the Federal Social Security Act.
(2) Be licensed pursuant to the provisions of Chapter 2 of Division 2 of the Health and Safety Code (commencing with Section 1250).
(b) Providers of all other health care services shall meet the conditions specified in both (b)(1) and either (b)(2) or (b)(3).
(1) Be a Medi-Cal program provider or a licensed practitioner who meets the standards for participation in the Medi-Cal program specified in Title 22, CCR, Division 3, Chapter 3, Article 3 (commencing with Section 51200).
(2) Be listed on the Department's Medical Panel pursuant to Section 7295.5.
(3) Be a provider of the applicant's/client's choice, if the provider agrees to both of the following:
(A) To complete any reports requested by the District Office within the time frames specified by the District Office.
(B) To accept the Department's and/or similar benefit sources' fees as payment in full for the services rendered.
NOTE

Authority cited: Sections 19006 and 19016, Welfare and Institutions Code. Reference: Section 19150, Welfare and Institutions Code; 34 CFR section 361.45.
HISTORY

1. New section filed 10-9-91; operative 11-8-91 (Register 92, No. 3).
§7295.5. Medical Panel.
Note     •     History

(a) Each District Office of the Department shall establish and maintain a list of all health care providers, other than hospitals, utilized in the service area of the district and its branch offices.
(b) Applicants in need of examinations and clients whose IWRP requires the receipt of health care services, other than hospitalization, shall be referred only to Medical Panel members unless the applicant or client specifically requests a provider of his/her choice and the conditions specified in Section 7295(b)(1) and (3) are met.
(c) Each District Office shall maintain an organized system of rotating the service utilization of individual Medical Panel members within each provider group. The rotation system may incorporate the client/provider geographical proximity and other modifications.
(d) To obtain membership on the Medical Panel a provider shall provide the District Office with all of the following:
(1) Written evidence to document the possession of the minimum qualifications specified in this chapter, including proof of enrollment as a Medi-Cal provider or a signed statement certifying that the provider has not been denied, or disqualified from, or currently is not suspended from, participation in the Medi-Cal program.
(2) A brief curriculum vitae. In lieu of a curriculum vitae, the District Office may verify the professional's status, board verification, professional competence and other necessary information. Such information shall be recorded and maintained as a curriculum vitae.
(3) Oral or written agreement to comply with all of the following:
(A) Directly render services to applicants and clients.
(B) Accept the Department's and/or similar benefit sources' fees as full and complete remuneration.
(C) Render services and submit reports that meet the needs of the District Office.
(e) The District Office shall:
(1) Review all requests for Medical Panel membership to determine whether both of the following conditions exist:
(A) The provider's qualifications meet the minimum standards set forth in this chapter.
(B) The provider's background and experience will meet the District's needs.
(2) For providers submitting the signed statement pursuant to (d)(1), verify that the provider has not been denied, or disqualified from, or currently is not suspended from, participation in the Medi-Cal program.
(f) The District Office shall inform each provider in writing of its decision to approve or deny membership on the Medical Panel. The decision and written notification shall be completed within 60 days of receipt of the request for Panel membership. If the request is:
(1) Approved, the District Office shall furnish the new member with the information regarding the fees and method of authorization and payment of services.
(2) Denied, the District Office shall inform the provider in writing of the reason for the denial.
(g) The District Office's Medical Consultant shall review the medical reports and practices of the members of the Medical Panel for quality control. When it is determined that a provider's practices and/or medical reports are insufficient to meet the District's needs, the provider shall be contacted by the District Office's Medical Consultant to resolve the insufficiencies. If the practices and/or reports continue to be insufficient, the provider shall be removed from the Medical Panel. The District Office shall notify the provider in writing of the effective date of the removal, which shall be the date the notice is mailed, and of the reasons for the removal. The information shall be included on a single notice. A copy of the notice shall be sent to the Department's Chief Medical Consultant.
(h) A provider may withdraw from the Medical Panel at anytime.
(i) If a provider wishes to become a member of the Medical Panel in several Districts, the District Offices shall coordinate information of approval, denial or withdrawal. However each District shall maintain its independence to make decisions concerning the provider's membership on its Medical Panel.
NOTE

Authority cited: Sections 19006 and 19016, Welfare and Institutions Code. Reference: Section 19150, Welfare and Institutions Code; 34 CFR 361.45.
HISTORY

1. New section filed 10-9-91; operative 11-8-91 (Register 92, No. 3).
§7295.7. Providers of Psychological Services.
Note     •     History

(a) When there are no licensed psychiatrists or psychologists available or willing to provide service, the Department shall certify professionals, as allowed within the scope of their licensure, to provide psychological services. The professional shall:
(1) Be licensed to practice in the State of California.
(2) Submit a curriculum vitae to the Chief Medical Consultant for review and approval.
(3) Be willing to accept the Department's rates as payment in full for the service rendered.
NOTE

Authority cited: Sections 19006 and 19016, Welfare and Institutions Code. Reference: Section 19150, Welfare and Institutions Code; 34 CFR Section 361.45.
HISTORY

1. New section filed 2-28-92; operative 3-30-92 (Register 92, No. 16).
Article 3. Personal Services Providers
§7300. Interpreters.
Note     •     History

(a) Interpreters for the deaf shall meet both of the following conditions:
(1) Be interviewed and evaluated in accordance with (d) by a Rehabilitation Supervisor and a certified American Sign Language proficient Counselor for the deaf.
(2) Possess one of the following:
(A) A valid certificate from the Registry of Interpreters for the Deaf in at least one of the following categories:
1. Comprehensive.
2. Oral Interpreter.
3. Reverse.
4. Interpreting.
5. Transliterating.
6. Spoken to visible.
7. Visible to spoken.
(B) A valid certificate from the California Association of the Deaf at the Generalist, Advanced or Master Level.
(C) A certificate from the Department issued in accordance with Section 7300.2.
(b) Interpreters for nonEnglish speaking persons shall be:
(1) Interviewed and evaluated in accordance with (d) by a Rehabilitation Supervisor and a Counselor who is certified bilingual in the appropriate language. If there is no Counselor certified bilingual in the appropriate language, a member of the community who is known by the Department to be bilingual in such language shall be utilized.
(2) Fluent in both the spoken and written nonEnglish and English languages.
(c) All interpreters shall:
(1) Submit a written resume and a statement of qualifications.
(2) Have paid or unpaid experience in interpreting or translating. An inexperienced interpreter may be used if he/she has demonstrated the ability to  meet the client's communication needs.
(d) The interviews conducted pursuant to this Section shall verify the interpreter's fluency by evaluating his/her ability to:
(1) For the purposes of (a)(1), interpret at a level that will meet the service needs of the client.
(2) For the purposes of (b)(1), read, write, speak and interpret the nonEnglish language.
NOTE

Authority cited: Sections 19006 and 19016, Welfare and Institutions Code. Reference: Section 19150, Welfare and Institutions Code; 34 CFR section 361.45.
HISTORY

1. New section filed 10-9-91; operative 11-8-91 (Register 92, No. 3).
2. Editorial correction of subsection (c)(2) (Register 95, No. 11).
§7300.2 Interpreters--Certification by the Department.
Note     •     History

(a) For purposes of this section, the following definitions shall apply:
(1) “Expressive interpreting skills” means the skills used when an interpreter listens to the spoken word and interprets it in the appropriate sign language.
(2) “Quality Assurance Appraisal” means the evaluation conducted by the Department's training and evaluation team to ensure minimal standards of competency and professionalism of individuals who interpret for hearing impaired clients and who have not been certified by either the Registry of Interpreters for the Deaf or by the California Association of the Deaf.
(3) “Reverse interpreting skills” means the skills used when an interpreter watches a person's signs and translates them into spoken words.
(b) The Department shall conduct a Quality Assurance Appraisal for individuals wishing to provide interpreter services for vocational rehabilitation clients in areas where there are an insufficient number of interpreters certified by either the Registry of Interpreters for the Deaf or the California Association of the Deaf to serve the Department's clients.
(c) An individual shall be certified as:
(1) Skill Level 1 if he/she demonstrates the ability to communicate on a one-to-one basis with a deaf person and possesses limited reverse skills. An individual certified at this level shall be used only to interpret at the following:
(A) General medical, audiological, otological and opthalmological examinations/evaluations.
(B) Unskilled training and educational courses.
(C) The completion of forms.
(2) Skills Level 2 if he/she demonstrates the ability to interprete and/or translate on a one-on-one or small group situation at a nontechnical level and possesses limited reverse and expressive interpreting skills. An individual certified at this level shall be used only to interpret at the following:
(A) The functions specified in (c)(1)(A) through (c)(1)(C).
(B) Specialty medical examinations.
(C) Semi-skilled training and educational courses.
(D) Vocational evaluations.
(3) Skill Level 3 if he/she demonstrates the ability to interpret and/or translate at a technical level and possesses a high level of reverse and expressive interpreting skills. An individual certified at this level may be used to interpret without limitations.
NOTE

Authority cited: Sections 19006 and 19016, Welfare and Institutions Code. Reference: Section 19150, Welfare and Institutions Code; 34 CFR section 361.45.
HISTORY

1. New section filed 10-9-91; operative 11-8-91 (Register 92, No. 3).
§7301. Readers, Notetakers, Drivers and Attendants.
Note     •     History

(a) Readers, notetakers, drivers and attendants shall be interviewed and approved by the client as adequately meeting his/her needs.
(b) Drivers shall possess all of the following:
(1) A valid California Driver's License.
(2) An automobile or other appropriate motor vehicle.
(3) The minimum insurance coverage for the vehicle required by State law plus $5000 medical coverage.
NOTE

Authority cited: Sections 19006 and 19016, Welfare and Institutions Code. Reference: Section 19150, Welfare and Institutions Code; 34 CFR section 361.45.
HISTORY

1. New section filed 10-9-91; operative 11-8-91 (Register 92, No. 3).
§7301.5. Tutors.
Note     •     History

(a) Academic tutors used to assist clients with educational courses shall possess a Bachelors Degree in the subject area being tutored. Absent anyone available with those qualifications, the tutor, at a minimum must have verification of successful completion of the educational course being tutored.
(b) Vocational skills tutors used to assist clients in learning a specific vocational skill shall have successfully completed an apprenticeship program in the vocational skill, if one exists. If an apprenticeship program does not exist, or absent anyone with those qualifications, the tutor, at a minimum, must have prior experience tutoring in the vocational skill.
(c) All tutors, including tutors used to assist clients in learning a skill essential to achieving independence or suitable employment, shall:
(1) Be interviewed and approved by a Rehabilitation Supervisor.
(2) Exhibit general knowledge and interest in the subject area they are offering.
(3) Demonstrate the ability to meet the level of service that will be needed by the client.
NOTE

Authority cited: Sections 19006 and 19016, Welfare and Institutions Code. Reference: Section 19150, Welfare and Institutions Code; 34 CFR Section 361.45.
HISTORY

1. New section filed 1-14-92; operative 2-13-92 (Register 92, No. 13).
Article 4. Other Providers of Service
§7302. Standards for Mobility Evaluation Programs.
Note     •     History

(a) In order to obtain Departmental approval as a mobility evaluation program, a provider shall comply with the provisions of this section.
(b) The provider shall be a separate and independent entity from adaptive driving equipment vendors and vehicle modification vendors.
(c) The provider shall have developed and shall maintain and follow:
(1) A written plan, which shall be made available to the clients, for providing the services in section 7164.4(c) and (d), including but not limited to:
(A) The specific procedures that will be followed in completing the evaluation.
(B) The type of equipment and vehicles that are available for use in the evaluations.
(C) An identification of the staff responsible for observation and documentation.
(2) A written policy which is provided to all staff regarding the protection of client confidentiality, including a statement that reports prepared for the Department shall be released only to Department staff.
(d) All vehicle and equipment operators shall be appropriately licensed by the California Department of Motor Vehicles according to the class of vehicle or type of equipment operated.
(e) All provider owned or operated vehicles shall be properly licensed, maintained and insured. To qualify as an evaluation vehicle, the instructor at a minimum must be able to operate the brakes and shut off the engine from the instructor's seat with the seat belt and shoulder harnesses in place.
(f) The provider shall maintain liability insurance of at least $1,000,000 per incident, with the State of California named as an additional insured.
(g) A licensed physician shall be available for consultation on questions of a medical nature.
(h) Each program shall have a driver evaluator to perform the mobility evaluation specified in section 7164.4(c) through (f). The driver evaluator shall possess the following qualifications:
(1) Be either:
(A) A registered occupational or licensed physical therapist with a minimum of two years' experience working with persons with physical disabilities.
(B) A person who meets the qualifications for rehabilitation engineering service provider specified in Section 7302.5.
(2) Have the experience or familiarity with the following areas necessary to perform a mobility evaluation.
(A) Driving systems and adaptive equipment.
(B) Equipment vendors.
(C) Assessment of a client's functioning in relation to driving.
(i) In addition to the driver evaluator, each program shall have a driver instructor to assist in the moving vehicle assessment specified in section 7164.4(c)(3)(B). The driver instructor shall possess the following qualifications:
(1) A valid California driver's license with documentation of no moving violations or felonies for three years.
(2) A high school diploma or its equivalent and three years personal driving experience, or a valid traffic and safety credential from the California Department of Education.
(3) Six months experience in behind-the-wheel driver training.
(4) The knowledge of disabilities necessary to assist in the moving vehicle assessment.
(j) In addition to the qualifications specified in (h) and (i), the driver evaluator and driver instructor shall have a combined minimum of two years of in-car driver evaluation/instruction experience.
(k) Prior to the Department granting approval of the mobility evaluation program, the provider shall:
(1) Provide documentation to the Department that the requirements contained in this section are met. Documentation shall include such items as copies of licenses, insurance policies and the written plans and policies required by this section.
(2) Agree to allow representatives of the Department access to all mobility evaluation program records, staff and premises, during regular business hours, necessary in order to verify that the provider is complying with the requirements of this section.
(3) Agree to notify the Department by telephone within one working day of any chances in the documentation upon which the Department's approval of the mobility evaluation program was based.
(l) Within 60 days of receipt of a mobility evaluation program's application for certification, the Department shall take one of the following actions, as appropriate:
(1) Inform the program that the application has been accepted and advise the program of the Department's decision to approve or deny certification.
(2) Inform the program that the application is deficient and identify the specific information that is required for the Department to make a decision to approve or deny certification. Upon the receipt of the required information, the Department shall have an additional 60 days in which to approve or deny certification.
(m) Upon completion of a mobility evaluation, the provider shall submit the following to the client's Counselor:
(1) For driver evaluations, a comprehensive written report containing all of the following:
(A) A summary of the clinical assessment.
(B) A statement of the client's potential to be a safe and independent driver.
(C) The type of vehicle which is necessary.
(D) The vehicle modifications and other adaptive equipment required, along with vendor sources and special instructions or problems.
(E) Recommendations regarding the type of follow-up services, if any, that are required, along with the type of provider best suited to perform such services.
(F) An estimation of the amount of driver's training needed, including the specific areas of training requiring emphasis and a statement of where the training is available.
(2) For passenger evaluations, a comprehensive written report including the information specified in (1)(A), (C), (D) and (E).
(n) Conformance to the requirements of this section shall not supersede the provider's responsibility to comply with other applicable state and federal laws and regulations, including but not limited to the Fair Labor Standards Act (29 USC, commencing with section 201), the accessibility standards set forth in title 24, California Code of Regulations, part 2, and the Federal Rehabilitation Act, 29 USC section 794.
NOTE

Authority cited: Sections 19006 and 19016, Welfare and Institutions Code. Reference: Section 19150, Welfare and Institutions Code; and 34 CFR Sections 361.42 and 361.45.
HISTORY

1. New section and chapter heading filed 7-18-91; operative 8-17-91 (Register 91, No. 45).
2. Amendment of subsection (f)(1) and Note filed 1-2-92; operative 3-2-92 (Register 92, No. 18).
3. Change without regulatory effect relocating chapter heading to section 7290 filed 8-17-92 pursuant to title 1, section 100, California Code of Regulations (Register 92, No. 34).
4. Change without regulatory effect relocating article heading from section 7303 filed 8-17-92 pursuant to title 1, section 100, California Code of Regulations (Register 92, No. 34).
§7302.5. Rehabilitation Engineering Service Providers.
Note     •     History

(a) The minimum qualifications for an individual to perform rehabilitation engineering services for clients of the Department shall be limited to any of the following:
(1) Possession of a bachelors degree from an accredited school of engineering and two years of experience in the provision of rehabilitation engineering services.
(2) Possession of a masters degree from an accredited school of engineering or a bachelors degree and a certificate of specialization in the study of rehabilitation engineering from such a school.
(3) Employment as a licensed professional in the field of rehabilitation, such as speech pathology or physical or occupational therapy, and two years of experience in the provision of rehabilitation engineering services.
NOTE

Authority cited: Sections 19006 and 19016, Welfare and Institutions Code. Reference: Section 19150, Welfare and Institutions Code; and 34 CFR Section 361.45.
HISTORY

1. New section filed 1-2-92; operative 3-2-92 (Register 92, No. 18).
§7303. Private Educational Institutions and Training Schools.
Note     •     History

(a) Private educational institutions and business, technical and trade schools shall be approved by the California Council for Private Post Secondary and Vocational Education.
(b) Correspondence schools shall:
(1) Be approved by either of the following:
(A) The National Home Study Council.
(B) The District Administrator as essential to an IWRP.
(2) Agree to accept payment only for those lessons completed.
(c) Prior to becoming a provider of service, each private educational institution or school specified in (a) shall:
(1) Provide the Department with all of the following:
(A) Copies of approval documents from the California Council for Private Post Secondary and Vocational Education.
(B) All school literature including enrollment agreements and prices, tool lists and other relevant material.
(C) Sufficient additional information for the Department to complete School Survey, DR Form 720, dated September, 1991 which is incorporated by reference herein.
(2) Agree to complete and submit each month along with its billing, a Report of Progress in Training, Form DR 226, dated 8/82, which is incorporated by reference herein. A current report card may be substituted for the Report of Progress in Training.
NOTE

Authority cited; Sections 19006 and 19016, Welfare and Institutions Code. Reference: Section 19150, Welfare and Institutions Code; 34 CFR section 361.45.
HISTORY

1. New section filed 10-9-91; operative 11-8-91 (Register 92, No. 3).
2. Change without regulatory effect amending subsection (c)(1)(C) filed 2-18-92 pursuant to section 100, title 1, California Code of Regulations (Register 92, No. 12).
3. Change without regulatory effect relocating article heading to section 7302 filed 8-17-92 pursuant to title 1, section 100, California Code of Regulations (Register 92, No. 34).
Chapter 9. Authorization of Services
§7310. General Provisions.
Note     •     History

(a) This Subchapter sets forth the policies and standards for authorizing the purchase of vocational rehabilitation goods and services.
(b) Definitions:
(1) “Authorization” is defined as an obligating document which authorizes the delivery of specified goods or rendering of certain services by a vendor (provider) at a fixed or ascertainable fee within a stated period of time.
(c) Authorizations of goods and services shall be accomplished by the use of the following obligating documents:
(1) Department of Rehabilitation forms designated for purchase of goods and services, or
(2) State of California forms designated for the purchase of goods and services.
NOTE

Authority cited: Sections 19006 and 19016, Welfare and Institutions Code. Reference: 45 CFR, Section 1361.42.
HISTORY

1. New Subchapter 8 (Sections 7310-7312) filed 6-26-79; effective thirtieth day thereafter (Register 79, No. 26).
2. Renumbering of Chapter 8 (Sections 7310-7312) to Chapter 9 filed 6-21-90; operative 7-21-90 (Register 90, No. 35).
§7311. Requirements.
Note

(a) A written authorization shall be made prior to the purchase of goods and services as documented in the client's case record.
(b) Designated case carriers may, with supervisory approval, be permitted to make emergency verbal authorizations. Such emergency verbal authorizations will be confirmed with a written authorization to the provider of the goods or services.
(c) The Department is not required to provide payment for goods and services that are not authorized by a Departmental employee.
NOTE

Authority cited: Sections 19006 and 19016, Welfare and Institutions Code. Reference: 45 CFR, Section 1361.42.
§7312. Compliance.
Note

(a) Authorizations issued for the purchase of goods and services shall be prepared in accordance with the following guidelines:
(1) Department of Rehabilitation policies
(2) State Board of Control Regulations
(3) State Administrative Manual Rules
(4) Other related State agency policies and regulations
NOTE

Authority cited: Sections 19006 and 19016, Welfare and Institutions Code. Reference: 45 CFR, Section 1361.42.
Chapter 10. Rates of Payment
§7320. General Provisions.
Note     •     History

(a) The purpose of this Subchapter is to promulgate the policies and standards that govern the rates of payment authorized by the Department of Rehabilitation for the purchase of goods and services.
(b) For the purpose of this Subchapter, the following definitions shall apply:
(1) “Goods and Services” means services in compliance with the rehabilitation service provisions of sections 7150 through 7179 of this Chapter.
(2) “Vendor” means an individual, company, corporation, or other entity who sells goods and/or provides those services required for the rehabilitation process.
(3) “Personal Services” means supportive services, such as, readers for the blind, interpreters, attendants, drivers, notetakers, and others providing a personal service.
(4) “Competitive Employment” means employment as set forth in the provisions of section 7184 of this Chapter.
(5) “Sheltered Workshop” means a workshop as set forth in the provisions of section 7183 of this Chapter.
NOTE

Authority cited: Sections 19006 and 19016, Welfare and Institutions Code. Reference: 45 CFR, 1361.44.
HISTORY

1. New Subchapter 9 (Sections 7320-7322) filed 7-31-79; effective thirtieth day thereafter (Register 79, No. 31).
2. Renumbering of Chapter 9 (Sections 7320-7322) to Chapter 10 filed 6-21-90; operative 7-21-90 (Register 90, No. 35).
§7321. Requirements.
Note

(a) The Department of Rehabilitation shall establish, maintain in writing, and make available, maximum rates of payment.
(b) Maximum rates of payment for authorized goods and services are regulated by any one or more of the following:
(1) Those rates established by the Department of Rehabilitation for goods and services.
(2) The California Relative Value Studies published by the California Medical Association governing maximum unit values for medical procedures.
(3) The California State Schedule of Maximum Allowances published by the State Department of Health Services regulating maximum amounts payable for medical and related services.
(4) The California State Administrative Manual guidelines.
(5) Those rates paid by other agencies or charged the general public for comparable goods and services.
NOTE

Authority cited: Sections 19006 and 19016, Welfare and Institutions Code. Reference: 45 CFR, 1361.44.
§7322. Additional Charges.
Note

(a) Vendors providing goods and services to clients under authorization from the Department of Rehabilitation shall accept the payment made by the Department as the full reimbursement. Vendors shall not make any additional charges or accept payment from the handicapped individual or any other source for such service.
NOTE

Authority cite: Sections 19006 and 19016, Welfare and Institutions Code. Reference: 45 CFR, 1361.44.
Chapter 11. Rehabilitation Facilities and Community Resources for Individuals with Disabilities
§7330. General.
Note     •     History

(a) These regulations establish the Department's policy for:
(1) Granting funds for the establishment of rehabilitation facilities.
(2) Granting funds for innovation and expansion of vocational rehabilitation services.
(3) Purchasing services from rehabilitation facilities and other community resources for the handicapped.
(4) Auditing of grants and contracts awarded to rehabilitation facilities.
(b) Definitions.
(1) “Accredited” means a facility has approval by the Commission on Accreditation for Rehabilitation Facilities (CARF) to provide disabled individuals with restorative and adjustive or employment services. Each facility shall have integrated and coordinated individualized programs placing primary emphasis on one of the following services:
(A) Physical restoration, or
(B) Personal and social development, or
(C) Vocational development, or
(D) Speech pathology, audiology, or
(E) Related work activity programs.
(2) “Certification” means a facility has approval by the Department to provide disabled individuals with specific adjustive or employment services. Each facility shall have integrated and coordinated individualized programs placing primary emphasis on one or more of the following services:
(A) Personal and social development, or
(B) Vocational development, or
(C) Related work activity programs, or
(D) Independent living.
(c) The definitions contained in 45 Code of Federal Regulations 1361.1, and Section 19152, Welfare and Institutions Code, apply to this subchapter.
(d) The Department shall establish in writing and shall maintain:
(1) An inventory of rehabilitation facilities, including sheltered workshops,work activity centers, facilities serving primarily blind and/or deaf persons, independent living centers, rehabilitation centers, and other community resources for the handicapped available within the State.
(2) A prioritized list of facility projects and programs necessary to achieve the short-range Department goals.
(e) A State Plan for Rehabilitation Facilities shall be developed annually and distributed to all facilities. The plan shall include by reference the standards and criteria applicable to rehabilitation facilities with respect to physical plant, equipment, personnel, administration, management, safety, and other pertinent conditions.
(f) The inventory, State Plan for Rehabilitation Facilities, and prioritized list shall be developed with the active participation of a representative group of providers and recipients of vocational rehabilitation services.
(g) The Department will provide technical assistance to any public or private non-profit rehabilitation facility to help improve the professional and business practices of the facility.
(h) All programs shall explain the Client Assistance program, including the services provided by the program and how to contact the program, to clients of the Department.
NOTE

Authority cited: Sections 19006 and 19016, Welfare and Institutions Code; and Section 35, Chapter 937, Statutes of 1993. Reference: Sections 19152, 19154, 19400 and 19401 et seq., Welfare and Institutions Code; 34 CFR 361.21 and  361.45; and 29 U.S.C. 718a.
HISTORY

1. New  article 1 (sections 7335-7339) filed 7-31-79; effective thirtieth day thereafter (Register 79, No. 31).
2. Repealer of article 1 (sections 7335-7339) and new article 1 (sections 7330-7335) filed 7-11-80; effective thirtieth day thereafter (Register 80, No. 28).
3. Editorial correction of HISTORY (Register 81, No. 11).
4. Renumbering of chapter 10 (sections 7320-7322) to chapter 11 filed 6-21-90; operative 7-21-90 (Register 90, No. 35).
5. New subsection (h) and amendment of Note filed 6-6-94 as an emergency; operative 6-6-94 (Register 94, No. 23).  A Certificate of Compliance must be transmitted to OAL by 10-4-94 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 6-6-94 order transmitted to OAL 8-30-94 and filed 10-13-94 (Register 94, No. 41).
7. Amendment of chapter heading filed 12-18-95 as an emergency; operative 1-1-96 (Register 95, No. 51). A Certificate of Compliance must be transmitted to OAL by 4-30-96 or emergency language will be repealed by operation of law on the following day.
8. Amendment of chapter heading refiled 4-15-96 as an emergency; operative 4-30-96 (Register 96, No. 16). A Certificate of Compliance must be transmitted to OAL by 8-29-96 or emergency language will be repealed by operation of law on the following day.
§7331. Accreditation and Certification.
Note     •     History

(a) The Department shall with the exception of facilities providing services primarily to the blind, deaf and/or independent living centers, require that public and private non-profit rehabilitation facilities offering work oriented programs and services be accredited by the Commission on Accreditation of Rehabilitation Facilities (CARF) in the primary program emphasis of the services to be purchased. Applicants for grant funding must also meet accreditation criteria when applicable or be certified by the Department. To be certified they shall have a plan for seeking accreditation.  
(b) The Department shall supplement programs accredited by CARF with a certification of specific services. This certification will take place no less than every three years and will be based on standards developed by the Department.
(1) A workshop or work activity center will be eligible to have services certified for use by the Department when it agrees to:
(A) Be surveyed by CARF no later than the end of the third year of operations.
(B) Be accredited by CARF no later than the end of the fourth year of operations for such program services delivered. If by the fourth year of operation the facility has not obtained accreditation for the programs which are certified by the Department, the Department shall withdraw its certification.
(2) A workshop or work activity center accredited by CARF in one or more programs, shall apply for accreditation at the next accreditation renewal if such facility wishes to provide and sell services outside the accredited programs.
(c) Rehabilitation centers and other facilities which are primarily medical facilities but also operate workshops and work activity center programs will have their work preparation and restorative services subject to CARF accreditation. The Department will certify workshops and work activity centers in their work components only.
(d) The Department shall require other rehabilitation facilities to meet certification standards of the Department. The Standards for Certification shall be developed by the Department in consultation with a representative group of providers and recipients of vocational rehabilitation services.
(e) Upon written request by a Community Rehabilitation Program (CRP) and proof that its annual service expenditures are at or below fifty thousand dollars ($50,000) for three prior, consecutive years, the Department may waive the CARF accreditation requirements herein.
(1) The Department will provide written approval or denial of the request on the condition that annual expenditures do not exceed fifty thousand dollars ($50,000), and may rescind the waiver if the Department determines that the CRP is not in compliance with any law or regulation.
(2) The Department's waiver shall not supersede any other agency's or Regional Center's requirement of CARF accreditation or service standards.
NOTE

Authority cited: Sections 19006 and 19016, Welfare and Institutions Code. Reference: 29 USC Sections 705(5) and 723; 34 CFR Sections 361.5(b)(9), 361.48 and 361.50; and Sections 19011 and 19401, Welfare and Institutions Code.
HISTORY

1. Amendment of subsection (b), new subsections (e)-(e)(2) and amendment of Note filed 8-4-2009; operative 9-3-2009 (Register 2009, No. 32).
§7332. Purchase of Services.
Note

(a) The Department may purchase vocational rehabilitation services from public or private non-profit rehabilitation facilities which include sheltered workshops, work activity centers, agencies serving primarily blind and/or deaf, independent living centers, and other community resources for the handicapped.
(1) The Department may pay fees for services through a schedule set by the Department and applicable to all rehabilitation facilities or a special negotiated fee for an individual service.
(2) The Department may contract for specific services for an estimated number of clients per month.
(3) The Department may contract with a public or private non-profit rehabilitation facility on a cost sharing basis to provide services for groups of handicapped individuals. Services for groups shall include but not be limited to:
(A) The removal of architectural barriers.
(B) The purchase of a vehicle to transport clients.
(C) The purchase of telephone-teletype equipment for the deaf.
(D) The use of therapeutic recreation facilities.
(E) The use of residential facilities to accommodate handicapped individuals while they are receiving other vocational rehabilitation services.
(F) The purchase of instructional material.
(G) The purchase or adaptation of equipment for training or employment of handicapped individuals.
NOTE

Authority cited: Sections 19006 and 19016, Welfare and Institutions Code. Reference: 45 CFR, Sections 1361.44, 1361.51, and 1361.75.
§7333. Grants.
Note     •     History

(a) Establishment Grants.
(1) The Department may award Establishment Grants to public or private non-profit rehabilitation facilities. Such facilities include sheltered workshops,work activity centers, facilities serving primarily blind and/or deaf, independent living centers, rehabilitation centers, and other community resources for the handicapped available within the state. Such facilities shall provide vocational rehabilitation services or transitional or extended employment for handicapped individuals. The purpose of such grants is to:
(A) Expand, remodel, or alter existing buildings and/or
(B) Acquire initial and additional fixed or movable equipment of existing buildings.
(C) Provide initial or additional staffing assistance which will be available only for personnel who are engaged in new or expanded program activities of the rehabilitation facility.
(2) The initial establishment grant shall be for 12 to 15 months. Establishment grants shall be reviewed annually. If the project continues to show effectiveness in achieving its goals and is incorporated into the basic program at the end of the project, the grant may be continued and/or renewed for additional periods, however, the grant period shall not exceed a total of 51 months.
(3) The facility shall provide a minimum of twenty percent of the amount of the grant during the first year. The Department may provide up to eighty percent of the amount of the grant from federal funds. The grantee shall assume an increased share of the funding each project year as an indication of ability and intent to continue the project at the end of the project period.
(b) Innovation and Expansion Grants.
(1) The Department may award Innovation and Expansion Grants to public or private non-profit organizations and agencies. Only referrals, applicants or clients of the Department of Rehabilitation shall be served in these projects.
(2) The purpose of such Grants is to plan, prepare for, and initiate special programs that:
(A) Increase the capability of the Department to serve and rehabilitate severely handicapped individuals and other designated groups who have unusual or difficult problems in connection with their rehabilitation.
(B) Introduce new devices and techniques in the provision of vocational rehabilitation services.
(C) Develop and provide vocational rehabilitation services.
(D) Enrich existing services.
(E) Broaden the scope of existing services.
(3) The initial Innovation and Expansion grant shall be for 12 months. All Innovation and Expansion grants shall be reviewed annually. If the project is effective, the grant may be extended for additional periods, however, the total grant period shall not exceed 36 months.
(4) The facility shall provide a minimum of ten percent of the amount of the grant. The department may provide up to ninety percent of the amount of the grant from federal funds during the first year. The grantee shall assume an increased share of the funding each project year as an indication of ability and intent to continue the project at the end of the project period. These sharing ratios shall not be allowed to vary or deviate unless approved by the Department.
(c) Grant Awards to Independent Living Centers.
(1) Independent Living Centers (hereinafter ``ILC's'') shall receive state grant funds to serve a specific geographic area designated by the Department. New ILC's shall be funded only for those areas of the state in which independent living services are not available. The Department shall determine when funds are sufficient to add new ILC's or extend the
geographic service area for an existing funded ILC. The ILC shall not be restricted from providing services outside the geographic service area so long as these services are not supported by state ILC grant funds.
(2) To the extent that funds are allocated and appropriated, monies shall be allocated to ILC's according to the following formula:
(A) Each ILC shall receive a $150,000 base grant.
(B) Any appropriated money available after payment of the base grants shall be divided among the ILC's based on the ratio of the total of the general population in an ILC's geographic service area as compared to the total of the general population in all ILC's geographic service areas statewide.
(C) No ILC shall receive a combined allocation of base and population funds less than that received in Fiscal Year 1987-88.
NOTE

Authority cited: Sections 19006 and 19016, Welfare and Institutions Code. Reference: Sections 19800-19806, Welfare and Institutions Code; and 34 CFR 361.51, 361.73, 361.75 and 366.
HISTORY

1. New subsection (c) filed 12-1-83 as an emergency; effective upon filing (Register 83, No. 51).
2. Order of Repeal of 12-1-83 emergency order filed 12-12-83 by OAL pursuant to Government Code Section 11349.6 (Register 83, No. 51).
3. New subsection (c) filed 6-29-84; designated effective 7-1-84 pursuant to Government Code Section 11346.2(d) (Register 84, No. 26).
4. Amendment of subsection (c) filed 5-31-88; operative 6-30-88 (Register 88, No. 23).
§7334. Grant Management.
Note     •     History

(a) The Department, in conjunction with the U.S. Department of Education, shall establish priorities for the use of allotted funds each year. The list of priorities shall be made available on request to potential applicants for funds.
(b) The Department shall establish and maintain a format to evaluate, prioritize, and award applications for grants on the basis of the following U.S. Department of Education priorities:
(1) The degree to which the applicant has responded to the annual departmental mission and objectives.
(2) Consumer involvement, affirmative action, and accessibility.
(3) Ability to meet district client needs.
(4) Adequacy of grant planning.
(5) Ability to administer grant funds.
(6) Adequacy of the current program base.
(c) Applicants shall be notified in writing of the action of the Department on their application for grants status.
(d) Applicant Appeals.
(1) Any applicant for a grant who is dissatisfied with the decision of the Department relative to an application for or discontinuation of grant funding may request a review by the Department. The request shall be in writing, clearly identify all issues in dispute, contain a full statement of the applicant's position with respect to each issue, and contain pertinent facts and reasons in support of the applicant's position. The request shall be submitted to the Department within 30 days of the date of the notification of action.
(2) The Department's Grant Review Committee reviews all such requests. The Committee shall be appointed by the Chief Deputy Director and shall consist of up to three Departmental employees, selected at the Chief Deputy Director's discretion. The Committee shall review the request and shall notify the appellant in writing of the decision within 30 days of the date of the request.
(3) The decision of the Grant Review Committee is final.
(e) Grants shall be managed by the Department in accordance with:
(1) The Office of Management and Budget Circulars for Administration of Grants.
(2) The Department's Grants Management Handbook.
(3) The terms of the grant between the Department and the facility.
NOTE

Authority cited: Sections 19006 and 19016, Welfare and Institutions Code. Reference: 34 CFR 76.770.
HISTORY

1. Amendment of subsections (d)(1) and (d)(2) and amendment of Note filed 1-9-2001; operative 1-9-2001 pursuant to Government Code section 11343.4(c) (Register 2001, No. 2).  
§7335. Auditing Requirements.
Note     •     History

(a) Establishment Grants, Innovation and Expansion Grants, and other grants and contracts shall be audited to evaluate the financial transactions and determine compliance with the terms of the grant or contract.
(b) Grant and contract recipients shall arrange for independent audits that meet the standards and needs set forth by the Department. The audit shall be conducted in accordance with the Department's basic audit standards for grants and contracts and any additional audit standards required by the Department.
(c) Contracts for independent auditors shall provide that their audits meet the Department's needs and requirements. Copies of independent audit reports shall also be furnished to the Department. Audit working papers shall be made available to the Department and other governmental audit staff.
(d) The Department may also utilize independent audits made by Certified Public Accounting or Public Auditing firms, by an audit agency of the Federal or State Government, or Department auditors to accomplish the purpose of this article.
(e) External or internal audits shall be made in accordance with: 
(1) Generally accepted auditing standards including the standards of the U.S. Accounting Office's publication ``Standards for the Audit of Governmental Organizations Programs, Activities, and Functions''.
(2) Federal Regulations 34 CFR, Part 74.
(3) OMB Circular No. A-110, Federal Management Circular FMC 74-7.
(4) Department of Rehabilitation's ``Grant Management Handbook''.
(5) The terms of the contract.
(6) Grant management guidelines.
(f) Audits shall be conducted at regular intervals, usually once a year, but at least once every two years. Audits may be conducted at other times at the discretion of the Department. The frequency shall depend on the nature, size and complexity of the recipient's grant or sub-grant supported activities.
(g) A copy of each audit report and a description of its resolution shall be furnished to the facility and the appropriate regional office of the U.S. Department of Education Audit Agency.
(h) A copy of the audit report shall be transmitted to the facility within 45 calendar days after the completion of the audit.
(i) The audit report is considered final 30 days after mailing unless the facility appeals the findings and recommendations in accordance with this section.
(j) If the facility disputes any audit finding or recommendation, the facility may, within 30 days of the mailing of the written notice of the audit, appeal the finding or recommendation. The appeal shall be in writing, clearly identify all issues in dispute, contain a full statement of the facility's position with respect to each issue, and contain pertinent facts and reasons in support of the facility's position. The appeal shall be addressed to the Audit Review Committee, Department of Rehabilitation. The Department may require the facility to submit additional documentation relevant to the disputed findings.
(k) The Audit Review Committee, shall be appointed by the Chief Deputy Director and shall consist of up to three Departmental employees, selected at the Chief Deputy Director's discretion. The Audit Review Committee shall receive appeals of audit findings, conduct hearings or otherwise review the appeal to decide the merit of the dispute. The decision of the committee shall be based on the Federal and State laws and regulations and the Federal audit guidelines.
(l) The Departmental Audit Review Committee shall consider the appeal and the pertinent documentation and arrive at a decision within 45 days from receipt of the appeal. Representatives of the facility may present information to the Audit Review Committee orally or in writing.
(m) The decision of the Audit Review Committee is final and shall be in writing and shall contain findings of fact, a determination of the issues presented, a decision and an order to recover overpayments, if appropriate. Copies of the decision shall be mailed to the facility.
(n) Any overpayment determined by audit to be due and payable shall be liquidated in the following manner:
(1) By lump-sum payment.
(2) By off-set against current payments due to the provider. 
(3) In accordance with a repayment agreement executed by the facility and the Department.
(4) By any other method of recovery available by law.
(o) The Department may charge interest on any overpayment from the time of the final decision of the Audit Review Committee.
NOTE

Authority cited: Sections 19006 and 19016, Welfare and Institutions Code. Reference: 34 CFR, Part 74, 80.26 and 80.40, and Sections 11180 and 12419, Government Code.
HISTORY

1. Amendment filed 3-2-82; effective thirtieth day thereafter (Register 82, No. 10).
2. Amendment of subsections (k) and (o) and amendment of Note filed 1-9-2001; operative 1-9-2001 pursuant to Government Code section 11343.4(c) (Register 2001, No. 2).  
§7335.5. Discrimination Complaint Resolution Process.
Note     •     History

(a) All grant and contract recipients shall:
(1) Establish an informal process for the resolution of complaints by clients of the Department who believe that they have been discriminated against by the contractor or grantee or by an employer of the contractor or grantee based upon any of the protected statuses specified in Section 7351(b).  The contractor or grantee shall ensure that, at a minimum, the informal resolution process shall include all of the following procedures:
(A) As soon as a client of the Department has been accepted for services, the contractor or grantee shall inform the individual of his/her right to file a complaint of discrimination within 180 days of the alleged discrimination with any of the following:
1. The contractor or grantee, through its informal resolution process.
2. The Department, through the Chief, Office of Civil Rights and Affirmative Action.
3. The U.S. Department of Education, Office for Civil Rights.
(B) The informal resolution process shall:
1. Take no more than 20 working days to complete.
2. Include written notification to the individual describing the disposition of the complaint along with a statement that the individual, if dissatisfied with the disposition, has 30 days to file a complaint with the Department's Chief, Office of Civil Rights and Affirmative Action or U.S. Department of Education, Office for Civil Rights.
(2) Document and maintain information related to discrimination complaints filed by clients of the Department and the actions taken to resolve those complaints.
(3) Upon request, disclose to the Department the information maintained in accordance with (B)(2).
NOTE

Authority cited: Sections 19006 and 19016, Welfare and Institutions Code.  References: 34 CFR 104.7, 104.51 and 104.61.
HISTORY

1. New section filed 7-6-94; operative 8-5-94 (Register 94, No. 27).
Article 2. Habilitation Services Program [Repealed]
HISTORY

1. New Article 2 (Sections 7336-7340) filed 7-11-80; effective thirtieth day thereafter (Register 80, No. 28).
2. Editorial correction of HISTORY NOTE (Register 81, No. 11).
3. Repealer of Article 2 (Sections 7336-7340) and new Article 2 (Sections 7336-7341) filed 6-30-83; designated effective 7-1-83 pursuant to Government Code Section 11346.2(d) (Register 83, No. 27).
4. Change without regulatory effect repealing article 2 (sections 7336-7348) and repealing section filed 5-4-2004 pursuant to section 100, title 1, California Code of Regulations; repeal effective 7-1-2004 and regulation text retained for reference (Register 2004, No. 19).
5. Implementation of nonsubstantive repeal (Register 2004, No. 27).
Article 4. Supported Employment [Repealed]
HISTORY

1. Renumbering and amendment of former article 3 to new article 4 (section 7349) and new section filed 3-4-98; operative 4-3-98 (Register 98, No. 10). For prior history, see Register 83, No. 7.
2. Change without regulatory effect repealing article 4 (section 7349) and repealing section filed 5-4-2004 pursuant to section 100, title 1, California Code of Regulations; repeal effective 7-1-2004 and regulation text retained for reference (Register 2004, No. 19).
3. Implementation of nonsubstantive repeal (Register 2004, No. 27).
Chapter 12. Administrative Review, Mediation, Fair Hearing and Discrimination Complaint Procedures
Article 1. General Provisions and Administrative Reviews
§7350. Definitions and Terms.
Note     •     History

(a) For the purposes of this Chapter the following definitions shall apply:
(1) ``Appellant'' means an applicant or client of the Vocational Rehabilitation or Independent Living Services programs who has filed an oral or written request for an administrative review or a written request for a fair hearing.
(2) ``Administrative Review Officer'' means a District Administrator who conducts the administrative review.
(3) ``Authorized Representative'' means the parent of an unemancipated minor or permanent guardian or any person or entity who has been designated by the appellant to act on his/her behalf.
(4) ``Administrative Review'' means an informal process through which either of the following occur:
(A) The appellant and/or the appellant's authorized representative seek remedy for dissatisfaction with Departmental action.
(B) The complainant and/or the complainant's authorized representative seek remedy for a complaint of discrimination against employees of the Department.
(5) “Complainant” means an applicant, client or former client who has filed an oral or written discrimination complaint for an administrative review or a formal written request for a discrimination investigation/resolution.
(6) “Equal Employment Opportunity Counselor” means an employee of the Department who has had specialized training in the counseling and resolution of discrimination complaints filed by departmental employees and applicants/clients.
(7) “Equal Employment Opportunity Investigator” means an employee of the Department who has had specialized training in conducting impartial, formal investigations of discrimination complaints filed by departmental employees and applicants/clients.
(8) “Good Cause” means any of the following:
(A) Death in the immediate family.
(B) Personal illness or injury to the appellant or authorized representative.
(C) Sudden and unexpected emergencies including but not limited to traffic accidents on the day of the hearing and illness or injury of a household or family member who requires immediate care.
(9) “Impartial hearing officer” means an individual who is qualified under 34 Code of Federal Regulations part 361.5(b)(25) to conduct a fair hearing.
(10) “Mediation Coordinator” means the independent organization the Department contracts with to schedule and conduct mediation of disputes between individuals and the Department that affect the provision of vocational rehabilitation services.
(11) “Qualified Impartial Mediator” means an individual who:
(A) is not an employee of a public agency (other than an administrative law judge, hearing examiner, or employee of an institution of higher education);
(B) is not a member of the State Rehabilitation Council;
(C) has not been involved previously in the vocational rehabilitation of the applicant or eligible individual;
(D) is knowledgeable of the vocational rehabilitation program and the applicable federal and state laws, regulations and policies governing the provision of vocational rehabilitation services;
(E) has been trained in effective mediation techniques; and
(F) has no personal, professional, or financial interest that would be in conflict with the objectivity of the individual during the mediation proceedings.
NOTE

Authority cited: Sections 19006 and 19016, Welfare and Institutions Code; Section 35, Chapter 937, Statutes of 1993. Reference: 29 USC Section 722(c)(4); 28 CFR 35.107(b); 34 CFR 104.7(b), 104.51, 104.61, 361.5 and  361.48; and Sections 19700.1, 19703, 19704 and 19705,  Welfare and Institutions Code.
HISTORY

1. Renumbering and amendment of former section 7351 to section 7350 filed 9-19-91; operative 10-21-91 (Register 91, No. 52).
2. Amendment of subsection (a)(1) and Note filed 12-1-93 as an emergency; operative 12-1-93 (Register 93, No. 49).  A Certificate of Compliance must be transmitted to OAL by 3-30-94 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 12-1-93 order transmitted to OAL 3-15-94 and filed 4-19-94 (Register 94, No. 16).                                                         
4. Amendment of chapter heading and section and new article 1 filed 7-6-94; operative 8-5-94 (Register 94, No. 27).
5. Amendment of chapter heading, new subsections (a)(11)-(a)(12)(F) and amendment of Note filed 9-27-2000 as an emergency; operative 9-27-2000 (Register 2000, No. 39). A Certificate of Compliance must be transmitted to OAL by 1-25-2001 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 9-27-2000 order transmitted to OAL 1-5-2001 and filed 2-20-2001 (Register 2001, No. 8).
7. Repealer of subsections (a)(2) and (a)(6), subsection renumbering, amendment of newly designated subsection (a)(4)(A), new subsection (a)(9) and amendment of Note filed 7-27-2012 as an emergency; operative 7-27-2012 (Register 2012, No. 30). Pursuant to Welfare and Institutions Code section 19710, this action is a deemed emergency and the emergency regulations are exempt from OAL review. A Certificate of Compliance must be transmitted to OAL by 1-23-2013 or the emergency action will be repealed by operation of law on the following day.
8. Repealer of subsections (a)(2) and (a)(6), subsection renumbering, amendment of newly designated subsection (a)(4)(A), new subsection (a)(9) and amendment of Note refiled 1-17-2013 as an emergency; operative 1-17-2013 (Register 2013, No. 3). Pursuant to Welfare and Institutions Code section 19710, this action is a deemed emergency and the emergency regulations are exempt from OAL review. A Certificate of Compliance must be transmitted to OAL by 4-17-2013 or emergency language will be repealed by operation of law on the following day.
§7351. General Provisions.
Note     •     History

(a) Any applicant or client of the Vocational Rehabilitation or Independent Living Services programs who is dissatisfied with any action or inaction of the Department relating to the application for or receipt of services, shall have an opportunity for a prompt administrative review by the supervisory staff of the Department  and/or a formal  fair hearing. Any applicant or client of the Vocational Rehabilitation program may also request mediation by a qualified impartial mediator to resolve disputes involving any action or inaction of the Department that affects the provision of vocational rehabilitation services.
(b) Any applicant, client, or former client who believes he/she has been discriminated against by a Department employee, a contractor or grantee of the Department, or an employee of a contractor or grantee based upon any of the protected statuses of race, color, religious creed, ancestry, national origin, sexual orientation, marital status, medical condition, physical or mental disability, sex, or age shall have an opportunity for a prompt administrative review by the supervisory staff or, as appropriate, by a contractor or grantee, and/or an informal Equal Employment Opportunity Counselor review followed, when necessary, by a formal investigation by the Department's Office of Civil Rights and Affirmative Action.
(c) The administrative review process is optional and shall not delay a fair hearing or, in the case of alleged discrimination, an informal Equal Employment Opportunity Counselor review followed, when necessary, by a formal investigation by the Department's Office of Civil Rights and Affirmative Action, unless the appellant or complainant and/or authorized representative and the Department agree to a delay. The mediation process is also optional and shall not delay a fair hearing, unless all parties agree to a continuation of the hearing.
(d) Notwithstanding (b), an applicant, client, or former client may file a formal complaint with the U.S. Department of Education, Office for Civil Rights at any time.
(e) Any service(s) currently being provided an individual under an IWRP shall not be suspended, reduced, or terminated pending a final determination pursuant to administrative review provided pursuant to Section 7353 or the final decision pursuant to Section 7358, unless:
(1) The individual or his/her authorized representative so requests; or
(2) The Department has determined that services have been obtained through misrepresentation, fraud, collusion, or criminal conduct on the part of the appellant or the appellant's authorized representative, as specified in 29 USC §722(c)(7).
NOTE

Authority cited: Sections 19006 and 19016, Welfare and Institutions Code; Section 35, Chapter 937, Statutes of 1993. Reference: 29 USC §722(c)(4) and (c)(7); 34 CFR 100.6, 104.7(b), 104.51 and 104.61; Section 19572(w), Government Code; and Sections 19703 and 19704, Welfare and Institutions Code.
HISTORY

1. Editorial transfer from division 2.1 of title 22 (section 48000) to chapter 3 of title 9 (section 7350) (Register 78, No. 41). For history of former section 48000, see Registers 70, Nos. 29, 26 and 12; 69, No. 26.
2. Repealer of subchapter 11 (section 7350) and new subchapter 11 (sections 7350-7359) filed 12-14-79; effective thirtieth day thereafter (Register 79, No. 50).
3. Renumbering of chapter 11 (sections 7350-7359) to chapter 12 filed 6-21-90; operative 7-21-90 (Register 90, No. 35).
4. Renumbering and amendment of former section 7350 to section 7351 filed 9-19-91; operative 10-21-91 (Register 91, No. 52).
5. Amendment of subsection (a) and Note filed 12-1-93 as an emergency; operative 12-1-93 (Register 93, No. 49).  A Certificate of Compliance must be transmitted to OAL by 3-30-94 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 12-1-93 order transmitted to OAL 3-15-94 and filed 4-19-94 (Register 94, No. 16).
7. New subsections (b) and (d), redesignation and amendment of subsection (c) and amendment of Note filed 7-6-94; operative 8-5-94 (Register 94, No. 27).
8. Amendment of subsections (b) and (d), new subsections (e)-(e)(2) and amendment of Note filed 2-10-99; operative 3-12-99 (Register 99, No. 7).
9. Amendment of subsections (a) and (c) and amendment of Note filed 9-27-2000 as an emergency; operative 9-27-2000 (Register 2000, No. 39). A Certificate of Compliance must be transmitted to OAL by 1-25-2001 or emergency language will be repealed by operation of law on the following day.
10. Certificate of Compliance as to 9-27-2000 order transmitted to OAL 1-5-2001 and filed 2-20-2001 (Register 2001, No. 8).
11. Amendment of subsections (a), (c) and (e) filed 7-27-2012 as an emergency; operative 7-27-2012 (Register 2012, No. 30). Pursuant to Welfare and Institutions Code section 19710, this action is a deemed emergency and the emergency regulations are exempt from OAL review. A Certificate of Compliance must be transmitted to OAL by 1-23-2013 or the emergency action will be repealed by operation of law on the following day.
12. Amendment of subsections (a), (c) and (e) refiled 1-17-2013 as an emergency; operative 1-17-2013 (Register 2013, No. 3). Pursuant to Welfare and Institutions Code section 19710, this action is a deemed emergency and the emergency regulations are exempt from OAL review. A Certificate of Compliance must be transmitted to OAL by 4-17-2013 or emergency language will be repealed by operation of law on the following day.
§7352. Appellant's Mode of Communication.
Note     •     History

(a) The Department shall inform the appellant in his/her primary language and preferred mode of communication that, upon the appellant's specific request, all  future notices and decisions shall be transmitted in the same manner.  If no such request is received, future notices and decisions shall be transmitted by mail in written English.
NOTE

Authority cited: Sections 19006 and 19016, Welfare and Institutions Code; Section 35, Chapter 937, Statutes of 1993. Reference: Section 19013.5, Welfare and Institutions Code.
HISTORY

1. Amendment of Note filed 9-19-91; operative 10-21-91 (Register 91, No. 52).
2. Amendment of section heading, subsection (a) and Note filed 12-1-93 as an emergency; operative 12-1-93 (Register 93, No. 49).  A Certificate of Compliance must be transmitted to OAL by 3-30-94 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 12-1-93 order including amendments transmitted to OAL 3-15-94 and filed 4-19-94 (Register 94, No. 16).
§7353. Administrative Review--Appellants.
Note     •     History

(a) All requests for administrative review of an action of the Department relating to the application for or receipt of services shall:
(1) Be made within one year of the action(s) or decision(s) with which the appellant is dissatisfied except as set forth in Sections 7227 and 7344.
(2) Be made orally or in writing to the District Administrator responsible for overseeing the local office in which the action or decision with which the appellant is dissatisfied was initiated.
(3) Include the following information:
(A) The reason for the appeal and why the appellant thinks the decision should be changed.
(B) The action the appellant wishes to have taken.
(b) The review shall be conducted:
(1) By the Administrative Review Officer, except as provided in (e).
(2) In the presence of the appellant, or authorized representative unless either party has waived the right to attend and present additional information. Such waiver shall be in the form of a written authorization allowing the Department to conduct the review solely upon the information specified in (a)(3) and the information contained in the case record.
(3) During Departmental working hours at a local office convenient to the residence of the appellant or authorized representative.
(c) Interpreter and reader services shall be provided for the administrative review upon request for clients who are non-English-speaking, deaf, hearing impaired, speech impaired, blind, or visually impaired.
(d) Transportation and attendant services may be provided for the administrative review upon request for those who require such help and are unable to secure assistance through other sources.
(e) The Administrative Review Officer may delegate the review to a Rehabilitation Supervisor, but shall not delegate the review to the same supervisor who participated in the decision with which the appellant is dissatisfied.
(f) The Administrative Review Officer, or the Rehabilitation Supervisor who was delegated to conduct the review, shall prepare the written decision which shall be sent to the appellant by certified mail with an additional copy to be mailed to the authorized representative, if any, within 15 days of the date of the request. The written decision shall inform the appellant/authorized representative that, if he or she is dissatisfied with the decision rendered as a result of the optional administrative review, a written request for a fair hearing must be filed with the Department within 30 days of the receipt of the decision. The written decision shall also inform the appellant/authorized representative of the right to request a mediation.
(g) The written decision shall be filed in the case record.
NOTE

Authority cited: Sections 19006 and 19016, Welfare and Institutions Code. Reference: 29 USC Section 722(c)(4)(A); 34 CFR 361.48(b); and Sections 19703 and 19704,  Welfare and Institutions Code.
HISTORY

1. Amendment of section filed 9-19-91; operative 10-21-91 (Register 91, No. 52).
2. Amendment of section heading and subsection (a) filed 7-6-94; operative 8-5-94 (Register 94, No. 27).
3. Amendment of subsection (f) and amendment of Note filed 9-27-2000 as an emergency; operative 9-27-2000 (Register 2000, No. 39). A Certificate of Compliance must be transmitted to OAL by 1-25-2001 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 9-27-2000 order transmitted to OAL 1-5-2001 and filed 2-20-2001 (Register 2001, No. 8).
§7353.5. Administrative Review--Complainants.
Note     •     History

(a) All requests for administrative review of a complaint of discrimination shall:
(1) Be made within 180 days of the date of the alleged discrimination.
(2) Be made orally or in writing to the District Administrator responsible for overseeing the local office in which the alleged discrimination occurred.
(3) Include all of the following:
(A) The name, address and telephone number of the complainant.
(B) The name and title of the person against whom the complaint is made.
(C) A description of the alleged discrimination, including pertinent dates and a statement of how the alleged discrimination relates to the complainant's sex, race, age, religious creed, color, ancestry, national origin, sexual orientation, marital status, medical condition, or physical or mental disability.
(D) The remedy the complainant wishes to have initiated.
(b) The District Administrator shall attempt to resolve the complainant's issue within 15 working days of receipt of an oral or written discrimination complaint.  If the District Administrator:
(1) Can resolve the complaint, the District Administrator shall prepare a written summary of the complaint and its resolution and send a copy of the summary to all of the following:
(A) The complainant.
(B) The Assistant Deputy Director.
(C) The Chief, Office of Civil Rights and Affirmative Action.
(2) Cannot resolve the complaint, the District Administrator shall:
(A) Prepare a written summary of the complaint, the actions taken to attempt to resolve the complaint and the reasons the complaint could not be resolved.
(B) Send a copy of the summary specified in (A) to the complainant and the Chief, Office of Civil Rights and Affirmative Action for an evaluation for prima facie evidence of discrimination and, as appropriate, informal resolution by an Equal Employment Opportunity Counselor and formal investigation, when necessary.  The copy sent to the complainant shall also include both of the following:
1. Notification that the complaint has been forwarded to the Chief, Office of Civil Rights for evaluation and appropriate action.
2. A statement of the complainant's right to file a complaint with the U.S. Department of Education, Office for Civil Rights.
NOTE

Authority cited: Sections 19006 and 19016, Welfare and Institutions Code.  Reference: 28 CFR 35.107; and 34 CFR 100.6 and 104.7.
HISTORY

1. New section filed 7-6-94; operative 8-5-94 (Register 94, No. 27).
Article 1.5. Mediation
§7353.6. Mediation.
Note     •     History

(a) All requests for mediation of a dispute between an individual and the Department relating to the application for or receipt of Vocational Rehabilitation services shall:
(1) Be made within one year of the action(s) or decision(s) involved.
(2) Be made in writing to the Mediation Coordinator. A mediation request form with the address and phone number of the Mediation Coordinator can be obtained from the local Department office. Mediation may also be requested at the same time a request for fair hearing is filed, and the Department's Legal Affairs Office shall forward such requests to the Mediation Coordinator. By requesting a mediation, an individual consents to the release of the information contained in the request to the Mediation Coordinator and to the sharing of information about the individual's case with the Mediation Coordinator.
(3) Include the following information:
(A) The reason for the mediation and why the party requesting mediation thinks the decision should be changed.
(B) The action the party requesting mediation wishes to have taken.
(b) The Mediation Coordinator will contact the parties involved in the dispute to verify that all parties agree to mediation and to schedule the mediation. The District Administrator or his/her designee with authority to resolve the dispute shall attend the mediation on the Department's behalf. The mediation shall be held within 25 calendar days of the Mediation Coordinator's receipt of the request for mediation, unless the parties agree to a later date. Requesting mediation shall not delay the scheduling of a Fair Hearing, unless all parties agree to the continuation of the Fair Hearing.
(c) Mediations shall be scheduled at a time and place convenient for all parties. The individual has a right to be represented at the mediation. Interpreter and reader services shall be provided for the mediation upon request for clients who are non-English-speaking, deaf, hearing impaired, speech impaired, blind, or visually impaired. The Department may authorize transportation and attendant services for the mediation upon request for those who require such help and are unable to secure assistance through other sources.
(d) Discussions that occur during the mediation process are confidential any may not be disclosed to anyone outside the mediation process or used as evidence in any subsequent due process hearings or civil proceedings. The mediator may require the parties to the mediation process to sign a confidentiality pledge prior to the commencement of the process. The parties have a right to submit evidence and information to support their positions at the mediation. Evidence that is otherwise available outside of mediation is not inadmissible in a subsequent proceeding or protected from disclosure solely by reason of its introduction or use in mediation.
(e) An agreement reached by the parties to the dispute in the mediation process must be described in a written mediation agreement that is issued by the impartial and qualified mediator and signed by all parties. Copies of the agreement must be given to all parties and placed in the case record.
NOTE

Authority cited: Sections 19006 and 19016, Welfare and Institutions Code. Reference: 29 USC Section 722(c)(4).
HISTORY

1. New article 1.5 and section filed 9-27-2000 as an emergency; operative 9-27-2000 (Register 2000, No. 39). A Certificate of Compliance must be transmitted to OAL by 1-25-2001 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 9-27-2000 order transmitted to OAL 1-5-2001 and filed 2-20-2001 (Register 2001, No. 8).
3. Amendment of subsection (a)(2) filed 7-27-2012 as an emergency; operative 7-27-2012 (Register 2012, No. 30). Pursuant to Welfare and Institutions Code section 19710, this action is a deemed emergency and the emergency regulations are exempt from OAL review. A Certificate of Compliance must be transmitted to OAL by 1-23-2013 or the emergency action will be repealed by operation of law on the following day.
4. Amendment of subsection (a)(2) refiled 1-17-2013 as an emergency; operative 1-17-2013 (Register 2013, No. 3). Pursuant to Welfare and Institutions Code section 19710, this action is a deemed emergency and the emergency regulations are exempt from OAL review. A Certificate of Compliance must be transmitted to OAL by 4-17-2013 or emergency language will be repealed by operation of law on the following day.
Article 2. Fair Hearings
§7354. Fair Hearing Requests.
Note     •     History

(a) All requests for a fair hearing shall:
(1) Be made within one year of receipt of a written denial or action relating to an application for or receipt of services, except as set forth in Sections 7227, 7344, 7345, and 7353(f) of these regulations.
(2) Be made in writing and directed to the Department's Legal Affairs Office.
(3) Include the information specified in Section 7353(a)(3).
(b) A hearing before an impartial hearing officer shall be held within 60 calendar days from receipt of the written request. 
(c) The request shall be deemed to be “received” in one of the following ways:
(1) The date the request is postmarked plus five working days.
(2) If the postmark is illegible, five working days from the date the request is date stamped by the Department's Legal Affairs Office.
(3) If hand carried, the date the request is date stamped by the Department's Legal Affairs Office.
(4) If by electronic mail to the Department's Legal Affairs Office, the date the electronic mail is received plus five working days.
(d) The appellant shall be notified by certified mail of:
(1) The time and place for the hearing.
(2) The procedures used by the impartial hearing officer.
(3) The availability of sign language interpreters, oral interpreters, deaf-blind interpreters, or assistive listening systems for the deaf or hearing impaired, if requested by the appellant.
(4) The availability of readers or documents in Braille or large print for visually impaired appellants who request it.
(5) The opportunity to be represented at the hearing by an authorized representative of the appellant's choosing.
(6) The opportunity to bring witnesses to the hearing to testify on the appellant's behalf.
(e) The appellant's record of services shall, upon request, be made available to the appellant and/or appellant's authorized representative.
NOTE

Authority cited: Sections 19006 and 19016, Welfare and Institutions Code; Section 35, Chapter 937, Statutes of 1993. Reference: 34 CFR 361.57; Sections 19704, 19705 and 19708, Welfare and Institutions Code; and Section 1798.34, Civil Code.
HISTORY

1. Amendment of section filed 9-19-91; operative 10-21-91 (Register 91, No. 52).
2. Amendment of subsection (c)(3)  and Note filed 12-1-93 as an emergency; operative 12-1-93 (Register 93, No. 49).  A Certificate of Compliance must be transmitted to OAL by 3-30-94 or emergency language will be repealed by operation of law on the following day. 
3. Certificate of Compliance as to 12-1-93 order transmitted to OAL 3-15-94 and filed 4-19-94 (Register 94, No. 16).
4. New article 2 filed 7-6-94; operative 8-5-94 (Register 94, No. 27).
5. Amendment of section and Note filed 2-10-99; operative 3-12-99 (Register 99, No. 7).
6. Amendment of section heading and section filed 7-27-2012 as an emergency; operative 7-27-2012 (Register 2012, No. 30). Pursuant to Welfare and Institutions Code section 19710, this action is a deemed emergency and the emergency regulations are exempt from OAL review. A Certificate of Compliance must be transmitted to OAL by 1-23-2013 or the emergency action will be repealed by operation of law on the following day.
7. Amendment of section heading and section refiled 1-17-2013 as an emergency; operative 1-17-2013 (Register 2013, No. 3). Pursuant to Welfare and Institutions Code section 19710, this action is a deemed emergency and the emergency regulations are exempt from OAL review. A Certificate of Compliance must be transmitted to OAL by 4-17-2013 or emergency language will be repealed by operation of law on the following day.
§7355. Fair Hearing Procedures.
Note     •     History

(a) The appellant may appear alone, with the authorized representative, or be represented by the authorized representative.
(b) The Department shall be represented at the hearing by the employee who made the original decision and/or the Administrative Review Officer, or the Rehabilitation Supervisor to whom the review was delegated.
(c) The appellant and/or the authorized representative and the Department representatives shall have an opportunity to:
(1) Present evidence, information, and witnesses to the impartial hearing officer.
(A) If written evidence is presented at the hearing, three (3) copies shall be presented to the impartial hearing officer by the introducing party.
(2) Be represented by counsel or other appropriate advocate.
(3) Examine all witnesses and other relevant sources of information and evidence.
(d) All persons testifying shall be placed under oath or affirmation.
(e) The impartial hearing officer shall send a notice by certified mail, to inform any appellant or authorized representative who has failed to appear at a hearing, that he or she has 14 days from the date the notice was mailed to submit a written request for another appearance before the impartial hearing officer. The hearing shall be rescheduled only if the appellant or authorized representative shows good cause for his or her failure to appear.
(f) The impartial hearing officer shall dismiss an appeal if any condition specified below exists. The appellant or authorized representative has failed to:
(1) Respond within the time period specified in (e) to request a rescheduled hearing.
(2) Show good cause for the failure to appear at a hearing.
(3) File a timely request for fair hearing as specified in Sections 7353(f) and 7354(a).
(4) Raise an issue within the jurisdiction of the impartial hearing officer.
NOTE

Authority cited: Sections 19006 and 19016, Welfare and Institutions Code; Section 35, Chapter 937, Statutes of 1993. Reference: 34 CFR Section 361.57; and Sections 19704, 19705 and 19708, Welfare and Institutions Code.
HISTORY

1. Amendment of section filed 9-19-91; operative 10-21-91 (Register 91, No. 52).
2. Amendment of subsection (n) and Note filed 12-1-93 as an emergency; operative 12-1-93 (Register 93, No. 49).  A Certificate of Compliance must be transmitted to OAL by 3-30-94 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 12-1-93 order transmitted to OAL 3-15-94 and filed 4-19-94 (Register 94, No. 16).
4. Amendment of subsections (d) and (g)(1), new subsection (g)(1)(A), redesignation of former subsections (j)(A)-(C) as (j)(1)-(3), new subsection (k)(1), and amendment of Note filed 2-10-99; operative 3-12-99 (Register 99, No. 7).
5. Amendment of section heading, section and Note filed 7-27-2012 as an emergency; operative 7-27-2012 (Register 2012, No. 30). Pursuant to Welfare and Institutions Code section 19710, this action is a deemed emergency and the emergency regulations are exempt from OAL review. A Certificate of Compliance must be transmitted to OAL by 1-23-2013 or the emergency action will be repealed by operation of law on the following day.
6. Amendment of section heading, section and Note refiled 1-17-2013 as an emergency; operative 1-17-2013 (Register 2013, No. 3). Pursuant to Welfare and Institutions Code section 19710, this action is a deemed emergency and the emergency regulations are exempt from OAL review. A Certificate of Compliance must be transmitted to OAL by 4-17-2013 or emergency language will be repealed by operation of law on the following day.
§7356. Appellant Responsibilities for Appearing.
Note     •     History

(a) The appellant or authorized representative may waive the right to appear and have the matter decided on the written record by providing written notification to the impartial hearing officer. If such written notification is received less than seven days prior to the scheduled hearing, the hearing shall be canceled and the appellant shall be sent a notice as specified in Section 7355(e).
(b) The appellant or authorized representative shall notify the impartial hearing officer in writing if he or she is unable to attend a scheduled hearing. 
(c) The appellant and/or authorized representative, if any, shall arrive within 30 minutes after the scheduled time of the hearing. 
(1) If both the appellant and authorized represntative fail to appear within the specified time, the hearing shall be canceled and the impartial hearing officer shall send a notice, pursuant to Section 7355(e).
(2) If only one of the above appear,  he or she shall have the option of rescheduling the hearing or proceeding with the hearing without the presence of the other. 
(A) In the event the hearing is not held and the individual who does not appear at the hearing wishes to request a rescheduled hearing, he/she shall provide documentation sufficient to establish good cause for his/her failure to appear pursuant to Section 7355(e).
(d) An appellant or authorized representative may submit a written request to withdraw the request for the hearing at any time.
(e) The appellant shall have the burden of introducing evidence at the hearing sufficient to demonstrate his or her case by a preponderance of the evidence.
NOTE

Authority cited: Sections 19006 and 19016, Welfare and Institutions Code. Reference: 34 CFR 361.57; and Section 19705, Welfare and Institutions Code.
HISTORY

1. Amendment of section filed 9-19-91; operative 10-21-91 (Register 91, No. 52).
2. Amendment of section and Note filed 2-10-99; operative 3-12-99 (Register 99, No. 7).
3. Amendment filed 7-27-2012 as an emergency; operative 7-27-2012 (Register 2012, No. 30). Pursuant to Welfare and Institutions Code section 19710, this action is a deemed emergency and the emergency regulations are exempt from OAL review. A Certificate of Compliance must be transmitted to OAL by 1-23-2013 or the emergency action will be repealed by operation of law on the following day.
4. Amendment refiled 1-17-2013 as an emergency; operative 1-17-2013 (Register 2013, No. 3). Pursuant to Welfare and Institutions Code section 19710, this action is a deemed emergency and the emergency regulations are exempt from OAL review. A Certificate of Compliance must be transmitted to OAL by 4-17-2013 or emergency language will be repealed by operation of law on the following day.
§7357. Postponement and Continuation.
Note     •     History

(a) The impartial hearing officer may postpone the scheduled hearing up to 90 days if good cause exists, if both parties agree to the postponement, or for the convenience of appellant. A request for postponement must be filed no later than five (5) working days prior to the scheduled hearing. The impartial hearing officer shall not postpone the hearing for more than one year from the original hearing date.
(b) The impartial hearing officer may continue the hearing to a later date upon the determination that additional evidence not available at the hearing is necessary to reach a decision. The impartial hearing officer may order further investigation or direct either party to produce additional evidence. 
(c) The impartial hearing officer may close the hearing but hold the record open for up to thirty (30) days to permit the submission of additional written evidence. Such evidence shall be made available to the Department and the appellant, and if applicable the appellant's authorized representative, and each party shall have the opportunity to submit a written response.
(d) The impartial hearing officer may conduct further hearings if the additional information or response indicates a need for such hearings.
NOTE

Authority cited: Sections 19006 and 19016, Welfare and Institutions Code. Reference: 34 CFR 361.48(d).
HISTORY

1. Amendment of subsection (c) and Note filed 9-19-91; operative 10-21-91 (Register 91, No. 52).
2. Amendment of section and Note filed 7-27-2012 as an emergency; operative 7-27-2012 (Register 2012, No. 30). Pursuant to Welfare and Institutions Code section 19710, this action is a deemed emergency and the emergency regulations are exempt from OAL review. A Certificate of Compliance must be transmitted to OAL by 1-23-2013 or the emergency action will be repealed by operation of law on the following day.
3. Amendment refiled 1-17-2013 as an emergency; operative 1-17-2013 (Register 2013, No. 3). Pursuant to Welfare and Institutions Code section 19710, this action is a deemed emergency and the emergency regulations are exempt from OAL review. A Certificate of Compliance must be transmitted to OAL by 4-17-2013 or emergency language will be repealed by operation of law on the following day.
§7358. Final Decision.
Note     •     History

(a) The impartial hearing officer shall render its final decision within 30 days of the completion of the hearing and shall  mail copies by certified mail to all parties. The decision shall set forth:
(1) The issues.
(2) The findings of fact.
(3) The reasons for the decision referencing applicable laws, regulations, and policy.
(4) The final decision.
(b) At the same time the appellant receives the impartial hearing officer's decision he/she shall also receive a statement of both of the following:
(1) The right to a review by the Superior Court as specified in Section 19709 of the Welfare and Institutions Code if he/she is dissatisfied with the decision.
(2) The availability of the Client Assistance Program to assist with the review pursuant to subsection (b)(1), if that program determines the case to have merit, and instructions on how to request the program's assistance.
(c) A copy of the decision shall be filed in the appellant's record of services.
NOTE

Authority cited: Sections 19006 and 19016, Welfare and Institutions Code; Section 35, Chapter 937, Statutes of 1993. Reference: 34 CFR 361.57; and Section 19709, Welfare and Institutions Code.
HISTORY

1. Renumbering and amendment of former section 7359 to section 7358 and renumbering and amendment of former section 7358 to section 7361 filed 9-19-91; operative 10-21-91 (Register 91, No. 52).
2. Amendment of section heading, section and Note filed 12-1-93 as an emergency; operative 12-1-93 (Register 93, No. 49).  A Certificate of Compliance must be transmitted to OAL by 3-30-94 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 12-1-93 order transmitted to OAL 3-15-94 and filed 4-19-94 (Register 94, No. 16).
4. Editorial correction of subsection (a) (Register 95, No. 11).
5. Amendment of subsections (a), (a)(3) and (c) and amendment of Note filed 2-10-99; operative 3-12-99 (Register 99, No. 7).
6. Amendment of section and Note filed 7-27-2012 as an emergency; operative 7-27-2012 (Register 2012, No. 30). Pursuant to Welfare and Institutions Code section 19710, this action is a deemed emergency and the emergency regulations are exempt from OAL review. A Certificate of Compliance must be transmitted to OAL by 1-23-2013 or the emergency action will be repealed by operation of law on the following day.
7. Amendment of section and Note refiled 1-17-2013 as an emergency; operative 1-17-2013 (Register 2013, No. 3). Pursuant to Welfare and Institutions Code section 19710, this action is a deemed emergency and the emergency regulations are exempt from OAL review. A Certificate of Compliance must be transmitted to OAL by 4-17-2013 or emergency language will be repealed by operation of law on the following day.
§7359. Review of Proposed Decision. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 19006 and 19016, Welfare and Institutions Code. Reference: 34 CFR 361.48(c); and Section 19707, Welfare and Institutions Code.
HISTORY

1. Renumbering and amendment of former section 7359 to section 7358, except subsection (c), which was moved to section 7360, and new section 7359 filed 9-19-91; operative 10-21-91 (Register 91, No. 52). 
2. Repealer filed 12-1-93 as an emergency; operative 12-1-93 (Register 93, No. 49).  A Certificate of Compliance must be transmitted to OAL by 3-30-94 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 12-1-93 order transmitted to OAL 3-15-94 and filed 4-19-94 (Register 94, No. 16).
§7360. Final Decision. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 19006 and 19016, Welfare and Institutions Code. Reference: 34 CFR 361.48(c), 34 CFR 370.10; and Sections 19707 and 19709, Welfare and Institutions Code.
HISTORY

1. Former section 7359, subsection (c) amended and moved to new section 7360 filed 9-19-91; operative 10-21-91 (Register 91, No. 52). 
2. Repealer filed 12-1-93 as an emergency; operative 12-1-93 (Register 93, No. 49).  A Certificate of Compliance must be transmitted to OAL by 3-30-94 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 12-1-93 order transmitted to OAL 3-15-94 and filed 4-19-94 (Register 94, No. 16).
4. Editorial correction of History 1 (Register 95, No. 11).
§7361. Record of the Hearing.
Note     •     History

(a) The final decision, a transcript or a recording of the hearing, exhibits, papers, and reports filed in the proceeding shall constitute the record of the hearing.
(b) If requested by the appellant or authorized representative, the record of the hearing or any part thereof shall be furnished to him/her within 30 days from receipt of the written request at a cost not to exceed ten cents per page or for free if fewer than ten pages are requested.
NOTE

Authority cited: Sections 19006 and 19016, Welfare and Institutions Code; Section 35, Chapter 937, Statutes of 1993. Reference: Section 19706, Welfare and Institutions Code.
HISTORY

1. Renumbering and amendment of former section 7358 to section 7361 filed 9-19-91; operative 10-21-91 (Register 91, No. 52). 
2. Amendment of subsection (a) and Note filed 12-1-93 as an emergency; operative 12-1-93 (Register 93, No. 49).  A Certificate of Compliance must be transmitted to OAL by 3-30-94 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 12-1-93 order transmitted to OAL 3-15-94 and filed 4-19-94 (Register 94, No. 16).
Article 3. Discrimination Resolutions   by the Office of Civil Rights and   Affirmative Action
§7363. Review of Complaint.
Note     •     History

(a) Upon a receipt of either of the following, the Chief, Office of Civil Rights and Affirmative Action shall notify the complainant of receipt of the information and that a review conducted in accordance with (b) shall occur:
(1) A written complaint of discrimination containing all of the information specified in Section 7353.5(a)(3) from an applicant, client or former client of the Department, and filed within 180 days of the date of the alleged discrimination or within 30 days of receiving written notification from a contractor or grantee in accordance with Section 7335.5.
(2) The summary of the Administrative Review specified in Section 7353.5(b)(2)(A).
(b) The Chief, Office of Civil Rights and Affirmative Action shall review the information received pursuant to (a) to determine both of the following:
(1) Whether the complaint was filed within the specified time limits.  If the filing is untimely, the Chief, Office of Civil Rights and Affirmative action shall dismiss the complaint by advising the complainant in writing of the reason for the dismissal and of his/her right to file a complaint with the U.S. Department of Education, Office for Civil Rights.
(2) If prima facie evidence of discrimination exists.  This may require the solicitation of additional information from the complainant. If a prima facie case:
(A) Exists, the Chief shall refer the complaint to whomever of the following that the Chief deems appropriate:
1. An Equal Employment Opportunity Counselor for informal counseling and resolution.
2. An Equal Employment Opportunity Investigator for formal investigation.
(B) Does not exist, the Chief shall dismiss the complaint by advising the complainant in writing of the reasons for the dismissal and of his/her right to file a complaint with the U.S. Department of Education, Office for Civil Rights.
(c) When a complaint is referred to an Equal Employment Opportunity Counselor, the Counselor shall attempt to resolve the complaint within 15 working days unless an extension of the counseling period is agreed upon between the complainant and the Counselor. If the complaint is:
(1) Resolved, the Counselor shall summarize the resolution in writing and send copies to all of the following:
(A) The complainant.
(B) The District Administrator.
(C) The Chief, Office of Civil Rights and Affirmative Action.
(2) Not resolved, the Counselor shall refer the complaint back to the Chief, Office of Civil Rights and Affirmative Action for assignment to an Equal Employment Opportunity Investigator for formal investigation.  The Counselor shall send Written notification of the referral to the complainant.
NOTE

Authority cited: Sections 19006 and 19016, Welfare and Institutions Code.  Reference: 34 CFR 100.6, 104.7, 104.51 and 104.61; and Section 19752(w), Government Code.
HISTORY

1. New article 3 and section filed 7-6-94; operative 8-5-94 (Register 94, No. 27).
§7365. Formal Investigation and Decision.
Note     •     History

(a) The Equal Employment Opportunity Investigator shall conduct an impartial investigation of the complaint and, within 70 working days of receipt of the complaint, provide a written Report of Findings to the Chief, Office of Civil Rights and Affirmative Action.
(b) At a minimum, the impartial investigation shall include a review of the documentary evidence and an interview with all of the following:
(1) The complainant who may be accompanied by a representative of his/her choosing.
(2) The respondent.
(3) The respondent's supervisor.
(c) Within 15 working days of receipt of the written Report of Findings, the Chief, Office of Civil Rights and Affirmative Action shall prepare a proposed decision for the Chief Deputy Director.  A copy of the proposed decision, along with the Report of Findings, shall be transmitted to the Chief Deputy Director for review.
(d) Upon review of the proposed decision and the Report of Findings, the Chief Deputy Director shall transmit a copy of the proposed decision and the Report of Findings to the complainant and shall give the complainant ten working days within which to request an opportunity to discuss with the Chief Deputy Director the proposed decision and the Report of Findings.  The discussion shall be limited to those findings and conclusions that the complainant believes are unsupported by a preponderance of the evidence or are based upon erroneous information or investigative procedures.
(e) Within 15 working days of receiving the proposed decision  or conducting the discussion pursuant to (d), whichever is later, the Chief Deputy Director shall render a final decision in writing to the complainant.  The final decision shall  include a statement of the complainant's right, if dissatisfied with the decision, to file a complaint with the U.S. Department of Education, Office for Civil Rights for that office to determine jurisdiction.
NOTE

Authority cited: Sections 19006 and 19016, Welfare and Institutions Code.  Reference: 34 CFR 100.6, 104.7, 104.51 and 104.61; and Section 19752(w), Government Code.
HISTORY

1. New section filed 7-6-94; operative 8-5-94 (Register 94, No. 27).
§7367. Settlements and Dismissals.
Note     •     History

(a) Notwithstanding anything in this Chapter, the Department may continue to negotiate a settlement until such time as the Report on Findings and the proposed decision have been forwarded to the Chief Deputy Director.
(b) In addition to the dismissals pursuant to Section 7363(b), the Chief, Office of Civil Rights and Affirmative Action may dismiss a formal complaint under any of the following circumstances:
(1) The complainant fails to provide requested necessary information or to be available for interviews or conferences or otherwise refuses to cooperate to the extent that the Chief, Office of Civil Rights and Affirmative Action is unable to resolve the complaint.  Prior to the dismissal, the Chief shall provide the complainant with written notification affording the complainant 20 working days in which to respond.
(2) The complainant cannot be located after reasonable efforts have been made and the complainant has not responded within 20 working days to a notice sent by the Chief to the complainant's last known address.
(3) The complainant fails to respond to or refuses an offer within 30 days of a written notice sent by the Chief, Office of Civil Rights and Affirmative Action that contains a settlement offer that is specific in its terms  and would afford full relief for the alleged complaint of discrimination as specified in Section 7353.5(a)(3)(D).
NOTE

Authority cited: Sections 19006 and 19016, Welfare and Institutions Code.  Reference: 34 CFR 104.7, 140.51 and 140.61; and Section 19751(w), Government Code.
HISTORY

1. New section filed 7-6-94; operative 8-5-94 (Register 94, No. 27).
Chapter 14. Employee Activities
Article 1. Conflict of Interest
§7400. Conflict-of-Interest Code.

The Political Reform Act (Government Code Section 81000, et seq.) requires state and local government agencies to adopt and promulgate conflict of interest codes. The Fair Political Practices Commission has adopted a regulation (2 California Code of Regulations Section 18730) which contains the terms of a standard conflict-of-interest code and may be incorporated by reference in an agency's code. After public notice and hearing it may be amended by the Fair Political Practices Commission to conform to amendments in the Political Reform Act. Therefore, the terms of 2 California Code of Regulations Section 18730 and any amendments to it duly adopted by the Fair Political Practices Commission are hereby incorporated by reference. This regulation and the attached Appendix designating officials and employees and establishing disclosure categories, shall constitute the Conflict-of-Interest Code of the Department of Rehabilitation (Agency).
Designated employees shall file statements of economic interests with the Agency. Upon receipt of the statements of the Director, the agency shall make and retain a copy and forward the original to the Fair Political Practices Commission. Statements for all other designated employees will be retained by the Agency and made available for public inspection and reproduction, upon request (Gov. Code Section 81008). 

Appendix

Designated Position	Disclosure Category

Director's Office
Director	1
	Administrative Assistant	1
Chief Deputy Director	1
	Assistant Director, Legislation	1
	Chief Counsel, Legal Affairs and Regulations	1
		Staff Counsel III (Specialist), Legal Affairs and Regulations	1
		Staff Counsel, Legal Affairs and Regulations	1
		Staff Services Analyst and/or Associate Governmental Program 
		 Analyst, Legal Affairs and Regulations 	2,3
	Chief, Office of Civil Rights	1
		Associate Governmental Program Analyst(s), Office of Civil Rights	2,3
	Chief, Audit Services (Supervising Management Auditor) 	1
		Auditors (all classifications), Audit Services	1
	Executive Secretary, Rehabilitation Appeals Board	1
	Rehabilitation Appeals Board 	1
	State Rehabilitation Council	1

Employment Preparation Services Division -- South 
Deputy Director	1
	Rehabilitation Administrator I (Specialist), Regional Program Manager	1
	District Administrators II, Rehabilitation Administrators II	1
		Senior Vocational Rehabilitation Counselors	1
		Rehabilitation Specialist(s) 	1
		Vocational Psychologists	1
		Rehabilitation Supervisors	1
		Office Services Supervisors (II and III) 	2,3,4
	Assistant Deputy Director, Community Programs Support and 
	 Development Branch (CPSD) 	1 
		Staff Services Manager II, Community Resources Development 
		 Section (CRDS) 	1
		Community Resource Development Specialists	 2,3,6
		 Associate Governmental Program Analyst, Grants Management 
		 Coordinator (CRDS) 	6
		 Associate Administrative Analysts, Accounting Systems	1
	Staff Services Manager I, Community Resources Development 
	 Section (CRDS) 	1
	Staff Services Manager I, Medical Services Unit	1
		Chief Medical Consultant	1
		Medical Consultants (including (Contract Consultants)	5
		Statewide Medical Services Coordinator, Associate Governmental 
		 Program Analyst	5,6
	Staff Services Manager I, Centralized Services	1
		 Associate Governmental Program Analyst(s), Centralized 
		  Services 	2,3,4
		 Associate Governmental Program Analyst, Statewide Supported 
		 Employment Coordinator	2,3,4
	Rehabilitation Administrator I (Supervisor), Mobility Evaluation Unit	1
		Senior and Associate Rehabilitation Engineering Consultant(s) 	2,3,6
		Mobility Evaluation Specialist(s) 	2,3
		Adaptive Driver Evaluation Specialist(s) 	2,3

Employment Preparation Services Division -- North Central
Deputy Director	1
	Rehabilitation Administrator I, (Specialist) Regional Program Manager	1
	District Administrators II, Rehabilitation Administrators II	1
		Senior Vocational Rehabilitation Counselors	1
		Rehabilitation Specialist(s) 	1
		Vocational Psychologists	1
		Rehabilitation Supervisors	1
		Office Services Supervisors (II and III) 	2,3,4
	Assistant Deputy Director, Collaborative Services/Workforce 
	 Development Branch	1
		Rehabilitation Administrators (Statewide Coordinator of Education; 
		 Social Security; Business Partnership; or Mental Health Programs) 	1
		Employment Program Specialists, Workforce Development Section	2,3
		Staff Services Manager I, Workforce Development/Interagency 
		 Linkages Unit	1
		 Associate Governmental Program Analyst(s), Workforce 
		 Development/ Interagency Linkages Unit	2,3
		Staff Services Manager II, Transition Services Unit 	1
		 Associate Governmental Program Analyst(s), Transition Services 
		 Unit	2,3
		Staff Services Manager I, Cooperative Education Program Unit	1
		 Associate Governmental Program Analyst(s), Cooperative Education 
		 Program Unit	2,3
		Staff Services Manager I, Human Services Cooperative Program Unit	1
		 Associate Governmental Program Analyst(s), Human Services 
		  Cooperative Program Unit	2,3

Specialized Services Division, Blind and Visually Impaired and Deaf and Hard of Hearing
Deputy Director	1 
	Program Manager for the Deaf, Services to the Deaf and Hard of 
	 Hearing Unit
		Assistant Program Administrator	1
		Staff Services Manager I, Services to the Deaf and Hard of Hearing	1
		 Associate Governmental Program Analyst(s), Services to the 
		  Deaf and Hard of Hearing Unit	2,3,6	
	Program Coordinator, Services to the Deaf and Hard of Hearing Unit	1
	Chief, Business Enterprises Program (BEP)	1
		Assistance Program Administrator (BEP)	1
		Business Enterprises Consultant II (Supervising) 	1
		Assistant Manager (BEP) 	1
		Senior Architect (BEP) 	2,4
		Business Enterprises Consultant I and II (BEC) 	1
		Associate Governmental Program Analyst (BEP) 	2,4
		Staff Services Analyst (BEP) 	2,4
		Specialist, California Vendors Policy Committee	2,3,4
	Administrator, Orientation Center for the Blind (OCB) 	1
		Senior Vocational Rehabilitation Counselor (OCB) 	2
		Business Services Officer (OCB) 	2
	Program Manager, Services to the Blind and Visually Impaired
	 (Rehabilitation Administrator II)	1
		Assistant Program Manager, Services to the Blind and Visually 
		 Impaired, Rehabilitation Administrator I	3,6
		 Associate Governmental Program Analyst Services to the Blind and 
		  Visually Impaired	3
		Blind Field Services Program, Rehabilitation Administrator II	1
		 Rehabilitation Supervisor, Blind Field Services Program	1
		 Rehabilitation Counselor, Blind Field Services Program	 1
		 Rehabilitation Specialist, Blind Field Services Program	1
		 Associate Governmental Program Analyst(s), Blind Field Services	3

Independent Living and External Affairs Division
Deputy Director	1
	Chief, Independent Living (IL), Assistive Technology (AT) and 
	 Disability Access Section	1
		Grants Coordinator, Associate Governmental Program Analyst	6
		Community Resource Development Specialist (IL) 	2,3,4,6
	Chief, Disability Access Section (DAS) 	1
		Training Officers I and II (DAS) 	2,3,6
		Associate Governmental Program Analyst(s), (DAS) 	2,3,6
	Information Officer II, Public Affairs Office	1
	Chief, Client Assistance Program 	1

Administrative Services Division
Deputy Director	1
		 Administrative Assistant	1
	Chief, Human Resources Branch, SSM III	1
		Labor Relations Specialist, Labor Relations Office	1
		Manager, Staff Development Section, SDS	1
		 Training Officers I and II, SDS	2,3
		 Associate Governmental Program Analyst(s), SDS	2,3
		Chief, Personnel Services Section (Personnel) 	1
		 Staff Services Manager I, Personnel	1
		 Personnel Supervisor I	2,3
		 Associate Personnel Analyst, Personnel 	2,3	 	
	Information Security Officer	1
	Operations and Accountability Officer	1
	Chief, Financial Management Branch	1
	Chief, Accounting Services, Accounting Administrator II (Supervisor) 	1
		Accounting Administrator I	1
		Accountant I, Supervisor	2,3
		 Accounting Officer (Supervisor) 	2,3
		 Senior Accounting Officer (Specialist) 	2,3
		 Senior Accounting Officer (Supervisor) 	2,3
		 Associate Accounting Analyst	2,3
		Chief, Budgets, Fiscal Forecasting and Research Section, SSM II	1
		 Associate Budget Analyst(s), Budgets and Monitoring	2,3
		 Research Program Specialist(s) II	2,3
		 Staff Services Analyst 	2,3
	Chief, Business Services Section (SSM II) 	1
		Assistant Chief, Business Services Section	1
		Telecommunications Systems Analyst II	2
		Business Services Officer I (Specialist) 	2
		Business Services Officer I (Supervising) 	2,4
		Business Services Officer II (Supervising) 	2,4
		Business Services Officer III	2,4
		Associate Business Management Analyst	2,4
		Associate Governmental Program Analysts, Business Services 
		 Section	2,3
		Business Services Assistant	2
	Chief, Contracts and Procurement/Vehicle Purchase and 
	 Modification Program Section, SSM II	1
		Associate Governmental Program Analyst, Contract and 
		 Procurement Section	2
		Staff Services Analyst, Contract and Procurement Section	2
		Rehabilitation Administrator I, Vehicle Purchase and Modification 
		 Program 	1
		 Staff Services Manager I, Planning Unit	1
		 Staff Services Analyst/Associate Governmental Program 
		  Analyst, Planning Unit	2,3,6
		 SRC Executive Officer	1
	Chief, Management Resources and Analysis Section 	1
	Chief, Information Systems Services Section (Data Processing 
	 Manager III) 	1
		Senior Information Systems Analyst (Specialist) 	1
		Data Processing Manager II, Customer Support	1
		 Data Processing Manager I, Field Office Support	1
		 Staff Information Systems Analyst, Supervising (Field Office 
		  Support) 	1
		  Staff Services Analyst (Braille) 	1
		 Associate Information Systems Analyst, Specialist (Field Office 
		 Support) 	2,3
		 Assistant Information Systems Analyst, (Field Office Support)	2,3
		 Information Systems Technician	2,3
		Senior Programmer Analyst, (Supervisor) Database Administration 
		 Unit (DAU) 	1
		 Staff Programmer Analyst (Specialist) (DAU) 	1
		 Associate Programmer Analyst, Specialist (DAU) 	2,3
		 Assistant Information Systems Analyst (DAU) 	2,3
		Data Processing Manager II, Technical Services	1
		 Staff Information Systems Analyst (Supervisor), Network Support	1
		  Systems Software Specialist I and II, Network Support	2,3
		  Associate Information Systems Analyst Network Support	2,3
		  Assistant Information Systems Analyst, Network Support	2,3
		  Programmer I	2,3
		Senior Program Analyst (Supervisor), Programming and Analysis 
		 (PA) 	1
		 Staff Programmer Analyst (Spec), (PA) 	1
		 Associate Programmer Analyst (Spec), (PA) 	2,3
	Consultants*

*Consultants shall be included in the list of designated employees and shall disclose pursuant to the broadest disclosure category in the code subject to the following limitation:
The Director may determine in writing that a particular consultant, although a “designated position,” is hired to perform a range of duties that is limited in scope and thus is not required to fully comply with the disclosure requirements in this section. Such written determination shall include a description of the consultant's duties and, based upon that description, a statement of the extent of disclosure requirements. The Director's determination is a public record and shall be retained for public inspection in the same manner and location as this conflict-of-interest code (Gov. Code Section 81008).

Disclosure Categories

Category 1
All sources of income, including gifts, loans, and travel payments, interests in real property, and investments and business positions in business entities as well as business positions in and income, including gifts, loans, and travel payments, from nonprofit organizations of the type to receive grants or provide services of the type to be utilized by the Department.

Category 2
Investments and business positions in business entities, and sources of income, including gifts, loans, and travel payments, which provide services, supplies, materials, machinery, or equipment of the type to be purchased for the Department's day-to-day operation in the employee's geographic area of responsibility.

Category 3
Investments and business positions in business entities and sources of income, including gifts, loans, and travel payments, as well as income, including gifts, loans, and travel payments, from nonprofit organizations which provide or operate educational, vocational, or rehabilitation services or facilities within the employee's geographic area of responsibility.

Category 4
Interests in real property, investments and business positions in business entities, and sources of income, including gifts, loans, and travel payments, which provide real estate services or engage in the sale of real estate within the employee's geographic area of responsibility.

Category 5 
Investments and business positions in business entities, and sources of income, including gifts, loans, and travel payments, as well as business positions in, and income, including gifts, loans, and travel payments, from, nonprofit organizations which provide medical services of any type in the employee's geographic area of responsibility.

Category 6 
Business positions in, and income, including gifts, loans, and travel payments, from, business entities and nonprofit organizations which are of the type to be recipients of grants from the Department of Rehabilitation.
NOTE

Authority cited: Section 87306, Government Code. Reference: Sections 87300-87302 and 87306, Government Code.
HISTORY

1. Repealer and new section filed 12-11-91; operative 1-10-92. Submitted to OAL for printing only (Register 92, No. 12). For prior history, see Register 91, No. 38.
2. Amendment filed 7-18-94; operative 8-17-94. Submitted to OAL for printing only (Register 94, No. 29).
3. Editorial correction deleting History 1 and 2 and redesignating History 3 to History 1 (Register 94, No. 29).
4. Editorial correction of first paragraph and category 3 (Register 95, No. 43).
5. Amendment of section and Note filed 2-8-99; operative 3-10-99. Approved by Fair Political Practices Commission 12-16-98 (Register 99, No. 7).
6. Amendment of section heading and section and new Appendix (consisting of amended designated position categories and disclosure categories) filed 1-7-2009; operative 2-6-2009. Approved by Fair Political Practices Commission 12-9-2008. Submitted to OAL for printing only  (Register 2009, No. 2). 
7. Amendment of Appendix filed 7-27-2012 as an emergency; operative 7-27-2012 (Register 2012, No. 30). Pursuant to Welfare and Institutions Code section 19710, this action is a deemed emergency and the emergency regulations are exempt from OAL review. A Certificate of Compliance must be transmitted to OAL by 1-23-2013 or the emergency action will be repealed by operation of law on the following day.
8. Reinstatement of Appendix as it existed prior to 7-27-2012 emergency amendment by operation of Government Code section 11346.1(f) (Register 2013, No. 4). 

Appendix

Designated Position	Disclosure Category

Director's Office
Director	1
	Administrative Assistant	1
Chief Deputy Director	1
	Assistant Director, Legislation	1
	Chief Counsel, Legal Affairs and Regulations	1
		Staff Counsel III (Specialist), Legal Affairs and Regulations	1
		Staff Counsel, Legal Affairs and Regulations	1
		Staff Services Analyst and/or Associate Governmental Program 
		 Analyst, Legal Affairs and Regulations 	2,3
	Chief, Office of Civil Rights	1
		Associate Governmental Program Analyst(s), Office of Civil Rights	2,3
	Chief, Audit Services (Supervising Management Auditor) 	1
		Auditors (all classifications), Audit Services	1
	State Rehabilitation Council	1

Employment Preparation Services Division -- South 
Deputy Director	1
	Rehabilitation Administrator I (Specialist), Regional Program Manager	1
	District Administrators II, Rehabilitation Administrators II	1
		Senior Vocational Rehabilitation Counselors	1
		Rehabilitation Specialist(s) 	1
		Vocational Psychologists	1
		Rehabilitation Supervisors	1
		Office Services Supervisors (II and III) 	2,3,4
	Assistant Deputy Director, Community Programs Support and 
	 Development Branch (CPSD) 	1 
		Staff Services Manager II, Community Resources Development 
		 Section (CRDS) 	1
		Community Resource Development Specialists	 2,3,6
		 Associate Governmental Program Analyst, Grants Management 
		 Coordinator (CRDS) 	6
		 Associate Administrative Analysts, Accounting Systems	1
	Staff Services Manager I, Community Resources Development 
	 Section (CRDS) 	1
	Staff Services Manager I, Medical Services Unit	1
		Chief Medical Consultant	1
		Medical Consultants (including (Contract Consultants)	5
		Statewide Medical Services Coordinator, Associate Governmental 
		 Program Analyst	5,6
	Staff Services Manager I, Centralized Services	1
		 Associate Governmental Program Analyst(s), Centralized 
		  Services 	2,3,4
		 Associate Governmental Program Analyst, Statewide Supported 
		 Employment Coordinator	2,3,4
	Rehabilitation Administrator I (Supervisor), Mobility Evaluation Unit	1
		Senior and Associate Rehabilitation Engineering Consultant(s) 	2,3,6
		Mobility Evaluation Specialist(s) 	2,3
		Adaptive Driver Evaluation Specialist(s) 	2,3

Employment Preparation Services Division -- North Central
Deputy Director	1
	Rehabilitation Administrator I, (Specialist) Regional Program Manager	1
	District Administrators II, Rehabilitation Administrators II	1
		Senior Vocational Rehabilitation Counselors	1
		Rehabilitation Specialist(s) 	1
		Vocational Psychologists	1
		Rehabilitation Supervisors	1
		Office Services Supervisors (II and III) 	2,3,4
	Assistant Deputy Director, Collaborative Services/Workforce 
	 Development Branch	1
		Rehabilitation Administrators (Statewide Coordinator of Education; 
		 Social Security; Business Partnership; or Mental Health Programs) 	1
		Employment Program Specialists, Workforce Development Section	2,3
		Staff Services Manager I, Workforce Development/Interagency 
		 Linkages Unit	1
		 Associate Governmental Program Analyst(s), Workforce 
		 Development/ Interagency Linkages Unit	2,3
		Staff Services Manager II, Transition Services Unit 	1
		 Associate Governmental Program Analyst(s), Transition Services 
		 Unit	2,3
		Staff Services Manager I, Cooperative Education Program Unit	1
		 Associate Governmental Program Analyst(s), Cooperative Education 
		 Program Unit	2,3
		Staff Services Manager I, Human Services Cooperative Program Unit	1
		 Associate Governmental Program Analyst(s), Human Services 
		  Cooperative Program Unit	2,3

Specialized Services Division, Blind and Visually Impaired and Deaf and Hard of Hearing
Deputy Director	1 
	Program Manager for the Deaf, Services to the Deaf and Hard of 
	 Hearing Unit
		Assistant Program Administrator	1
		Staff Services Manager I, Services to the Deaf and Hard of Hearing	1
		 Associate Governmental Program Analyst(s), Services to the 
		  Deaf and Hard of Hearing Unit	2,3,6	
	Program Coordinator, Services to the Deaf and Hard of Hearing Unit	1
	Chief, Business Enterprises Program (BEP)	1
		Assistance Program Administrator (BEP)	1
		Business Enterprises Consultant II (Supervising) 	1
		Assistant Manager (BEP) 	1
		Senior Architect (BEP) 	2,4
		Business Enterprises Consultant I and II (BEC) 	1
		Associate Governmental Program Analyst (BEP) 	2,4
		Staff Services Analyst (BEP) 	2,4
		Specialist, California Vendors Policy Committee	2,3,4
	Administrator, Orientation Center for the Blind (OCB) 	1
		Senior Vocational Rehabilitation Counselor (OCB) 	2
		Business Services Officer (OCB) 	2
	Program Manager, Services to the Blind and Visually Impaired
	 (Rehabilitation Administrator II)	1
		Assistant Program Manager, Services to the Blind and Visually 
		 Impaired, Rehabilitation Administrator I	3,6
		 Associate Governmental Program Analyst Services to the Blind and 
		  Visually Impaired	3
		Blind Field Services Program, Rehabilitation Administrator II	1
		 Rehabilitation Supervisor, Blind Field Services Program	1
		 Rehabilitation Counselor, Blind Field Services Program	 1
		 Rehabilitation Specialist, Blind Field Services Program	1
		 Associate Governmental Program Analyst(s), Blind Field Services	3

Independent Living and External Affairs Division
Deputy Director	1
	Chief, Independent Living (IL), Assistive Technology (AT) and 
	 Disability Access Section	1
		Grants Coordinator, Associate Governmental Program Analyst	6
		Community Resource Development Specialist (IL) 	2,3,4,6
	Chief, Disability Access Section (DAS) 	1
		Training Officers I and II (DAS) 	2,3,6
		Associate Governmental Program Analyst(s), (DAS) 	2,3,6
	Information Officer II, Public Affairs Office	1
	Chief, Client Assistance Program 	1

Administrative Services Division
Deputy Director	1
		 Administrative Assistant	1
	Chief, Human Resources Branch, SSM III	1
		Labor Relations Specialist, Labor Relations Office	1
		Manager, Staff Development Section, SDS	1
		 Training Officers I and II, SDS	2,3
		 Associate Governmental Program Analyst(s), SDS	2,3
		Chief, Personnel Services Section (Personnel) 	1
		 Staff Services Manager I, Personnel	1
		 Personnel Supervisor I	2,3
		 Associate Personnel Analyst, Personnel 	2,3	 	
	Information Security Officer	1
	Operations and Accountability Officer	1
	Chief, Financial Management Branch	1
	Chief, Accounting Services, Accounting Administrator II (Supervisor) 	1
		Accounting Administrator I	1
		Accountant I, Supervisor	2,3
		 Accounting Officer (Supervisor) 	2,3
		 Senior Accounting Officer (Specialist) 	2,3
		 Senior Accounting Officer (Supervisor) 	2,3
		 Associate Accounting Analyst	2,3
		Chief, Budgets, Fiscal Forecasting and Research Section, SSM II	1
		 Associate Budget Analyst(s), Budgets and Monitoring	2,3
		 Research Program Specialist(s) II	2,3
		 Staff Services Analyst 	2,3
	Chief, Business Services Section (SSM II) 	1
		Assistant Chief, Business Services Section	1
		Telecommunications Systems Analyst II	2

		Business Services Officer I (Specialist) 	2
		Business Services Officer I (Supervising) 	2,4
		Business Services Officer II (Supervising) 	2,4
		Business Services Officer III	2,4
		Associate Business Management Analyst	2,4
		Associate Governmental Program Analysts, Business Services 
		 Section	2,3
		Business Services Assistant	2
	Chief, Contracts and Procurement/Vehicle Purchase and 
	 Modification Program Section, SSM II	1
		Associate Governmental Program Analyst, Contract and 
		 Procurement Section	2
		Staff Services Analyst, Contract and Procurement Section	2
		Rehabilitation Administrator I, Vehicle Purchase and Modification 
		 Program 	1
		 Staff Services Manager I, Planning Unit	1
		 Staff Services Analyst/Associate Governmental Program 
		  Analyst, Planning Unit	2,3,6
		 SRC Executive Officer	1
	Chief, Management Resources and Analysis Section 	1
	Chief, Information Systems Services Section (Data Processing 
	 Manager III) 	1
		Senior Information Systems Analyst (Specialist) 	1
		Data Processing Manager II, Customer Support	1
		 Data Processing Manager I, Field Office Support	1
		 Staff Information Systems Analyst, Supervising (Field Office 
		  Support) 	1
		  Staff Services Analyst (Braille) 	1
		 Associate Information Systems Analyst, Specialist (Field Office 
		 Support) 	2,3
		 Assistant Information Systems Analyst, (Field Office Support)	2,3
		 Information Systems Technician	2,3
		Senior Programmer Analyst, (Supervisor) Database Administration 
		 Unit (DAU) 	1
		 Staff Programmer Analyst (Specialist) (DAU) 	1
		 Associate Programmer Analyst, Specialist (DAU) 	2,3
		 Assistant Information Systems Analyst (DAU) 	2,3
		Data Processing Manager II, Technical Services	1
		 Staff Information Systems Analyst (Supervisor), Network Support	1
		  Systems Software Specialist I and II, Network Support	2,3
		  Associate Information Systems Analyst Network Support	2,3
		  Assistant Information Systems Analyst, Network Support	2,3
		  Programmer I	2,3
		Senior Program Analyst (Supervisor), Programming and Analysis 
		 (PA) 	1
		 Staff Programmer Analyst (Spec), (PA) 	1
		 Associate Programmer Analyst (Spec), (PA) 	2,3
	Consultants*

*Consultants shall be included in the list of designated employees and shall disclose pursuant to the broadest disclosure category in the code subject to the following limitation:
The Director may determine in writing that a particular consultant, although a “designated position,” is hired to perform a range of duties that is limited in scope and thus is not required to fully comply with the disclosure requirements in this section. Such written determination shall include a description of the consultant's duties and, based upon that description, a statement of the extent of disclosure requirements. The Director's determination is a public record and shall be retained for public inspection in the same manner and location as this conflict-of-interest code (Gov. Code Section 81008).

Disclosure Categories

Category 1
All sources of income, including gifts, loans, and travel payments, interests in real property, and investments and business positions in business entities as well as business positions in and income, including gifts, loans, and travel payments, from nonprofit organizations of the type to receive grants or provide services of the type to be utilized by the Department.

Category 2
Investments and business positions in business entities, and sources of income, including gifts, loans, and travel payments, which provide services, supplies, materials, machinery, or equipment of the type to be purchased for the Department's day-to-day operation in the employee's geographic area of responsibility.

Category 3
Investments and business positions in business entities and sources of income, including gifts, loans, and travel payments, as well as income, including gifts, loans, and travel payments, from nonprofit organizations which provide or operate educational, vocational, or rehabilitation services or facilities within the employee's geographic area of responsibility.

Category 4
Interests in real property, investments and business positions in business entities, and sources of income, including gifts, loans, and travel payments, which provide real estate services or engage in the sale of real estate within the employee's geographic area of responsibility.

Category 5 
Investments and business positions in business entities, and sources of income, including gifts, loans, and travel payments, as well as business positions in, and income, including gifts, loans, and travel payments, from, nonprofit organizations which provide medical services of any type in the employee's geographic area of responsibility.

Category 6 
Business positions in, and income, including gifts, loans, and travel payments, from, business entities and nonprofit organizations which are of the type to be recipients of grants from the Department of Rehabilitation.
NOTE

Authority cited: Section 87306, Government Code. Reference: Sections 87300-87302 and 87306, Government Code.
HISTORY

1. Repealer and new section filed 12-11-91; operative 1-10-92. Submitted to OAL for printing only (Register 92, No. 12). For prior history, see Register 91, No. 38.
2. Amendment filed 7-18-94; operative 8-17-94. Submitted to OAL for printing only (Register 94, No. 29).
3. Editorial correction deleting History 1 and 2 and redesignating History 3 to History 1 (Register 94, No. 29).
4. Editorial correction of first paragraph and category 3 (Register 95, No. 43).
5. Amendment of section and Note filed 2-8-99; operative 3-10-99. Approved by Fair Political Practices Commission 12-16-98 (Register 99, No. 7).
6. Amendment of section heading and section and new Appendix (consisting of amended designated position categories and disclosure categories) filed 1-7-2009; operative 2-6-2009. Approved by Fair Political Practices Commission 12-9-2008. Submitted to OAL for printing only  (Register 2009, No. 2). 
7. Amendment of Appendix filed 7-27-2012 as an emergency; operative 7-27-2012 (Register 2012, No. 30). Pursuant to Welfare and Institutions Code section 19710, this action is a deemed emergency and the emergency regulations are exempt from OAL review. A Certificate of Compliance must be transmitted to OAL by 1-23-2013 or the emergency action will be repealed by operation of law on the following day.
§7401. Designated Positions. [Repealed]
Note     •     History

HISTORY

1. Repealer filed 12-11-91; operative 1-10-92. Submitted to OAL for printing only (Register 92, No. 12).
§7402. Disclosure Statements. [Repealed]
History

HISTORY

1. Repealer filed 12-11-91; operative 1-10-92. Submitted to OAL for printing only (Register 92, No. 12).
§7403. Place and Time of Filing. [Repealed]
History

HISTORY

1. Repealer filed 12-11-91; operative 1-10-92. Submitted to OAL for printing only (Register 92, No. 12).
§7404. Disqualification. [Repealed]
History

HISTORY

1. Repealer filed 12-11-91; operative 1-10-92. Submitted to OAL for printing only (Register 92, No. 12).
§7405. Manner of Disqualification. [Repealed]
History

HISTORY

1. Repealer filed 12-11-91; operative 1-10-92. Submitted to OAL for printing only (Register 92, No. 12).
§7406. Definition of Terms. [Repealed]
History

HISTORY

1. Repealer filed 12-11-91; operative 1-10-92. Submitted to OAL for printing only (Register 92, No. 12).
Article 2. Incompatible Activities
§7411. Definitions and Terms.
Note     •     History

(a) “Case Responsible” means being the provider or procurer of services in which job placement is the outcome.
(b) “Employee” means any person employed by the Department.
(c) “Job Placement” means being responsible for the act of securing employment or on-the-job training.
(d) “Private Business” means any activity for which money or other consideration is received from a source other than the State.
NOTE

Authority cited: Sections 19006 and 19016, Welfare and Institutions Code, and Section 19990, Government Code. Reference: Section 19990, Government Code.
HISTORY

1. New section filed 6-24-91; operative 7-21-91 (Register 91, No. 38).
§7412. Incompatible Activities.
Note     •     History

(a) No employee of the Department shall:
(1) Conduct private business on State time, or by utilizing State facilities, resources, materials, equipment or supplies.
(2) Serve as a member of the Board of Directors, as an employee, as a consultant, as an official or in any policy making capacity in any organization which receives Departmental funds without the prior written approval of the Director. Criteria used to evaluate requests for written approval include but are not limited to determinations of whether the employee is case responsible, controls expenditures, has purchasing authority, or represents the Department to the community within the geographic service area of the organization in question.
(3) Engage in private business which:
(A) Causes either physical or mental fatigue that results in less efficient performance of the employee's State duties.
(B) Requires performance of an act in other than his or capacity as a State employee when that act may later be subject, directly or indirectly, to the control, inspection, review, audit or enforcement by that employee.
(C) Requires the employee to be case responsible or provide job placement or both when the employee is case responsible, or provides job placement or both to an individual who is an applicant or client as defined in title 9, California Code of Regulations, section 7001 or 7005.
(4) Solicit or accept gifts, money, or other consideration from a person or source other than the State for performing a duty which the employee or the Department would be expected to perform in the course of State business.
(5) Engage in a sexual relationship with an applicant or client as defined in title 9, California Code of Regulations, sections 7001 or 7005 for whom the employee is case responsible or provide job placement or both, or for whom the employee is responsible for the supervision of subordinate employees who are case responsible, or provide job placement or both.
(6) Solicit or accept gifts, money, or other consideration from any person or organization receiving funds from the Department.
(7) Use the prestige or influence of the employee's position for the employee's private gain or advantage or the private gain or advantage of another.
NOTE

Authority cited: Sections 19006 and 19016, Welfare and Institutions Code; and Section 19990, Government Code. Reference: Section 19990, Government Code.
HISTORY

1. New section filed 6-24-91; operative 7-24-91 (Register 91, No. 38).
§7413. Required Activities.
Note     •     History

(a) An employee who receives an offer of gifts, money, or other consideration for the purpose of influencing an action by the State shall notify his or her immediate supervisor orally or in writing of that offer within five working days regardless of whether the offer has been refused.
(b) Within five working days of being assigned responsibility for purchasing, the assigned employee shall provide his or her supervisor with a written statement indicating the assigned employee's name, job title, effective date of assignment and that the assigned employee shall not use his or her position for his or her private gain or advantage or the private gain or advantage of another.
NOTE

Authority cited: Sections 19006 and 19016, Welfare and Institutions Code; Section 19990, Government Code. Reference: Section 19990, Government Code.
HISTORY

1. New section filed 6-24-91; operative 7-24-91 (Register 91, No. 38).
Division 4. Department of Alcohol and Drug Programs
Chapter 1. Administration of the Department of Alcohol and Drug Programs
Article 1. Definitions
§9000. Definitions.
Note     •     History

(a) The following definitions shall apply to terminology used in Division 4 of the California Code of Regulations (CCR):
(1) Actual Cost Contract. ``Actual cost contract'' means a contract by which the contractor will be reimbursed for no more than documented costs incurred for services within the limits of the contract.
(2) Additional Alcohol Services. ``Additional alcohol services'' means those alcohol services which a county identifies either in its annual county alcohol plan or in its report of expenditures as being financed by funds other than appropriations pursuant to the Budget Act for the full year and the required match.
(3) Administrator. ``Administrator'' means the County Alcohol Program Administrator designated pursuant to Section 11800 of the Health and Safety Code.
(4) Advanced Payments. ``Advanced payments'' means funds sent to the county each month, excluding June, which cannot exceed 1/12 of Department administered funds for a given fiscal year.
(5) Allocation Formula. ``Allocation formula'' means the statistical base by which the Department may appropriate state and federal funds to each county alcoholism program.
(6) Compensate. ``Compensate'' means to pay for services rendered.
(7) Coordination. ``Coordination'' means the development and maintenance of harmonious and integrated activities among public and private alcohol program providers and related service providers offering services for alcoholism or alcohol-related problems.
(8) Cost Guideline. ``Cost guideline'' means a per unit cost for alcoholism treatment and rehabilitation services established by the Department as a standard measure for budget and cost analysis. Such costs are based on experience and periodic surveys including a consideration for inflation.
(9) County-Operated Program. ``County-operated program'' means an alcoholism or alcohol-related problem service program operated by a county.
(10) County Overhead Costs. ``County overhead costs'' means continuing indirect and support costs involved in running a program. Such costs result from a portion of ``parent'' department's costs (health-related agency) plus a portion of the county's support cost such as rent, personnel, and accounting.
(11) Department. ``Department'' means the State Department of Alcohol and Drug Programs established pursuant to Section 11750 of the Health and Safety Code.
(12) Depreciation. ``Depreciation'' means the process of wearing out. A depreciation expense for an accounting period is the portion of capital invested in a depreciable asset which is exhausted during that period as a result of the wearing out process.
(13) Director. ``Director'' means the Director of the State Department of Alcohol and Drug Programs appointed by the Governor pursuant to Section 11751 of the Health and Safety Code.
(14) Direct Services. ``Direct services'' means nonresidential and residential services designed to assist individuals and their families suffering from alcoholism or alcohol-related problems to establish and maintain a recovery program.
(15) Donation. ``Donation'' means any gift or contribution received by an alcohol program or service independent of costs or fees for services provided by such program or service.
(16) Expenditure. ``Expenditure'' means the actual payment of funds for goods delivered, services rendered, and expenses incurred as provided in Section 9696.
(17) Fee for Service Contract. ``Fee for service contract'' means a contract by which units of service are purchased at a negotiated fixed rate, and the negotiated fixed rate shall serve as the actual cost of the unit of service.
(18) Fees. ``Fees'' means money paid by persons receiving services, or money paid on behalf of such persons.
(19) Indirect Services. ``Indirect services'' means activities including, but not limited to, intervention and prevention of alcoholism and alcohol-related problems.
(20) Major Health Program. ``Major health program'' is a program whose administrator reports directly to an agency director or equivalent.
(21) Privately Operated Agencies. ``Privately operated agencies'' means an alcoholism or alcohol-related problem service program operated by a nongovernmental entity.
(22) Program Development. ``Program development'' means the creation and improvement of alcoholism and alcohol-related problems programs and services.
(23) Reimburse. ``Reimburse'' means to pay back money spent for actual costs incurred.
(24) Remodeling. ``Remodeling'' means the functional adaptation of space within an existing structure resulting in no increase in the fair market value of the original structure.
(25) Report of Expenditures. ``Report of expenditures'' means a summary of the county's fiscal-year financial and statistical transactions which are identified in the plan and relate to alcohol services for a fiscal year.
(26) Shall, May, and Should. ``Shall'' means mandatory. ``May'' means permissive. ``Should'' means recommended.
(27) Statham Funds. ``Statham funds'' means county funds used for alcohol services reported in the county alcohol plan derived from drinking driver convictions pursuant to Section 1463.16, Penal Code.
(28) Unbudgeted Funds. ``Unbudgeted funds'' means the difference between the state and federal funds allocated to the county and the county's budget of state and federal funds for that fiscal year.
NOTE

Authority cited: Section 11835, Health and Safety Code. Reference: Division 10.5, Part 2, Chapters 4 and 10, Health and Safety Code.
HISTORY

1. New Chapter 4 (Subchapters 1 and 2, Sections 9000-9722, not consecutive) filed 9-29-78; effective thirtieth day thereafter (Register 78, No. 39). Printed in Register 78, No. 41 for technical reasons.
2. Amendment filed 2-16-79; designated effective 3-1-79 by Section 11850.4(c), Health and Safety Code (Register 79, No. 7).
3. Repealer of subsection (b) filed 11-18-82; effective thirtieth day thereafter (Register 82, No. 47).
4. Amendment filed 8-17-83; effective thirtieth day thereafter (Register 83, No. 34).
5. Amendment of subsection (a), new subsection designators, and amendment of subsections (a)(15), (a)(23) and Note filed 5-4-95; operative 6-5-95 (Register 95, No. 18).
Article 2. Regulations [Repealed]
NOTE

Authority cited: Section 11779(a), Health and Safety Code. Reference: Section 11779(a), Health and Safety Code.
HISTORY

1. New Article 2 (Sections 9050 and 9052) filed 2-16-79; designated effective 3-1-79 by Health and Safety Code Section 11850.4(c) (Register 79, No. 7).
2. Repealer of Article 2 (Sections 9050 and 9052) filed 4-9-82; effective thirtieth day thereafter (Register 82, No. 15).
Article 3. Department of Alcohol and Drug Programs--Conflict of Interest Code
§9100. General Provisions.
Note     •     History

The Political Reform Act, (Section 81000 et seq. of the Government Code), requires state and local government agencies to adopt and promulgate Conflict of Interest Codes. The Fair Political Practices Commission has adopted a regulation (Section 18730, Title 2, California Code of Regulations) which contains the terms of a standard Conflict of Interest Code, which can be incorporated by reference, and which may be amended by the Fair Political Practices Commission to conform to amendments in the Political Reform Act after public notice and hearings. Therefore, the terms of  Section 18730, Title 2, California Code of Regulations and any amendments to it duly adopted by the Fair Political Practices Commission, along with the attached Appendix in which officials and employees are designated and disclosure categories are set forth, are hereby incorporated by reference and constitute the Conflict of Interest Code of the Department of Alcohol and Drug Programs.
Designated employees shall file statements of economic interests with the Department of Alcohol and Drug Programs (the Department). The Department shall make the statements available for public inspection and reproduction (Government Code Section 81008). Upon receipt of the statement of the Director, the Department shall make and retain a copy and forward the original of this statement to the Fair Political Practices Commission. Statements for all other designated employees will be retained by the Department.
NOTE

Authority cited: Sections 87300 and 87306, Government Code; and Section 11755, Health and Safety Code. Reference: Sections 87300-87302 and 87306, Government Code.
HISTORY

1. New article 3 (sections 9100-9116, not consecutive; Appendices A and B) filed 3-8-79; effective thirtieth day thereafter. Approved by Fair Political Practices Commission 1-17-79 (Register 79, No. 10).
2. Repealer of article 3 (sections 9100-9116, not consecutive and Appendices A and B) and new article 3 (section 9100 and Appendix) filed 2-26-81; effective thirtieth day thereafter. Approved by Fair Political Practices Commission 12-1-81 (Register 81, No. 9).
3. Amendment of section 9100 and Appendix filed 6-16-82; effective thirtieth day thereafter. Approved by Fair Political Practices Commission 5-4-82 (Register 82, No. 25).
4. Amendment filed 5-14-90; operative 6-13-90. Approved by Fair Political Practices Commission 3-27-90 (Register 90, No. 22).
5. Amendment of section and Note filed 1-6-93 for printing purposes only pursuant to Government Code section 11343.8 (Register 93, No. 2). Approved by Fair Political Practices Commission 11-13-92.
6. Amendment of section and Appendices A and B filed 2-20-2003; operative 3-22-2003. Approved by Fair Political Practices Commission 12-18-2002 (Register 2003, No. 8). 
7. Amendment of Appendix A filed 11-21-2006; operative 12-21-2006. Approved by Fair Political Practices Commission 6-22-2006 (Register 2006, No. 47).
8. Amendment of Appendix A filed 12-6-2007; operative 1-5-2008. Approved by Fair Political Practices Commission 9-21-2007 (Register 2007, No. 49).

Appendix A

Designated Employees 	Disclosure Categories

Director	1
Chief Deputy Director 	1
All Exempt Positions 	1
Career Executive Assignment (CEA) (All Levels)	1
Consultant 1 	1
Chief Counsel, CEA III	1
Staff Counsel	1
Staff Counsel III (Specialist)	1
Supervising Governmental Auditor II	2, 3, 6
Supervising Governmental Auditor I	2, 3, 6
General Auditor III	2, 3, 6
General Auditor II	2, 3, 6
Auditor I	2, 3, 6
Health Program Manager I	2, 3, 6
Staff Services Manager I, II, III 	2, 3, 4, 6
Training Officer	5
Business Services Officer	4
Accounting Administrator	2, 4, 6

Designated Employees 	Disclosure Categories

Research Manager 	2, 6
Research Program Specialist I, II	2, 6

Data Processing Manager I, II	4, 6
Senior Information Systems Analyst (Spec.)	4, 6
Senior Information Systems Analyst (Sup.)	4, 6
Staff Information Systems Analyst (Spec.)	4, 6
Senior Programmer Analyst (Spec.)	4, 6
Systems Software Specialist I	4, 6

---------
1With respect to consultants, the Director may determine in writing that a particular consultant, although a “designated person,” is hired to perform a range of duties that is limited in scope, and thus is not required to fully comply with the disclosure requirements described in this section. Such written determination shall include a description of the consultant's duties and, based upon that description, a statement of the extent of disclosure requirements. The Director's determination is a matter of public record and shall be retained for public inspection in the same manner and location as this conflict of interest code.

Appendix B
Disclosure Categories.
Category 1
A designated employee in Category 1 shall report interests in real property, investments, business positions, and sources of income, including gifts, loans, and travel payments.
Category 2
A designated employee in Category 2 shall disclose investments and  business positions in any business entity, and income, including gifts, loans, and travel payments, from any source which offers consulting, rehabilitative, or educational services concerning the prevention, treatment, or rehabilitation of persons suffering from alcohol-related problems or drug abuse.
Category 3
A designated employee in Category 3 shall disclose investments and business positions  in any business entity and any income, including gifts, loans, and travel payments, from a source which,  was issued a license, permit, or certificate from, or otherwise regulated by, a board, committee, council, or division of the Department where the designated employee holds his/her position.
Category 4
A designated employee in Category 4 shall disclose investments and business positions in any business entity, and income, including gifts, loans, and travel payments, from any source which provides services, supplies, materials, machinery or equipment of the type utilized by the Department.
Category 5
A designated employee in Category 5 shall disclose investments and business positions in any business entity, and income, including gifts, loans, and travel payments, from any source which provides services, supplies, materials, machinery or equipment of the type utilized by the designated employee's division.
Category 6
A designated employee in Category 6 shall disclose investments and business positions in any business entity, and income, including gifts, loans, and travel payments, from any source which contracted with, or received grants or other monies from, a board, committee, council or division of the Department where the designated employee holds his/her position.
Chapter 2. Development and Administration of County Alcohol Programs
Article 1. Application of Chapter 2
§9400. Application.
Note     •     History

(a) Chapter 2 shall apply to county alcohol agencies that elect to apply for state or federal funds and claim reimbursement under the provisions of Part 2 of Division 10.5 of the Health and Safety Code unless otherwise stated.
(b) All restrictions or prohibitions applied to state funds as stated herein shall apply to federal funds unless otherwise stated.
NOTE

Authority cited: Section 11836, Health and Safety Code. Reference: Section 11795, Health and Safety Code.
HISTORY

1. Renumbering and amendment of Article 1 (Section 9640) to Article 1 (Section 9400) filed 8-17-83; effective thirtieth day thereafter (Register 83, No. 34).
Article 2. County Administration
§9402. Administration of County Alcohol Program.
Note     •     History

The alcohol program administration shall have access to the parent health-related agency director, through administrative channels, comparable to the access accorded to other major health program administrations.
NOTE

Authority cited: Section 11836, Health and Safety Code. Reference: Section 11800, Health and Safety Code.
HISTORY

1. * Repealer of Article 2 (Sections 9642-9654, not consecutive) and new Article 2 (Sections 9402-9408, not consecutive) filed 8-17-83; effective thirtieth day thereafter (Register 83, No. 34).
. *The reorganization of Article 2 is printed as a repealer and adoption for clarity.
§9404. Appointment of County Advisory Board on Alcohol Problems.
Note

In counties whose population exceeds 125,000, advisory board members shall not serve on other health-related advisory boards.
NOTE

Authority cited: Section 11836, Health and Safety Code. Reference: Section 11805(a) and (b), Health and Safety Code.
§9406. Health-Related Advisory Board on Alcohol Problems.
Note

Advisory boards composed of the same members as another health-related advisory board shall conduct the alcohol portion of the meeting separately from the other portion of the meeting and shall develop a separate alcohol agenda.
NOTE

Authority cited: Section 11836, Health and Safety Code. Reference: Section 11805(c), Health and Safety Code.
§9408. County Advisory Board on Alcohol Problems Expenses.
Note

State-allocated funds and county-match funds shall not be used to compensate members.
NOTE

Authority cited: Section 11836, Health and Safety Code. Reference: Section 11808(a), Health and Safety Code.
Article 3. Standards for County Alcohol Program Administrators in Counties Exceeding 200,000 in Population
§9412. Application.
Note     •     History

(a) The education and experience considerations set forth in Section 9414 shall not apply to an administrator appointed prior to the adoption of these regulations.
(b) Waiver of the considerations in Article 3 may be granted by the Director in situations of extreme hardship. Requests for waiver shall be submitted by the county board of supervisors.
NOTE

Authority cited: Section 11836, Health and Safety Code. Reference: Section 11800(b), Health and Safety Code.
HISTORY

1. *Repealer of Article 3 (Sections 9656 and 9658) and new Article 3 (Sections 9412 and 9414) filed 8-17-83; effective thirtieth day thereafter (Register 83, No. 34).
. *The reorganization of Article 3 is printed as a repealer and adoption for clarity.
§9414. Education and Experience.
Note

(a) It shall be the responsibility of the county board of supervisors to assure that the administrator is qualified by his/her ability, training, and experience to administer or coordinate and monitor the county alcohol program. In carrying out this responsibility, the county board of supervisors shall not impose categorical requirements for such qualifications. Instead, the county board of supervisors shall utilize the following considerations to determine whether applicants are qualified:
(1) Administrative experience in such areas as program development, program coordination, community organization, program organizations, program procedure, and budgeting.
(2) Relevant educational background, such as courses or degrees in public administration, public health administration, or social sciences.
(b) Degrees in those areas stated in subsection (a)(2) may be substituted for work experience referred to in subsection (a)(1).
(c) Work experience listed in subsection (a)(1) may be substituted for the educational considerations in subsection (a)(2).
NOTE

Authority cited: Section 11836, Health and Safety Code. Reference: Section 11800(b), Health and Safety Code.
Article 4. County Alcohol Plan
§9416. Utilization of Existing County-Operated Programs and Privately Operated Agencies.
Note     •     History

(a) Preference given to the use of privately operated agencies does not mean that counties shall be required to financially assist a given party with the development or the operation of an alcohol program or service, although the county may, at its option, provide such assistance.
(b) Prior to developing new county-operated programs, counties shall justify in the narrative section of the plan that no privately operated agency or service of comparable quality or cost is available.
NOTE

Authority cited: Section 11836, Health and Safety Code. Reference: Section 11812(b), Health and Safety Code.
HISTORY

1. Repealer of Article 4 (Sections 9668 and 9670) and renumbering and amendment of former Article 5 (Sections 9680-9694, not consecutive) to Article 4 (Sections 9416-9420, not consecutive) filed 8-17-83; effective thirtieth day thereafter (Register 83, No. 34).
§9418. Review and Approval of County Alcohol Plan.
Note

(a) The plan shall consist of four sections: narrative, budget, inventory, and certification.
(b) Within 60 days of receipt, the Department shall review and notify the county whether the plan is approved, disapproved, or held in abeyance. If the plan is held in abeyance, the Department shall notify and inform the administrator of the necessary corrective action. The Department shall withhold advance payments until approval of the plan.
(1) Plans failing to meet legal and regulatory requirements are held in abeyance.
(2) Plans shall be held in abeyance until compliance is achieved.
(c) Multi-year base plan approval is contingent upon meeting the following legal and regulatory requirements:
(1) Documentation Requirements.
(A) Proof that the advisory board has reviewed the plan.
(B) County board of supervisors' resolution adopting the plan.
(C) Health Systems Agency Memorandum of Understanding.
(D) Certification from the administrator approving the fee system or systems.
(E) Assurance of nondiscrimination in meeting the needs of specific populations.
(2) Narrative Requirements.
(A) Description of the planning process.
(B) Compliance with each of the requirements set forth in Section 11810.5 of the Health and Safety Code.
(3) Budget Requirements.
(A) Budget prepared in accordance with departmental instructions.
(B) State and federal funds budgeted shall not exceed the allocation of such funds.
(C) If a county declines to utilize all state and federal funds allocated, a letter of intent stating so shall accompany the budget.
(D) Counties with a population of 100,000 or more shall provide a ten percent match for state general funds. Funds generated from Section 1463.16, Penal Code, may be utilized for the required match.
(d) Annual plan update approval is contingent upon meeting the following legal and regulatory requirements:
(1) A separate budget shall be submitted by September 15 of each fiscal year to reflect that year's appropriations and/or program changes.
(2) An addendum to the narrative describing program changes shall accompany the budget.
(3) The local advisory board shall review the plan addendum and subsequent budget for the following fiscal year. Proof of such a review shall be submitted to the Department.
(4) County board of supervisors' resolution adopting the current year's budget shall be submitted prior to releasing funds.
(5) Certification from the administrator approving the fee system or systems.
(6) Assurance of nondiscrimination in meeting the needs of specific populations.
NOTE

Authority cited: Section 11836, Health and Safety Code. Reference: Sections 11798, 11801, 11810.5, 11812, 11815, 11815.3, 11815.5 and 11816, Health and Safety Code.
§9420. Reallocation of Funds.
Note

(a) The Department may reallocate funds under any of the following circumstances:
(1) The Department may reallocate all or part of a county's allocation to other counties if a county fails to meet the September 15 submission date.
(2) When a county has experienced savings in two consecutive years, the Department may, through reallocation, reduce the county's current year's allocation by the amount of the second year's savings.
(3) The Department may reallocate any unbudgeted funds.
(b) Prior to reallocation of such funds, the Department shall provide written notice to the county board of supervisors, the advisory board, and the administrator of its intent to reallocate funds. The county shall have 30 days from the postmark date of such written notice to submit an appeal to the Department.
(c) The Department shall reallocate such funds in accordance with the Department's allocation formula.
NOTE

Authority cited: Section 11836, Health and Safety Code. Reference: Section 11817.1, Health and Safety Code.
Article 5. Financial Provisions
§9424. Reimbursable Expenditures.
Note     •     History

(a) State reimbursement for any fiscal year shall be limited to the amount in the final approved plan or the amount allocated to the county, whichever is less.
(b) Expenditures subject to reimbursement shall include services specified in Section 11811 of the Health and Safety Code. Examples of approved expenditures may include:
(1) Salaries, wages, and fringe benefits of personnel.
(2) Services provided under contract.
(3) Costs of operations, maintenance, and services of public and private alcohol programs identified in the approved plan.
(4) Depreciation of fixtures and equipment of county-operated programs and privately operated agencies as established in the Accounting Standards and Procedures for Counties, State of California, State Controller.
(c) Expenditures for county overhead costs shall be identified and charged to specific county services and programs and shall result in the county's alcohol program's bearing its fair share of indirect costs and support costs.
NOTE

Authority cited: Section 11836, Health and Safety Code. Reference: Sections 11812 and 11818, Health and Safety Code.
HISTORY

1. Renumbering and amendment of former Article 5 (Sections 9680-9694) to Article 4 (Sections 9416-9420, not consecutive), and renumbering and amendment of former Article 6 (Sections 9696-9722, not consecutive) to Article 5 (Sections 9424-9444, not consecutive) filed 8-17-83; effective thirtieth day thereafter (Register 83, No. 34).
§9426. Contracts for Services.
Note

(a) Where a person or agency is providing alcohol services for the county, the services shall be provided for through a written contract. The provider of service and the county shall comply with the following provisions:
(1) The county shall provide the Department with a copy of the contract as requested. The Department does not approve contracts or interagency agreements.
(2) Contracts utilizing state or federal monies shall be identified in the budget section of the plan.
(3) Contracts shall specify the reimbursement method and shall include provisions requiring providers to report data consistent with the definitions contained in the Alcohol Services Reporting System.
(4) Reimbursement for services shall not exceed amounts allotted in the contract or the plan without revision or amendment.
(5) Costs for services provided in the contract shall be consistent with the Department cost guidelines.
(6) Contractors shall be in compliance with all Department regulations.
(7) Contractors shall maintain accounting records, disclosing all amounts of funds received and disbursed in performance of the contract, statistical data, and supporting documentation. Such records shall be maintained for three years after settlement of the Report of Expenditures and reconcilable to a July 1 through June 30 fiscal year.
(8) County, state, and federal auditors shall have access to all books and records.
(9) Contractor may recover remodeling and equipment costs through depreciation.
(b) Contracts which the county may utilize in contracting for alcohol services shall include, but shall not be limited to, a fee-for-service contract or an actual cost contract.
NOTE

Authority cited: Section 11836, Health and Safety Code. Reference: Sections 11796.1, 11818 and 11818.5, Health and Safety Code.
§9428. Financial Participation.
Note

Statham funds may be used to meet county alcohol matching fund requirements.
NOTE

Authority cited: Section 11836, Health and Safety Code. Reference: Section 11840, Health and Safety Code; and Section 1463.16, Penal Code.
§9430. Cost Guidelines.
Note

(a) The Department shall reimburse counties for actual program costs incurred during the fiscal year. The Department shall review projected program costs identified in the budget section of the plan against cost guidelines. Budgets shall not be approved until all items are established at or below cost guidelines or the Department grants an exception.
(b) The Department shall evaluate costs which exceed cost guidelines during and at the close of the fiscal year. The Department shall notify the administrator of any program that exceeds cost guidelines in writing. Reconciliation of disputed costs shall be subject to negotiation between the county and the Department. Resolution of such review may result in one of the following:
(1) The Department may allow a program to operate through the remainder of the current fiscal year with the understanding that the plan for the next fiscal year shall reflect substantial changes in program costs or it shall not be approved.
(2) The Department may withdraw current fiscal year budget approval of the program exceeding cost guidelines and reduce monthly advance payments according to the amount of overage.
(3) Where program costs exceed cost guidelines in one fiscal year and the overage is not reported until the following fiscal year, the Department may reduce the county allocation for the fiscal year following the report of overage.
(4) The Department may grant exceptions to a county exceeding cost guidelines when it is determined a program cannot or could not meet cost guidelines and no alternate program is or was available.
(c) Every effort shall be made to adjust programs to comply with cost requirements.
(d) In all cases where reductions are made by the Department, appeals shall be considered through the liaison analyst assigned to the county with final decisions being made by the Director.
NOTE

Authority cited: Section 11836, Health and Safety Code. Reference: Section 11816(d), Health and Safety Code.
§9432. Cost and Statistical Data Requirements.
Note

(a) All counties shall submit cost and statistical data by prescribed due dates in a form and manner prescribed by the Department. Such cost and statistical data shall include the following:
(1) A plan or plan update meeting the requirements of Section 9418 by September 15 of each year.
(2) For the current fiscal year, a budget revision within 60 days of any change in state-allocated funds.
(3) Report of Expenditures by November 1.
(b) Failure to comply with subsections (1), (2), and (3) above shall result in withholding of advance payments and settlement of the report of expenditures.
(c) Counties shall be given notice when advance payments will be discontinued.
NOTE

Authority cited: Section 11836, Health and Safety Code. Reference: Sections 11798, 11815.9, 11817.8 and 11818.5, Health and Safety Code.
§9434. Fees for Additional Alcohol Services.
Note

(a) Fees paid by or on behalf of persons receiving services shall be used for providing additional alcohol services.
(b) Additional alcohol services are any of the services specified by Division 10.5, Health and Safety Code and shall be described and budgeted in the plan.
(c) Such fees shall be expended in the fiscal year collected or the fiscal year following, subject to the approval of the county board of supervisors and the Department.
(d) Counties should give initial consideration to allocating fees to the collecting provider.
NOTE

Authority cited: Section 11836, Health and Safety Code. Reference: Sections 11810.5(c)(5) and 11841, Health and Safety Code.
§9436. Budget Revisions.
Note

(a) Budget revisions shall be subject to the following provisions:
(1) A budget revision shall be submitted to the Department within 60 calendar days of an allocation revision of state and federal funds. Waivers may be granted by the Department on an individual basis.
(2) Final budget revisions shall be submitted to the Department by May 31 of the current fiscal year.
(3) All budget revisions shall be submitted on forms designated by the Department.
(4) Budget revisions reflecting program funding shifts in excess of ten percent or $100,000, whichever is less, of the total state and federal funds budgeted shall be accompanied by a county board of supervisors' resolution. A program funding shift is the movement of funds between any two of the following: Administration, Indirect Services, Residential Services, and Nonresidential Services, and shall not apply to funding shifts within these service categories.
(5) The ten percent limit cited in subsection (a)(4) above does not apply to funding shifts of $3,000 or less.
(6) An addendum to the narrative describing program changes shall accompany all budget revisions.
NOTE

Authority cited: Section 11836, Health and Safety Code. Reference: Sections 11815.5 and 11815.9, Health and Safety Code.
§9438. Vocational Rehabilitative Services.
Note

If counties choose to contract with the Department of Rehabilitation, they shall notify the Department of Rehabilitation, in writing, of their intent to contract for the ensuing fiscal year by March 1. If counties do not contract with the Department of Rehabilitation, a separate board of supervisors' resolution addressing vocational rehabilitation services as required pursuant to Section 11811.3(b) of the Health and Safety Code shall be submitted to the Department with the plan.
NOTE

Authority cited: Section 1179(a), Health and Safety Code. Reference: Section 11837(b), Health and Safety Code.
§9440. Equipment.
Note     •     History

(a) Equipment. “Equipment” means an article of personal property which:
(1) Is procured or fabricated,
(2) Is complete in itself,
(3) Is of a durable nature,
(4) Has an expected service life of more than three years,
(5) Has a cost of $100 to $3,000, as established by the county auditor, and is:
(A) Consistent with the county policy for approving equipment requests based on a threshold for local level approval established by the county auditor; and
(B) Not prohibited by federal laws, regulations, and policy.
(b) The county shall capitalize and depreciate, over the useful life of the equipment as established by the federal Internal Revenue Service (IRS), the cost of equipment costing from $100 to $3,000, as established by the county auditor.
(c) Equipment expenditure shall be restricted to county-operated programs. The county may lend county-owned equipment to privately operated agencies.
NOTE

Authority cited: Sections 11755 and 11835, Health and Safety Code. Reference: Sections 11818 and 11991.2, Health and Safety Code.
HISTORY

1. New subsections (a)-(b), subsection relettering, repealer of former subsection (b), and amendment of Note filed 5-4-95; operative 6-5-95 (Register 95, No. 18).
§9442. Remodeling.
Note

Only county-operated programs, subject to Department approval, may utilize state funds for remodeling existing structures.
NOTE

Authority cited: Section 11836, Health and Safety Code. Reference: Section11818, Health and Safety Code.
§9444. Accounting Records.
Note

Counties and contract provider agencies shall maintain accounting records, statistical data, and supporting documentation for three years following settlement of the Report of Expenditure. Records and statistical data shall be reconcilable to a July 1 through June 30 fiscal year.
NOTE

Authority cited: Section 11836, Health and Safety Code. Reference: Section 11818.5, Health and Safety Code.
Article 6. Requirements for 72-Hour Detoxification, Treatment, and Evaluation Services for Inebriates
§9446. Elements of Service.
Note     •     History

The service shall consist of evaluation, detoxification, and referrals for further care, treatment, and social and rehabilitation services for alcohol abusers and alcoholics or other services as appropriate.
NOTE

Authority cited: Sections 11751.4 and 11836, Health and Safety Code; and Section 5174, Welfare and Institutions Code. Reference: Sections 5170-5176, Welfare and Institutions Code.
HISTORY

1. Renumbering and amendment of former Article 6 (Sections 9696-9722, not consecutive) to Article 5 (Sections 9424-9444, not consecutive) filed 8-17-83; effective thirtieth day thereafter (Register 83, No. 34).
2. Editorial correction renumbering former Article 7 (Sections 9732-9740, not consecutive) to Article 6 (Sections 9446-9454, not consecutive) filed 8-17-83; effective thirtieth day thereafter (Register 83, No. 34).
§9448. Admission Procedure.
Note

Each inebriate shall receive an examination for gross medical needs in keeping with staff medical expertise required for licensing as a health facility under Division 5, or as a social rehabilitation facility or center under Division 6, Title 22, California Administrative Code, whichever is applicable, and the findings of the examination shall be recorded. If there are indications of any disorder requiring immediate medical or surgical attention, the inebriate shall be immediately provided such service or referred and transported to an appropriate medical facility. If, in the judgement of the admitting staff, the inebriate can be properly served without being detained, he/she shall be provided those services in Section 9446 on a voluntary basis.
NOTE

Authority cited: Sections 11751.4 and 11836, Health and Safety Code; and Section 5174, Welfare and Institutions Code. Reference: Sections 5170-5176, Welfare and Institutions Code.
§9450. General Medical Services--The Medical-Surgical Services and Psychiatric Services.
Note

General medical services shall be available to the resident either in the facility or through referral agreement with an appropriate medical facility. Provision shall be made for the transfer of the resident to an appropriate facility for necessary medical services, including psychiatric services. Transportation shall be available and adequate to guarantee provision of emergency medical services within 30 minutes of the need for such services.
NOTE

Authority cited: Sections 11751.4 and 11836, Health and Safety Code; and Section 5174, Welfare and Institutions Code. Reference: Sections 5170-5176, Welfare and Institutions Code.
§9452. References and Transfers.
Note

When appropriate, the service shall refer or transfer the resident to the private or public alcoholism program which best meets the needs of the resident and which is available and able to accept the resident. Consideration shall be given, in each case, to referrals to outpatient facilities; day treatment facilities; Alcoholics Anonymous; indigenous self-help services; residential facilities for alcoholics including recovery houses, quarter-way houses, and halfway houses; and other alcoholic self-help counseling services. Personnel of the facility providing the 72-hour service shall communicate with any individual or agency to which the resident is being referred or transferred at or prior to the time of the referral or transfer.
NOTE

Authority cited: Sections 11751.4 and 11836, Health and Safety Code; and Section 5174, Welfare and Institutions Code. Reference: Sections 5170-5176, Welfare and Institutions Code.
§9454. Records.
Note

The records of each person served shall be completed within 72 hours after transfer, referral or discharge.
NOTE

Authority cited: Sections 11751.4 and 11836, Health and Safety Code; and Section 5174, Welfare and Institutions Code. Reference: Sections 5170-5176, Welfare and Institutions Code.
Chapter 2.5. Substance Abuse and Crime Prevention Act of 2000 and Substance Abuse Treatment and Testing Accountability Program
§9500. Application of Chapter.
Note     •     History

(a) The regulations in this Chapter shall apply to all counties, county agencies, and public or private contractors:
(1) Receiving substance abuse treatment trust fund (SATTF) funds, pursuant to Section 11999.4 of the Health and Safety Code, or
(2) Receiving Substance Abuse Treatment and Testing Accountability (SATTA) Program funds, pursuant to Section 11999.20 of the Health and Safety Code, or
(3) Claiming reimbursement pursuant to the Substance Abuse and Crime Prevention Act of 2000 (hereinafter referred to as “SACPA” or “the Act”) or SATTA. 
(b) All counties, county agencies, and public or private contractors receiving SATTF or SATTA funds or claiming reimbursement pursuant to the Act or SATTA shall comply with the provisions of this Chapter, the Act, and SATTA.
NOTE

Authority cited: Section 11755, Health and Safety Code; and Statutes of 2001, Chapter 721, Section 10. Reference: Substance Abuse and Crime Prevention Act of 2000; and Sections 11999.4 and 11999.20, Health and Safety Code. 
HISTORY

1. New chapter 2.5 (sections 9500-9545) and section filed 12-26-2000 as an emergency; operative 12-26-2000 (Register 2000, No. 52). A Certificate of Compliance must be transmitted to OAL by 4-25-2001 or emergency language will be repealed by operation of law on the following day.
2. New chapter 2.5 (sections 9500-9545) and section refiled 3-22-2001 as an emergency, including amendment of subsection (a); operative 3-22-2001 (Register 2001, No. 12). A Certificate of Compliance must be transmitted to OAL by 7-20-2001 or emergency language will be repealed by operation of law on the following day.
3. New chapter 2.5 (sections 9500-9545) and section refiled 4-25-2001 as an emergency; operative 4-25-2001 (Register 2001, No. 17). A Certificate of Compliance must be transmitted to OAL by 8-23-2001 or emergency language will be repealed by operation of law on the following day.
4. New chapter 2.5 (sections 9500-9545) and section refiled 8-17-2001 as an emergency; operative 8-22-2001 (Register 2001, No. 33). A Certificate of Compliance must be transmitted to OAL by 12-20-2001 or emergency language will be repealed by operation of law on the following day.
5. New chapter 2.5 (sections 9500-9545) and section refiled 12-12-2001 as an emergency; operative 12-20-2001 (Register 2001, No. 50). A Certificate of Compliance must be transmitted to OAL by 4-19-2002 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 12-20-2001 order, including amendment of section, transmitted to OAL 12-19-2001 and filed 1-17-2002 (Register 2002, No. 3).
7. Amendment of chapter heading, section and Note filed 6-28-2002 as an emergency; operative 7-1-2002 (Register 2002, No. 26). Pursuant to Statutes of 2001, Chapter 721, section 10, a Certificate of Compliance must be transmitted to OAL by 12-30-2002 or emergency language will be repealed by operation of law on the following day.
8. Certificate of Compliance as to 6-28-2002 order transmitted to OAL 10-15-2002 and filed 11-26-2002 (Register 2002, No. 48).
§9505. Definitions.
Note     •     History

(a) The definitions shown below shall apply to terminology used throughout this Chapter and in the Act. Terms used in only one section are defined where they are used.
(1) “Allowable costs” means the costs specified in Section 9530. 
(2) “Additional services supplemental to treatment” means vocational training, literacy training, and family counseling services.
(3) “Client” means defendant, probationer, parolee, and any other individuals eligible to receive services pursuant to the Act.
(4) “County trust fund” means a special trust fund established at the county level in accordance with Section 9517, for receipt and expenditure of SATTF funds pursuant to the Act.
(5) “Days” means calendar days unless noted otherwise. 
(6) “Department” means Department of Alcohol and Drug Programs. 
(7) “Department's administrative costs” means the Department's reasonable and necessary costs incurred in administration and implementation of the Act, as approved through the annual State budget process. 
(8) “Drug treatment program” means a program which is:
(A) Licensed pursuant to Chapter 7.5 (commencing with Section 11834.01), Part 2, Division 10.5 of the Health and Safety Code; or Chapter 1 (commencing with Section 11876), Part 3, Article 3, Division 10.5 of the Health and Safety Code; or
(B) Certified as a substance abuse clinic or satellite clinic pursuant to Section 51200, Title 22, CCR, and which has submitted claims for Medi-Cal reimbursement pursuant to Section 51409.1, Title 22, CCR, within the last two calendar years
(C) Certified pursuant to Section 11831.5 or Section 11994 of the Health and Safety Code. In order to accommodate the needs of clients residing in California border counties, programs providing residential drug treatment services in states bordering California may be certified pursuant to Section 11831.5 or Section 11994 of the Health and Safety Code so long as those programs are licensed to provide drug treatment services in the state in which they are located.
(9) “Drug treatment services” means the services described in Section 1210(b) of the Penal Code provided by drug treatment programs. 
(10) “Equitable distribution formula” means the formula for distribution of SATTF funds specified in Section 9525. 
(11) “Fair and equitable distribution formula” means the formula for distribution of SATTA funds specified in Section 9526.
(12) “Family counseling” means counseling with individuals, couples, or groups which examines interpersonal and family relationships. Such counseling shall be provided by an individual licensed or certified in accordance with Business and Professions Code Sections 2836 (Psychiatric Nurse Practitioner), 2838.1 (Clinical Nurse Specialist), 2903 (Clinical Psychologist), 4980 (Marriage and Family Therapist), and 4996 (Licensed Clinical Social Worker); or in accordance with Insurance Code Section 10176 (Mental Health Nurse); or by a psychiatrist certified by the American Board of Psychiatry and Neurology, Inc.; or by an intern providing services under the direct supervision of the holder of one of the aforementioned credentials.
(13) “Literacy training” means instruction and information presented in an individual or group setting to increase literacy skills and reading comprehension. 
(14) “Other funds” means funds received from client fees or from any other source other than from the trust fund established in accordance with Section 11999.4 of the Health and Safety Code.
(15) “Other services” means probation, court monitoring, and miscellaneous services provided pursuant to the Act.
(16) “Parole authority,” means the State Board of Prison Terms.
(17) “Public or private contractors” means any entities receiving SATTF funds pursuant to the Act.
(18) “Substance abuse testing” means laboratory testing to determine whether a client is using, or has used, alcohol and/or other drugs. Testing methods may include, but are not limited to, urine, blood, saliva, and breath alcohol testing.
(19) “Substance abuse treatment trust funds (or SATTF funds)” means all funds received from the State trust fund established in accordance with Section 11999.4 of the Health and Safety Code.
(20) “Substance Abuse Treatment and Testing Accountability Program funds (or SATTA funds)” means all funds received pursuant to Health and Safety Code Section 11999.20.
(21) “State trust fund” means a special trust fund established at the state level, pursuant to Section 11999.4 of the Health and Safety Code, for allocation and expenditure of State funds pursuant to the Act. 
(22) “Vocational training” means instruction and information presented in a group setting to increase opportunities for gainful employment. 
NOTE

Authority cited: Section 11755, Health and Safety Code; and Statutes of 2001, Chapter 721, Section 10. Reference: Substance Abuse and Crime Prevention Act of 2000; and Sections 11999.4,11999.5, 11999.6, 11999.7, 11999.8, 11999.9, 11999.10, 11999.11, 11999.12, 11999.13, 11999.20 and 11999.25, Health and Safety Code; and Sections 1210 and 3063.1, Penal Code. 
HISTORY

1. New section filed 12-26-2000 as an emergency; operative 12-26-2000 (Register 2000, No. 52). A Certificate of Compliance must be transmitted to OAL by 4-25-2001 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 3-22-2001 as an emergency; operative 3-22-2001 (Register 2001, No. 12). A Certificate of Compliance must be transmitted to OAL by 7-20-2001 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 4-25-2001 as an emergency, including amendment of section and Note; operative 4-25-2001 (Register 2001, No. 17). A Certificate of Compliance must be transmitted to OAL by 8-23-2001 or emergency language will be repealed by operation of law on the following day.
4. New section refiled 8-17-2001 as an emergency; operative 8-22-2001 (Register 2001, No. 33). A Certificate of Compliance must be transmitted to OAL by 12-20-2001 or emergency language will be repealed by operation of law on the following day.
5. New section refiled 12-12-2001 as an emergency; operative 12-20-2001 (Register 2001, No. 50). A Certificate of Compliance must be transmitted to OAL by 4-19-2002 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 12-20-2001 order, including amendment of section, transmitted to OAL 12-19-2001 and filed 1-17-2002 (Register 2002, No. 3).
7. New subsections (a)(11), (a)(18) and (a)(20), subsection renumbering and amendment of Note filed 6-28-2002 as an emergency; operative 7-1-2002 (Register 2002, No. 26). Pursuant to Statutes of 2001, Chapter 721, section 10, a Certificate of Compliance must be transmitted to OAL by 12-30-2002 or emergency language will be repealed by operation of law on the following day.
8. Certificate of Compliance as to 6-28-2002 order transmitted to OAL 10-15-2002 and filed 11-26-2002 (Register 2002, No. 48).
§9510. Administration of the State Substance Abuse Treatment Trust Fund.
Note     •     History

The Department shall administer a special fund known as the “Substance Abuse Treatment Trust Fund” (hereinafter referred to as the “state trust fund”) pursuant to Section 11999.4 of the Health and Safety Code. These SATTF funds shall be used to: 
(a) Fund the Department's administrative costs associated with implementation of the Act; 
(b) Increase collaboration and coordination among county alcohol and drug program administrators, probation departments, courts, and impacted community parties to demonstrate that substance abuse treatment has a positive effect on public safety; and 
(c) Fund provision of and placement in drug treatment services, vocational training, family counseling, and literacy training at the county level for adult offenders convicted of nonviolent drug possession offenses pursuant to Sections 1210(a) of the Penal Code or found to have committed a nonviolent drug possession offense pursuant to Section 3063.1 of the Penal Code and related administrative costs.
NOTE

Authority cited: Section 11755, Health and Safety Code. Reference: Section 11999.4-11999.6, Health and Safety Code. 
HISTORY

1. New section filed 12-26-2000 as an emergency; operative 12-26-2000 (Register 2000, No. 52). A Certificate of Compliance must be transmitted to OAL by 4-25-2001 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 3-22-2001 as an emergency; operative 3-22-2001 (Register 2001, No. 12). A Certificate of Compliance must be transmitted to OAL by 7-20-2001 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 4-25-2001 as an emergency; operative 4-25-2001 (Register 2001, No. 17). A Certificate of Compliance must be transmitted to OAL by 8-23-2001 or emergency language will be repealed by operation of law on the following day.
4. New section refiled 8-17-2001 as an emergency; operative 8-22-2001 (Register 2001, No. 33). A Certificate of Compliance must be transmitted to OAL by 12-20-2001 or emergency language will be repealed by operation of law on the following day.
5. New section refiled 12-12-2001 as an emergency; operative 12-20-2001 (Register 2001, No. 50). A Certificate of Compliance must be transmitted to OAL by 4-19-2002 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 12-20-2001 order, including amendment of first paragraph, transmitted to OAL 12-19-2001 and filed 1-17-2002 (Register 2002, No. 3).
§9515. County Plan.
Note     •     History

(a) All counties in California shall request SATTF and SATTA funds. 
(b) In order to receive SATTF and SATTA funds for Fiscal Years 2001-2002 through 2005-2006, the county lead agency shall submit to the Department: 
(1) A copy of a county board of supervisors' resolution, minutes, order, motion, or ordinance that:
(A) Identifies a county lead agency responsible for administration of the funds, and 
(B) States that the county agrees to comply with the provisions of the Act and the requirements of this Chapter. 
(2) A county plan, developed in collaboration with all county agencies and any other entities responsible for administering the Act, including but not limited to the office of the county alcohol and drug program administrator, the probation department, the parole authority, and the courts, with input from providers of drug treatment services in the community, representatives of drug treatment associations in the community, impacted community parties and federally recognized American Indian tribes. The county may submit the county plan electronically or on paper. The county plan shall include the information specified on County Reporting Requirements (Form ADP 10095, New 4/01) and the following: 
(A) A brief narrative describing how the county services funded pursuant to the Act will be coordinated, including the collaborative process used to plan services and a list of entities participating in the development of the plan; 
(B) A brief narrative describing how the county plans to provide and fund services pursuant to the Act; 
(C) The responsible entity(ies) and the process used to determine clients' level of need for, placement in, and referral to drug treatment and additional services supplemental to treatment provided pursuant to the Act; and 
(D) Plans for expenditure of excess SATTF funds pursuant to Section 11999.13 of the Health and Safety Code.
(3) To be eligible to receive SATTA funds awarded pursuant to Health and Safety Code Section 11999.20, counties shall include the following information in their county plans:
(A) A description of the process to be used for drug treatment services and substance abuse testing of probationers consistent with Penal Code Sections 1210.1 and 1210.5 and substance abuse testing of parolees consistent with Penal Code Sections 3063.1 and 3063.2;
(B) A description of the assessment process that will be used to determine the placement for treatment of eligible clients, including the need for additional services that may improve the effectiveness of treatment;
(C) The criteria used by the county, utilizing the tools available through contract enforcement, to monitor and enforce the quality of drug treatment and other services provided;
(D) How substance abuse testing will be used as a treatment tool;
(E) The county's treatment goals for eligible parolees and probationers, as well as the process the county will use to track the provision of drug treatment and additional services supplemental to treatment as determined by individual assessment of eligible parolees and probationers;
(F) Total planned SATTA expenditures for substance abuse testing of SACPA clients and other  purposes consistent with Title 42, U.S.C., Section 300x-21(b);
(G) Projected number of SACPA clients tested using SATTA funds; and
(H) Projected number of tests administered to SACPA clients using SATTA funds.
(4) A copy of a county board of supervisors' resolution, minutes, order, motion, or ordinance approving the county plan, unless the county lead agency attaches to the plan a written delegation of approval authority from the county board of supervisors. 
(c) The county shall submit the documents required in (b) of this regulation to the Director, Department of Alcohol and Drug Programs, 1700 K Street, Sacramento, CA 95814, no later than June 1, 2001, for fiscal year 2001-2002, and by May 1 for subsequent fiscal years 2002-2003 through 2005-2006. 
(d) The Department shall review and approve the county's request for funds if it complies with the requirements of this regulation and the provisions of the Act. Within 15 working days of receipt of the documents required in (b) of this regulation, the Department shall notify the county in writing if its plan has been approved or is not in compliance with the requirements of this regulation and the provisions of the Act.
(e) The county shall submit to the Department an update to its county plan whenever the county makes a singular or cumulative shift of ten percent (10%) or more between county entities or types of services or between services and administrative costs (e.g. between services and probation). 
NOTE

Authority cited: Sections 11755 and 11999.20, Health and Safety Code; and Statutes of 2001, Chapter 721, Section 10. Reference: Sections 11999.6, 11999.7, 11999.11, 11999.20 and 11999.25, Health and Safety Code. 
HISTORY

1. New section filed 12-26-2000 as an emergency; operative 12-26-2000 (Register 2000, No. 52). A Certificate of Compliance must be transmitted to OAL by 4-25-2001 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 3-22-2001 as an emergency, including new subsections (e)(1)-(e)(3); operative 3-22-2001 (Register 2001, No. 12). A Certificate of Compliance must be transmitted to OAL by 7-20-2001 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 4-25-2001 as an emergency, including amendment of section heading, section and Note; operative 4-25-2001 (Register 2001, No. 17). A Certificate of Compliance must be transmitted to OAL by 8-23-2001 or emergency language will be repealed by operation of law on the following day.
4. New section refiled 8-17-2001 as an emergency; operative 8-22-2001 (Register 2001, No. 33). A Certificate of Compliance must be transmitted to OAL by 12-20-2001 or emergency language will be repealed by operation of law on the following day.
5. New section refiled 12-12-2001 as an emergency; operative 12-20-2001 (Register 2001, No. 50). A Certificate of Compliance must be transmitted to OAL by 4-19-2002 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 12-20-2001 order, including amendment of section, transmitted to OAL 12-19-2001 and filed 1-17-2002 (Register 2002, No. 3).
7. Amendment of subsections (a) and (b), new subsections (b)(3)-(b)(3)(H), subsection renumbering and amendment of Note filed 6-28-2002 as an emergency; operative 7-1-2002 (Register 2002, No. 26). Pursuant to Statutes of 2001, Chapter 721, section 10, a Certificate of Compliance must be transmitted to OAL by 12-30-2002 or emergency language will be repealed by operation of law on the following day.
8. Certificate of Compliance as to 6-28-2002 order, including further amendment of subsection (d), transmitted to OAL 10-15-2002 and filed 11-26-2002 (Register 2002, No. 48).
9. Change without regulatory effect amending subsection (d) filed 7-2-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 27).
§9517. Establishment of County Trust Fund.
Note     •     History

(a) The county shall establish a trust fund at the county level and shall deposit into such county trust fund all SATTF funds and all other funds received pursuant to the Act, and any other funds designated by the county for expenditure related to the Act. 
(b) Separate sub-accounts shall be established in the county trust fund for SATTF funds and for other funds. Additional sub-accounts may be established at the county's discretion. SATTF funds shall not be commingled with any other funds.
(c) All SATTF funds be maintained in an interest bearing account. 
(d) All interest accruing to each sub-account shall be utilized for expenditures permitted for funds in that sub-account. 
NOTE

Authority cited: Section 11755, Health and Safety Code. Reference: Sections 11999.6 and 11999.7, Health and Safety Code.
HISTORY

1. New section filed 4-25-2001 as an emergency; operative 4-25-2001 (Register 2001, No. 17). A Certificate of Compliance must be transmitted to OAL by 8-23-2001 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 8-17-2001 as an emergency; operative 8-22-2001 (Register 2001, No. 33). A Certificate of Compliance must be transmitted to OAL by 12-20-2001 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 12-12-2001 as an emergency; operative 12-20-2001 (Register 2001, No. 50). A Certificate of Compliance must be transmitted to OAL by 4-19-2002 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 12-20-2001 order, including amendment of section, transmitted to OAL 12-19-2001 and filed 1-17-2002 (Register 2002, No. 3).
§9520. Responsibilities of County Lead Agency.
Note     •     History

The county lead agency identified in the county board of supervisors' resolution, minutes, order, motion, or ordinance, as specified in Section 9515(b) shall: 
(a) Coordinate the development and ongoing implementation of a county plan for administration of the Act in accordance with Section 9515. Coordination meetings shall be held at least once every three months and shall include representatives of all county agencies and any other entitles responsible for administering the Act, including but not limited to the office of the county alcohol and drug program administrator, the probation department, the parole authority, and the courts, with input from providers of drug treatment services in the community, representative of drug treatment associations in the community, impacted community parties and federally recognized American Indian tribes.
(b) Directly provide and/or contract for the provision of authorized services specified in the Act; 
(c) Administer the county trust fund established pursuant to Section 9517;
(d) Coordinate provision of services with all county agencies and any other entities involved in the administration of the Act. Such coordination shall include: 
(1) Coordinating and tracking client flow through the local service systems, 
(2) Sustaining existing services and expanding capacity as needed, and 
(3) Monitoring the provision of services; 
(e) Submit data and reports to the Department in accordance with the requirements of Section 9535; 
(f) Collect data as necessary for the evaluation of county programs in accordance with the requirements of Sections 11999.9 and 11999.10 of the Health and Safety Code; and 
(g) Participate in surveys and data collection activities developed for the purpose of the annual and long-term statewide evaluation conducted pursuant to Sections 11999.9 and 11999.10 of the Health and Safety Code. Data to be collected may include client assessment information about drug and alcohol use; health and mental health needs; criminal behavior and risk of criminal behavior; employment; family and social supports; and services provided. The county shall retain data for five years from the date of collection, beginning July 1, 2001. 
NOTE

Authority cited: Section 11755, Health and Safety Code. Reference: Sections 11999.6, 11999.9 and 11999.10, Health and Safety Code. 
HISTORY

1. New section filed 12-26-2000 as an emergency; operative 12-26-2000 (Register 2000, No. 52). A Certificate of Compliance must be transmitted to OAL by 4-25-2001 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 3-22-2001 as an emergency; operative 3-22-2001 (Register 2001, No. 12). A Certificate of Compliance must be transmitted to OAL by 7-20-2001 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 4-25-2001 as an emergency, including amendment of section and Note; operative 4-25-2001 (Register 2001, No. 17). A Certificate of Compliance must be transmitted to OAL by 8-23-2001 or emergency language will be repealed by operation of law on the following day.
4. New section refiled 8-17-2001 as an emergency; operative 8-22-2001 (Register 2001, No. 33). A Certificate of Compliance must be transmitted to OAL by 12-20-2001 or emergency language will be repealed by operation of law on the following day.
5. New section refiled 12-12-2001 as an emergency; operative 12-20-2001 (Register 2001, No. 50). A Certificate of Compliance must be transmitted to OAL by 4-19-2002 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 12-20-2001 order, including amendment of subsections (a) and (c), transmitted to OAL 12-19-2001 and filed 1-17-2002 (Register 2002, No. 3).
§9525. Distribution of SATTF Funds.
Note     •     History

(a) Each year the Department shall reserve up to one half of one percent (0.5%) of total SATTF funds for a long-term evaluation as specified in Section 11999.10 of the Health and Safety Code. 
(b) Subject to annual approval by the State Department of Finance, each year the Department may reserve, up to five percent (5.0%) of total SATTF funds pursuant to Section 11999.6 of the Health and Safety Code. 
(c) The Department shall deduct any amounts withheld pursuant to (a) and (b) of this regulation as well as its costs for administration of the SACPA program, from the funds available in the state trust fund to determine the amount of State SATTF funds available to counties. 
(d) For Fiscal Year (FY) 2004-05 and following fiscal years, SATTF funds available for SACPA allocations shall be distributed to counties as shown below:
(1) Fifty percent (50%) shall be based on county population, as described in (e) of this regulation.
(2) Approximately forty percent (40%) of each county's allocation shall be based on the county's annual SACPA treatment caseload data, as described in (f) of this regulation.
(3) Approximately ten percent (10%) of each county's allocation shall be based on the county's annual county drug arrest data, as described in (g) and (h) of this regulation.
(4) Any remaining available SATTF funds shall be allocated to counties as a supplemental allocation, as described in (i) of this regulation.
(e) After the adjustments made in (c) above, approximately fifty percent (50%) of the remaining SATTF funds shall be distributed to counties based on county population.
(1) Each county shall receive a minimum of $146,278. The allocation shall be adjusted by the ratio of each county's population to the total statewide population, based on county population and statewide population data obtained from the California Department of Finance for January 1, 2002.
(2) The portion of the SACPA allocation based on county population shall remain constant for FY 2004-05 and following fiscal years to prevent drastic annual changes, in order to avoid disruption to county programs and facilitate county planning.
(f) Approximately forty percent (40%) of the remaining SATTF funds shall be distributed to counties based on SACPA treatment caseload data.
(1) As used in this regulation, “SACPA treatment caseload data” means the number of total SACPA treatment admissions obtained from the most current data available from the Department's client data collection system for the most recent fiscal year.
(2) For each fiscal year's allocation, the Department shall calculate each county's SACPA treatment caseload rate by dividing total county SACPA treatment caseload data by the county's population and multiplying the resulting quotient by 1,000.
For example: If SACPA treatment caseload for a given county is 330 and its population is 791,600 the result of 330 divided by 791,600 would be .0004182. Multiplying .0004182 by 1,000 would produce a SACPA treatment caseload rate of .42.
(3) The allocation based on SACPA client treatment caseload shall vary year to year, in order to reflect actual county SACPA treatment needs.
(g) Approximately ten percent (10%) of the remaining SATTF funds shall be distributed to counties based on the most current county drug arrest data for the most recent calendar year, obtained from the California Department of Justice's Bureau of Criminal Data. The Department shall calculate each county's drug arrest rate by dividing total county drug arrests by the county's population and multiplying the resulting quotient by 1,000.
For example: If the number of drug arrests for a given county is 9,212 and its population is 791,600, the result of 9,212 divided by 791,600 would be .0116371. Multiplying .0116371 by 1,000 would produce a drug arrest rate of 11.64.
(h) For FY 2004-05 and following years, the Department shall adjust SACPA treatment caseload and drug arrests, using a standard score based on a standard deviation and a weighted average score, to standardize SACPA treatment caseload data and drug arrest data between counties so that county SACPA allocations more equitably meet county SACPA needs. The standard deviation, a measure of the variability around the mean, shall be used to determine the degree to which a county's drug arrest data or SACPA treatment caseload data actually deviate from the statewide mean, which (for this regulation) means total SACPA treatment caseload (or drug arrests) for all counties, divided by the number of counties. In the calculations, numbers are rounded to two decimal places, and dollar amounts are rounded to the nearest whole dollar.
(1) The county's number of standard deviations from the statewide mean shall be determined by subtracting the statewide mean from the county drug arrest rate and dividing the total by the standard deviation.
For example, if a statewide mean of 7.26 is subtracted from a county drug arrest rate of 11.64, the resulting remainder would be 4.38. Dividing 4.38 by the standard deviation of 4.28 would result in a county number of standard deviations from the statewide mean of 1.02.
(2) The county's number of standard deviations from the statewide mean shall be determined by subtracting the statewide mean from the county SACPA treatment caseload data and dividing the total by the standard deviation.
For example, if a statewide mean of 1.58 is subtracted from a county SACPA treatment caseload data rate of .42, the resulting remainder would be -1.16. Dividing -1.16 by the standard deviation of .8864 would result in a county number of standard deviations from the statewide mean of -1.30.
(3) Each county shall be assigned a standard score based on its number of standard deviations from the statewide mean, as shown below (this chart will apply to both SACPA treatment caseload data and arrest data):

	Number of Standard Deviations	
	from Statewide Mean	Standard Score

	Less than -3.001	0.80
	-3.000 to -2.001	0.85
	-2.000 to -1.001	.90
	-1.000 to -0.001	0.95
	0	1.00
	0.001 to 1.000	1.05
	1.001 to 2.000	1.10
	2.001 to 3.000	1.15
	Greater than 3.001	1.20

For example, using the table above, the sample county's standard score for drug arrests would be 1.10, and its standard score for county SACPA treatment caseload data would be .90.
(4) The weighted average score for each county shall be determined by adding the drug arrest rate standard score, multiplied by .2 [the weight assigned for all counties to the drug arrest rate standard score shown in the table in (h)(3) of this regulation] and the SACPA treatment caseload rate standard score, multiplied by .8, [the weight assigned for all counties to the SACPA treatment caseload standard score shown in the table in (h)(3) of this regulation].
For example: The drug arrest rate standard score of 1.10 would be multiplied by .2 resulting in a weighted drug arrest rate standard score of .22. The SACPA treatment caseload rate standard score of .9 would be multiplied by .8 resulting in a weighted SACPA treatment caseload standard score of .72. The product of .22 would be added to the product of .72, resulting a weighted average score of .94 for the sample county.
(5) The weighted average score for each county shall be multiplied by the portion of the allocation for FY 2003-2004 that was based on county drug treatment caseload data and county drug arrest data, to calculate that portion of the new fiscal year allocation based on SACPA treatment caseload and drug arrests.
For example: The weighted average score of .94 for the sample county would be multiplied by $2,863,016 (the portion of the allocation for FY 2003-2004 that was based on county drug treatment caseload data and county drug arrest data), resulting in a product of $2,691,235.
(i) The portion of the SACPA allocation, based on SACPA client treatment caseload and drug arrests [as adjusted in (h) of this regulation], shall be added to the portion of the SACPA allocation based on population [as identified in (d) of this regulation] to determine the amount of the county's initial allocation. If the sum of the initial allocations for all counties is less than the total available SATTF funds for the year, due to the adjustments made in (e) through (h), any remaining funds shall be distributed to counties as a supplemental allocation. The amount of each county's supplemental allocation shall be determined based on a ratio of each county's initial allocation to total county initial allocations.
For example: If the statewide total initial allocation is $115,887,122) and the total SATTF funds statewide are $117,022,956, subtracting the statewide total initial allocation from total SATTF funds statewide results in $1,998,054 available to distribute to counties as a supplemental allocation. Dividing the sample county's initial allocation of $3,970,638 by the total initial allocation for all counties of $115,887,122, would result in a quotient of .03270974391. Multiplying .03270974391 by $1,998,054 would result in a supplemental allocation for the sample county of $38,917.
(j) Each county's initial allocation, based on population, SACPA treatment caseload data, and drug arrest data, shall be added to the supplemental allocation to determine each county's total annual SACPA allocation.
For example, the sum of the sample county's allocation based on population of $3,970,638, added to the sample county's supplemental allocation of $38,917, would result in a total SACPA allocation for the sample county of $4,009,555.
(k) If any county fails to submit plans and reports required pursuant to this Chapter that were due on or before January 31 of the current fiscal year, the Department shall withhold in the state trust fund twenty-five percent (25%) of the SATTF funds available for distribution to that county for the next fiscal year. The Department shall distribute those funds to the county after it receives the outstanding plans and reports. 
(l) Except as specified in (k) of this regulation, the Department shall distribute funds to counties annually via warrant (check) issued by the State Controller. The funds shall be released upon approval of the county plan submitted in accordance with Section 9515, but no earlier than July 1 of each year. 
NOTE

Authority cited: Section 11755, Health and Safety Code. Reference: Section 11999.6, Health and Safety Code. 
HISTORY

1. New section filed 12-26-2000 as an emergency; operative 12-26-2000 (Register 2000, No. 52). A Certificate of Compliance must be transmitted to OAL by 4-25-2001 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 3-22-2001 as an emergency, including amendment of subsection (b); operative 3-22-2001 (Register 2001, No. 12). A Certificate of Compliance must be transmitted to OAL by 7-20-2001 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 4-25-2001 as an emergency, including amendment of section; operative 4-25-2001 (Register 2001, No. 17). A Certificate of Compliance must be transmitted to OAL by 8-23-2001 or emergency language will be repealed by operation of law on the following day.
4. New section refiled 8-17-2001 as an emergency; operative 8-22-2001 (Register 2001, No. 33). A Certificate of Compliance must be transmitted to OAL by 12-20-2001 or emergency language will be repealed by operation of law on the following day.
5. New section refiled 12-12-2001 as an emergency, including amendment of section heading and section; operative 12-20-2001 (Register 2001, No. 50). A Certificate of Compliance must be transmitted to OAL by 4-19-2002 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 12-20-2001 order, including amendment of section heading and section, transmitted to OAL 12-19-2001 and filed 1-17-2002 (Register 2002, No. 3).
7. Amendment filed 6-28-2004 as an emergency; operative 7-1-2004 (Register 2004, No. 27). A Certificate of Compliance must be transmitted to OAL by 10-29-2004 or emergency language will be repealed by operation of law on the following day.
8. Amendment refiled 10-28-2004 as an emergency; operative 10-29-2004 (Register 2004, No. 44). A Certificate of Compliance must be transmitted to OAL by 2-28-2005 or emergency language will be repealed by operation of law on the following day.
9. Certificate of Compliance as to 10-28-2004 order, including further amendment of subsections (e)(1) and (h)(4), transmitted to OAL 12-15-2004 and filed 1-25-2005 (Register 2005, No. 4).
§9526. Distribution of SATTA Funds.
Note     •     History

(a) For Fiscal Year 2001-2002, SATTA funds shall be distributed using the formula specified in Section 9525(d), (e), (f), and (g), after deducting any amounts, which the Department is allowed to retain for administrative or other purposes.
(b) If SATTA funds are available under Title 42, U.S.C., Section 300x-21(b), for fiscal years subsequent to Fiscal Year 2001-2002, they shall be distributed based upon the amounts allocated for Fiscal Year 2001-2002. If the amount of funds available for allocation for a subsequent fiscal year is greater than the amount allocated for Fiscal Year 2001-2002, the increase shall be distributed using the formula specified in Section 9525(d), (e), (f), and (g).
(c) The Department shall release SATTA funds pursuant to the county contracts required by Section 11758.20 et seq. of the Health and Safety Code.
NOTE

Authority cited: Section 11755, Health and Safety Code; and Statutes of 2001, Chapter 721, Section 10. Reference: Sections 11999.6, 11999.20 and 11999.25, Health and Safety Code.
HISTORY

1. New section filed 6-28-2002 as an emergency; operative 7-1-2002 (Register 2002, No. 26). Pursuant to Statutes of 2001, Chapter 721, section 10, a Certificate of Compliance must be transmitted to OAL by 12-30-2002 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 6-28-2002 order transmitted to OAL 10-15-2002 and filed 11-26-2002 (Register 2002, No. 48).
§9530. Allowable Costs and Activities for SATTF Funds.
Note     •     History

(a) The county and any public or private contractors shall use SATTF funds in accordance with the provisions of the Act and the requirements of this regulation. 
(b) SATTF funds shall be used to cover the costs of placing clients in and providing drug treatment services pursuant to the Act provided by drug treatment programs, as defined in Section 9505, and additional services supplemental to treatment, as defined in Section 9505. SATTF funds shall not be used to pay for drug testing. SATTF funds may be used for other services, which may include probation department costs; court monitoring costs; and miscellaneous costs. As used in this regulation “miscellaneous costs” means any costs associated with implementation of the Act. 
(1) Miscellaneous costs may include the cost of housing only if:
(A) The client is concurrently receiving drug treatment services as defined in Section 9505; 
(B) The facility providing housing is affiliated with a drug treatment program as defined in Section 9505 and has a contract with the county lead agency to provide housing pursuant to the Act; and 
(C) The combined cost of housing and drug treatment services provided to the client does not exceed the median cost of residential drug treatment services paid for by the same county pursuant to the Act. 
(2) Drug education may be provided as the sole service pursuant to the Act under the following conditions:
(A) The county has determined through an assessment conducted in accordance with its county plan that the client requires only drug education; and
(B) The client is receiving drug education services from a drug treatment program as defined in Section 9505.
(c) Prior to July 1, 2001, SATTF funds shall be used for activities needed to implement the Act. Such activities shall include, but shall not be limited to the following: 
(1) Planning and coordinating county activities needed to begin providing drug treatment, literacy training, family counseling, vocational training, and other services in order to implement the Act by July 1, 2001; and 
(2) Expanding existing drug treatment programs or developing new drug treatment programs. 
(d) Commencing July 1, 2001, SATTF funds may be used until expended for the purposes specified in (c) of this regulation or to provide services as identified in the county plan developed in accordance with Section 9515. 
(e) SATTF funds shall not be used for the purchase of land, purchase or construction of buildings, or additions to buildings. The Department shall not grant waivers to this prohibition. 
(1) As used in this regulation, “additions to buildings” means structural changes that require the relocation of exterior walls, roofs, or floors, regardless of cost. 
(2) Non-State costs of purchase or construction of buildings or additions to buildings may be recovered only through straight line depreciation over the class life of the property, as specified in the “Table of Class Lives and Recovery Periods” in federal IRS Publication 946, “How to Depreciate Property”, which is available from any office of the IRS. 
(f) With the exception of specific requirements included in (g), (h), and (i) of this regulation, determination of allowable and allocable costs under the Act shall be made utilizing the guidelines contained in the Act and in cost principles published by the federal Office of Management and Budget (OMB). The county shall follow OMB Circular A-87, “Cost Principles for State, Local and Indian Tribal Governments”. Public and private contractors shall follow OMB Circular A-122, “Cost Principles for Non-Profit Organizations”. Both OMB circulars are available from the Executive Office of the President, Office of Management and Budget, Washington, D.C. 20503. 
(g) Purchase of equipment. As used in this regulation, “equipment” means an article of nonexpendable, tangible personal property having a useful life of more than one year and an acquisition cost of $5,000 or more, or the capitalization level established by the county auditor-controller, whichever is less. 
(1) Any equipment purchased with SATTF funds shall be used for activities and services allowed in Section 11999.6 of the Health and Safety Code. 
(2) Expenditures which are less than $5,000 may be reimbursed as allowable costs in the year incurred. 
(3) Expenditures of $5,000 or more may be recovered only through straight line depreciation over the class life of the property, as specified in the “Table of Class Lives and Recovery Periods” in federal Internal Revenue Service (IRS) Publication 946, “How to Depreciate Property”, which is available from any office of the IRS. 
(4) When replacing equipment, the equipment to be replaced shall be used as a trade-in, or the equipment shall be sold and the proceeds shall be used to offset the cost of the replacement property. 
(5) Public or private contractors shall obtain written approval from the county prior to purchasing equipment. 
(h) Alteration and/or renovation 
(1) As used in this regulation, “alteration and/or renovation” means work required to change installed equipment or the interior arrangements or other physical characteristics of an existing facility so that it may be more effectively utilized for its currently designated purpose or adapted to an alternative use to meet a programmatic requirement. 
(2) Costs of alteration and/or renovation required to provide services necessary to implement the Act may be reimbursed as allowable costs in the year(s) incurred up to $150,000 per project. 
(3) If the total costs of an alteration and/or renovation project exceed $150,000 over a three-year period, those costs shall be capitalized and depreciated unless the Department grants a waiver allowing for full reimbursement as described below: 
(A) The Department shall grant a waiver if the county submits a written request for waiver accompanied by a description of the project and a county board of supervisors' resolution that approves the project.
(B) If the Department does not grant a waiver, the costs may be recovered only through straight line depreciation over the class life of the property, as specified in the “Table of Class Lives and Recovery Periods” in federal IRS Publication 946, “How to Depreciate Property”, which is available from any office of the IRS. 
(4) If a building is leased, alteration and/or renovation costs shall be allowable provided that the program is responsible under the lease for paying for the alteration and/or renovation, and the alteration and/or renovation meets the criteria contained in this regulation. 
(A) If the total cost of the alteration and/or renovation project exceeds $150,000 without Departmental waiver, the alteration and/or renovation shall be considered a leasehold improvement. 
(B) The cost of leasehold improvements shall be amortized and may be recovered over the term of the lease(s), but no earlier than June 30, 2006. 
(5) Any county contract for drug treatment services containing costs for alterations and/or renovations funded pursuant to the Act shall require such alterations and/or renovations to be used to provide services pursuant to the Act. 
(6) If a public or private contractor ceases to provide services pursuant to the Act prior to July 1, 2006, the county shall collect a prorated portion of funding used for alterations and/or renovations from the public or private contractor and shall return such funding to the county trust fund. The amount to be collected shall be prorated by dividing the number of months remaining until June 30, 2006, by the total number of months from approval of the project until June 30, 2006, and multiplying the resulting amount by the total cost of alterations and/or renovations funded pursuant to the Act. 
(7) Any alteration and/or renovation that is done shall ensure that the altered portions of the facility comply with (l) of this regulation. 
(i) Public or private contractors shall obtain written approval from the county lead agency, in accordance with county requirements, prior to commencement of alterations and/or renovation, construction, leasehold improvements, and equipment purchases, to the extent that SATTF funds will be used to pay for these costs, either in full or through depreciation or amortization. The county shall ensure that reimbursement is in accordance with the limitations and requirements contained in this regulation. Nothing in this regulation shall be construed to limit the county's discretion to be more restrictive in its policies regarding such expenditures. 
(j) The county shall monitor and document activities to ensure that: 
(1) Use of SATTF funds: 
(A) Complies with the provisions of the Act and this regulation, and 
(B) Complies with county procedures for procuring property, obtaining consulting services, and awarding contracts; and 
(2) SATTF funds are not used to supplant funds from any existing fund source or mechanism currently used to provide drug treatment services in the county. 
(k) In providing services reimbursed with SATTF funds under this Chapter, the county shall comply with Article 9.5 (commencing with Section 11135), Chapter 1 of the Government Code. 
(l) All programs and services funded pursuant to the Act shall be accessible to persons with disabilities as provided for in the Rehabilitation Act of 1973 as amended (Section 794, Title 29, United States Code) and implementing regulation Title 45, Code of Federal Regulations, Part 84, and the Americans with Disabilities Act of 1990 (Sections 12131 through 12134, Title 42, United States Code) and implementing regulation Title 28, Code of Federal Regulations, Part 35, and the provisions of Assembly Bill 2222 (Chapter 1049, Statutes of 2000). The county and any other entity that receives SATTF funds under the provisions of the Act shall not contract with any entity or expend funds for any program or service that is not in compliance with the disability laws and regulations cited in this subsection. 
(m) The county and all entities providing services pursuant to the Act shall maintain confidentiality of client records and information in accordance with Title 42, Code of Federal Regulations, Part 2. 
(n) The county shall include the requirements stated in this regulation in all agreements with public or private contractors receiving funds under this Chapter. 
NOTE

Authority cited: Section 11755, Health and Safety Code; and Statutes of 2001, Chapter 721, Section 10. Reference: Section 11999.12, Health and Safety Code; and Section 1210(b), Penal Code.
HISTORY

1. New section filed 12-26-2000 as an emergency; operative 12-26-2000 (Register 2000, No. 52). A Certificate of Compliance must be transmitted to OAL by 4-25-2001 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 3-22-2001 as an emergency, including amendment of section; operative 3-22-2001 (Register 2001, No. 12). A Certificate of Compliance must be transmitted to OAL by 7-20-2001 or emergency language will be repealed by operation of law on the following day.
3. Repealer and new section filed 4-25-2001 as an emergency; operative 4-25-2001 (Register 2001, No. 17). A Certificate of Compliance must be transmitted to OAL by 8-23-2001 or emergency language will be repealed by operation of law on the following day.
4. Repealer and new section filed 8-17-2001 as an emergency, including amendment of subsections (h)(3)(A) and (h)(7); operative 8-22-2001 (Register 2001, No. 33). A Certificate of Compliance must be transmitted to OAL by 12-20-2001 or emergency language will be repealed by operation of law on the following day.
5. Repealer and new section refiled 12-12-2001 as an emergency, including amendment of subsections (h)(3)(A) and (h)(7); operative 12-20-2001 (Register 2001, No. 50). A Certificate of Compliance must be transmitted to OAL by 4-19-2002 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 12-20-2001 order, including amendment of section, transmitted to OAL 12-19-2001 and filed 1-17-2002 (Register 2002, No. 3).
7. Amendment of section heading and subsections (b) and (h)(5)(7), repealer of subsection (i), subsection relettering and amendment of Note filed 6-28-2002 as an emergency; operative 7-1-2002 (Register 2002, No. 26). Pursuant to Statutes of 2001, Chapter 721, section 10, a Certificate of Compliance must be transmitted to OAL by 12-30-2002 or emergency language will be repealed by operation of law on the following day.
8. Certificate of Compliance as to 6-28-2002 order transmitted to OAL 10-15-2002 and filed 11-26-2002 (Register 2002, No. 48).
§9531. Allowable Costs and Activities for SATTA Funds.
Note     •     History

(a) Counties and public or private contractors may use SATTA funds for substance abuse testing. SATTA funds provided under Title 42, U.S.C., Section 300x-21(b) may be used for drug testing or other purposes consistent with Title 42, U.S.C., Section 300x-21(b).
(b) The county shall monitor and document activities pursuant to Section 9535 to ensure that the use of SATTA funds:
(1) Complies with the provisions of SATTA and this regulation and, to the extent applicable, Title 42, U.S.C., Section 300x-21(b).
(2) Complies with applicable county procedures for procuring property, obtaining consulting services, and awarding contracts.
NOTE

Authority cited: Section 11755, Health and Safety Code; and Statutes of 2001, Chapter 721, Section 10. Reference: Section 11999.20, Health and Safety Code.
HISTORY

1. New section filed 6-28-2002 as an emergency; operative 7-1-2002 (Register 2002, No. 26). Pursuant to Statutes of 2001, Chapter 721, section 10, a Certificate of Compliance must be transmitted to OAL by 12-30-2002 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 6-28-2002 order transmitted to OAL 10-15-2002 and filed 11-26-2002 (Register 2002, No. 48).
§9532. Client Fees.
Note     •     History

(a) The county shall utilize any fee it collects from clients pursuant to the Act as the result of an assessment by a trial judge, toward the cost of placing clients into drug treatment programs. 
(1) For purposes of this regulation, the “cost of placing clients into drug treatment programs” means court or probation department costs incurred in ensuring that a client is enrolled in the selected drug treatment program and has a treatment plan in place, costs of drug treatment services, and other related costs for clients eligible pursuant to the Act. 
(2) The county shall deposit all fees it collects from clients into the sub-account established for other funds pursuant to Section 9517(b).
(3) The county shall report such fees on the Annual Financial Status Report (Form ADP 10096, Rev. 10/01).
(b) Drug treatment programs in which clients are placed shall assess fees toward the cost of treatment based on their determination of a client's ability to pay in accordance with Section 11991.5 of the Health and Safety Code. 
(1) Such fees shall be deducted from the drug treatment program's cost of providing services in accordance with Health and Safety Code Section 11987.9. 
(2) Such fees shall be identified on the Annual Financial Status Report (Form ADP 10096, Rev. 10/01). 
(3) The county shall pay the drug treatment program the remaining cost of providing services from the county trust fund, in accordance with either the actual cost of the service or the negotiated rate method, as specified in Section 11987.5 of the Health and Safety Code.
(c) Fees may be assessed and collected by the court, the drug treatment program, or a third party (at the county's option), so long as all fees collected are separately identified for audit purposes and treated as placement fees, collected pursuant to (a) of this regulation, or treatment fees, collected pursuant to (b) of this regulation.
(d) The county lead agency shall monitor to assure that assessment and collection of fees, however executed, are coordinated in a manner that avoids duplication and ensures that all fees are accounted for and used to offset the cost of services allowed in accordance with this Chapter.
NOTE

Authority cited: Section 11755, Health and Safety Code. Reference: Section 11991.5, Health and Safety Code; and Sections 1210.1(a) and 3063.1(a), Penal Code.
HISTORY

1. New section filed 4-25-2001 as an emergency; operative 4-25-2001 (Register 2001, No. 17). A Certificate of Compliance must be transmitted to OAL by 8-23-2001 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 8-17-2001 as an emergency; operative 8-22-2001 (Register 2001, No. 33). A Certificate of Compliance must be transmitted to OAL by 12-20-2001 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 12-12-2001 as an emergency; operative 12-20-2001 (Register 2001, No. 50). A Certificate of Compliance must be transmitted to OAL by 4-19-2002 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 12-20-2001 order, including amendment of section, transmitted to OAL 12-19-2001 and filed 1-17-2002 (Register 2002, No. 3).
§9533. Drug Medi-Cal Services.
Note     •     History

(a) If a client referred to treatment under the Act is eligible for Medi-Cal and is referred to a clinic certified to participate in the Drug Medi-Cal Program pursuant to interagency agreement between the Department and the Department of Health Services and the provisions of Title 42, Code of Federal Regulations, Section 442.10 et seq., the clinic shall seek Medi-Cal reimbursement for medically necessary services rendered pursuant to Section 51341.1, Title 22, CCR, and Section 11758.46 of the Health and Safety Code. 
(1) The program shall follow Drug Medi-Cal admission procedures as specified in Section 51341.1, Title 22, CCR, including determination of medical necessity, prior to accepting the client as a Drug Medi-Cal client. If not admitted as a Drug Medi-Cal client, reimbursement shall be made from the county's trust fund established pursuant to Section 9517. 
(2) The program shall not charge a Drug Medi-Cal client a fee for services provided other than a share of cost assessed pursuant to, Article 12 (commencing with Section 50651), Chapter 2, Division 3, Title 22, CCR. 
(3) The program shall identify on Drug Medi-Cal claims that the client is receiving services pursuant to the Act. 
(b) Counties shall not use county trust funds to match Drug Medi-Cal federal financial participation. 
NOTE

Authority cited: Section 11755, Health and Safety Code; Reference: Section 11758.42, Health and Safety Code; and Sections 14019.3 and 14019.4, Welfare and Institutions Code.
HISTORY

1. New section filed 4-25-2001 as an emergency; operative 4-25-2001 (Register 2001, No. 17). A Certificate of Compliance must be transmitted to OAL by 8-23-2001 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 8-17-2001 as an emergency; operative 8-22-2001 (Register 2001, No. 33). A Certificate of Compliance must be transmitted to OAL by 12-20-2001 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 12-12-2001 as an emergency; operative 12-20-2001 (Register 2001, No. 50). A Certificate of Compliance must be transmitted to OAL by 4-19-2002 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 12-20-2001 order transmitted to OAL 12-19-2001 and filed 1-17-2002 (Register 2002, No. 3).
§9535. County Records and Reporting Requirements.
Note     •     History

(a) For SATTF funds received for Fiscal Year 2000-01, within 30 days from the end of each quarter, the county shall submit to the Department a written financial status report describing how the county's funds were spent during the three-month period immediately preceding the report. The county shall submit the written reports on the Quarterly Financial Status Report, Substance Abuse and Crime Prevention Act (ADP10086, Rev. 4/01), which is hereby incorporated by reference. The quarterly financial status reports shall be due on April 30 for the period January 1 through March 31, 2001, and on July 31, 2001 for the period January 1 through June 30, 2001. 
(b) For SATTF funds distributed through fiscal years 2005-2006, the county shall submit the following: 
(1) County SATTF expenditures as specified on County Reporting Requirements (Form ADP 10095, New 4/01). The reports shall be submitted by January 31 for the period July 1 through December 31, and by July 31 for the period July 1 through June 30. Reports may be submitted electronically or on paper. 
(2) Client counts and characteristics and capacity/waiting list, as specified on County Reporting Requirements (Form ADP 10095, New 4/01). The reports shall be submitted semi-annually by January 31 and July 31. Reports may be submitted electronically or on paper. 
(c) For SATTA funds, the county shall electronically submit:
(1) Total actual SATTA expenditures for substance abuse testing of SACPA clients and other purposes consistent with Title 42, U.S.C., Section 300x-21(b);
(2) Actual number of SACPA clients tested using SATTA funds; and
(3) Actual number of tests administered to SACPA clients using SATTA funds.
(d) For both SATTF and SATTA funds, the county shall submit:
(1) An annual county budget, to be submitted with the county contracts required pursuant to Sections 11758.20, 11785.40 et seq., and 11758.46 of the Health and Safety Code. The annual county budget shall include planned expenditures for drug treatment services, vocational training, literacy training, family counseling, court monitoring, supervision, assessment and placement, etc. 
(2) Annual cost reports pursuant to Section 11991.5 of the Health and Safety Code, showing actual expenditures, itemized by provider, for drug treatment services, vocational training, literacy training, family counseling, court monitoring, supervision, assessment and placement, etc.; The county shall submit annual cost reports by November 1 of each year. 
(3) Annual Financial Status Report, Substance Abuse and Crime Prevention Act of 2000 (ADP 10096, Rev. 10/01), which is hereby incorporated by reference. The county shall submit the form electronically or on paper by September 30 each year; 
(e) The county shall establish and maintain accounting and fiscal records that identify the source and expenditure of all SATTF and SATTA funds. The county shall maintain documentation such as cancelled checks, paid bills, payrolls, time and attendance records, contract and award documents, etc., to support such records and shall make such records available to the Department for audit upon request. 
(f) The county shall maintain fiscal control and accounting procedures in accordance with generally accepted accounting principles. Such accounting procedures shall be sufficient to: 
(1) Permit the preparation of the reports required in this regulation, and 
(2) Track expenditure of SATTF and SATTA funds to ensure that such funds were used in accordance with the requirements of this Chapter and the Act. 
(g) The county shall retain all records documenting use of SATTF and SATTA funds for a period of five years from the end of the fiscal year or until completion of the Department's annual audit and resolution of any resulting audit issues if the audit is not resolved within five years.
(h) The county shall include the record keeping and reporting requirements established in this regulation in every agreement for services to implement the Act and SATTA. 
NOTE

Authority cited: Section 11755, Health and Safety Code; and Statutes of 2001, Chapter 721, Section 10. Reference: Sections 11991.6, 11999.12 and 11999.20, Health and Safety Code. 
HISTORY

1. New section filed 12-26-2000 as an emergency; operative 12-26-2000 (Register 2000, No. 52). A Certificate of Compliance must be transmitted to OAL by 4-25-2001 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 3-22-2001 as an emergency; operative 3-22-2001 (Register 2001, No. 12). A Certificate of Compliance must be transmitted to OAL by 7-20-2001 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 4-25-2001 as an emergency, including amendment of section; operative 4-25-2001 (Register 2001, No. 17). A Certificate of Compliance must be transmitted to OAL by 8-23-2001 or emergency language will be repealed by operation of law on the following day.
4. New section refiled 8-17-2001 as an emergency; operative 8-22-2001 (Register 2001, No. 33). A Certificate of Compliance must be transmitted to OAL by 12-20-2001 or emergency language will be repealed by operation of law on the following day.
5. New section refiled 12-12-2001 as an emergency, including amendment of section; operative 12-20-2001 (Register 2001, No. 50). A Certificate of Compliance must be transmitted to OAL by 4-19-2002 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 12-20-2001 order, including amendment of section, transmitted to OAL 12-19-2001 and filed 1-17-2002 (Register 2002, No. 3).
7. Amendment of section and Note filed 6-28-2002 as an emergency; operative 7-1-2002 (Register 2002, No. 26). Pursuant to Statutes of 2001, Chapter 721, section 10, a Certificate of Compliance must be transmitted to OAL by 12-30-2002 or emergency language will be repealed by operation of law on the following day.
8. Certificate of Compliance as to 6-28-2002 order transmitted to OAL 10-15-2002 and filed 11-26-2002 (Register 2002, No. 48).
§9540. Departmental Audit of Expenditures and Audit Appeals.
Note     •     History

(a) The Department shall audit county expenditure of SATTF funds annually to monitor compliance with the provisions of this Chapter and the Act. 
(b) The Department shall audit county expenditure of SATTF funds in accordance with generally accepted governmental auditing standards as described in “Government Auditing Standards (1994 Revision)” published for the United States General Accounting Office by the Comptroller General of the United States. “Government Auditing Standards (1994 Revision) is available upon written request from the United States General Accounting Office, Washington, DC 10548. 
(c) Counties and public or private contractors shall make available all accounting and fiscal records pertaining to expenditure of SATTF funds upon written request from the Department for auditing purposes in accordance with this Chapter. 
(d) Counties may appeal audit findings in accordance with the provisions of Chapter 5 (commencing with Section 11500), Part 1, Division 3, Title 2 of the Government Code.
(e) Counties shall repay to the Department amounts found by audit to have been spent in violation of this Chapter or the Act. 
(1) Amounts repaid to the Department shall be deposited into the Department's Substance Abuse Treatment Trust Fund. 
(2) If an audit discloses errors in recording or reporting of revenues and/or costs that affect ongoing reconciliation of a county's trust fund balance, the county shall make appropriate adjustments to its trust fund records and/or its financial reports to bring both into agreement. 
NOTE

Authority cited: Section 11755, Health and Safety Code. Reference: Sections 11991.6 and 11999.12, Health and Safety Code.
HISTORY

1. New section filed 12-26-2000 as an emergency; operative 12-26-2000 (Register 2000, No. 52). A Certificate of Compliance must be transmitted to OAL by 4-25-2001 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 3-22-2001 as an emergency, including amendment of subsection (c); operative 3-22-2001 (Register 2001, No. 12). A Certificate of Compliance must be transmitted to OAL by 7-20-2001 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 4-25-2001 as an emergency, including new subsections (e)-(e)(2); operative 4-25-2001 (Register 2001, No. 17). A Certificate of Compliance must be transmitted to OAL by 8-23-2001 or emergency language will be repealed by operation of law on the following day.
4. New section refiled 8-17-2001 as an emergency; operative 8-22-2001 (Register 2001, No. 33). A Certificate of Compliance must be transmitted to OAL by 12-20-2001 or emergency language will be repealed by operation of law on the following day.
5. New section refiled 12-12-2001 as an emergency, including new subsections (e)-(e)(2); operative 12-20-2001 (Register 2001, No. 50). A Certificate of Compliance must be transmitted to OAL by 4-19-2002 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 12-20-2001 order, including amendment of subsections (a)-(c), transmitted to OAL 12-19-2001 and filed 1-17-2002 (Register 2002, No. 3).
§9545. County Audit of Public or Private Contracts.
Note     •     History

(a) Counties shall annually audit any public or private contractors with whom they have agreements and who expend $300,000 or more in funds to ensure compliance with the provisions of the Act, the requirements of this Chapter, and the county terms and conditions under which the SATTF funds were awarded. Counties may, at their discretion, conduct such audits, contract for the performance of such audits, or require the public or private contractors to obtain such audits. 
(b) The audit shall be conducted in accordance with generally accepted government auditing standards as described in “Government Auditing Standards (1994 Revision)”, published for the United States General Accounting Office by the Comptroller General of the United States. 
(c) The annual audit shall be completed and the county shall submit a written audit report to the Department within 30 days of completion of the audit but no later than nine months after the end of each state fiscal year ending June 30th. 
(d) The written audit report shall establish whether the contractor expended SATTF funds in accordance with the provisions of the Act, the requirements of this Chapter, and the county terms and conditions under which the funds were awarded. 
(e) When a county audit finds that a public or private contractor has misspent SATTF funds based on the requirements of Section 9530, the county shall demand repayment from the contractor in the amount of such audit findings and shall deposit the recovered funds into the county's trust fund established pursuant to Section 9517. Such recovery of funds shall be reported to the Department on the “Annual Financial Status Report, Substance Abuse and Crime Prevention Act of 2000” (Form 10096, Rev. 10/01), which is hereby incorporated by reference, and the specific amount recovered shall be identified in the “Comments/Remarks” line on the same report. The county shall maintain an audit trail to identify the specific audit periods for which recoveries are reported. 
(f) The county shall establish a process to resolve disputed findings resulting from its own audit of public or private contractors. 
(g) Notwithstanding subsection (a) of this regulation, any public or private contractor who is required to obtain a single audit pursuant to OMB Circular A-133 and who receives funding under the Act, shall ensure that the single audit addresses compliance with the requirements of the Act. The county may rely on the single audit as fulfilling its responsibilities in Section 9545(a). 
(h) Audit work papers supporting the report shall be retained for a period of five years from the issuance of the audit report and the county shall make such work papers available to the Department upon request.
NOTE

Authority cited: Section 11755, Health and Safety Code. Reference: Sections 11991.6 and 11999.12, Health and Safety Code.
HISTORY

1. New section filed 12-26-2000 as an emergency; operative 12-26-2000 (Register 2000, No. 52). A Certificate of Compliance must be transmitted to OAL by 4-25-2001 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 3-22-2001 as an emergency, including amendment of section heading and subsections (a), (c) and (e); operative 3-22-2001 (Register 2001, No. 12). A Certificate of Compliance must be transmitted to OAL by 7-20-2001 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 4-25-2001 as an emergency, including amendment of section heading and section; operative 4-25-2001 (Register 2001, No. 17). A Certificate of Compliance must be transmitted to OAL by 8-23-2001 or emergency language will be repealed by operation of law on the following day.
4. New section refiled 8-17-2001 as an emergency; operative 8-22-2001 (Register 2001, No. 33). A Certificate of Compliance must be transmitted to OAL by 12-20-2001 or emergency language will be repealed by operation of law on the following day.
5. New section refiled 12-12-2001 as an emergency, including amendment of section heading and section; operative 12-20-2001 (Register 2001, No. 50). A Certificate of Compliance must be transmitted to OAL by 4-19-2002 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 12-20-2001 order, including amendment of subsections (a)-(e), transmitted to OAL 12-19-2001 and filed 1-17-2002 (Register 2002, No. 3).
Chapter 2.6. Offender Treatment Program
§9550. Offender Treatment Program.
Note     •     History

(a) “Offender Treatment Program (OTP)” means the county program established pursuant to Health and Safety Code (HSC) Section 11999.30
(b) The Department of Alcohol and Drug Programs shall administer OTP funds.
(c) After adoption of the State Budget Act, the Department shall notify each county of the amount of its OTP allocation. The notice shall specify an amount calculated using the methodology described in Subsection (h) of this regulation.
(d) Within 30 days after the Department issues the notice of allocation, each county seeking OTP funds shall submit a written application to the Department by fax at (916) 327-7308, electronically at www.adp.ca.gov./sacpa/srisindex or by mail at the following address:

CALIFORNIA DEPARTMENT OF ALCOHOL AND DRUG PROGRAMS
OFFICE OF CRIMINAL JUSTICE COLLABORATION
1700 K STREET, 5TH FLOOR
SACRAMENTO, CA 95811
Approval of funding may be denied if the county does not submit its application within 30 days from the date of the notice of allocation.
(e) The county's OTP application shall include:
(1) The amount of OTP funds requested, 
(2) A budget specifying how the county plans to use OTP funds for direct treatment and client services for Substance Abuse and Crime Prevention Act of 2000 (SACPA) offenders; and 
(3) A statement ensuring that the county will comply with the requirements of this regulation and with HSC Section 11999.30(d).
(4) A statement ensuring that the county will not use OTP funds to supplant funds from any other fund source used to provide drug treatment services in the county.
(5) The amount and source of the county's matching funds as required by HSC Section 11999.30(c). A county shall not use any of the following sources of funds for the required match: 
(A) State General Fund and federal funds received through any state agency, such as Substance Abuse Prevention and Treatment (SAPT) Block Grant funds;
(B) Substance Abuse Treatment Trust Funds (SATTF) funds; and
(C) Substance Abuse Treatment and Testing Accountability (SATTA) program funds. 
(f) The Department shall review the county application for OTP funding to assure compliance with the requirements of Subsection (e) of this regulation and HSC Section 11999.30(c), (d), and (f). Within 20 days of receipt of the application, the Department shall notify the county in writing if additional information is needed. The county shall provide the requested information within 20 days of the date of the notice. Within 20 days of receipt of all necessary information, the Department shall send the county notice of tentative approval or denial of the application. 
(g) Within 90 days of the date of notice of tentative approval, the county shall provide the Department with a signed copy of the county board of supervisors approval (e.g. resolution, minutes, order, motion, ordinance, or delegation of authority) stating that the county agrees to comply with the requirements of this regulation and Section 11999.30 of the Health and Safety Code. Within 20 days of receipt of the county board of supervisors' approval, the Department shall send a notice of final approval to the county.
(h) The Department shall allocate OTP funds as described below:
(1) From funds appropriated under the State Budget Act, the Department shall deduct its costs for administration of the OTP to determine the amount of state OTP funds available for allocation to counties. 
(2) After deducting its costs of administering the OTP program, the Department shall allocate the remaining OTP funds to counties as shown below:
(A) No less than fifty percent (50%) of OTP funds shall be allocated based on county population, as described in Subsection (h)(4)(A) of this regulation.
(B) Up to twenty-five percent (25%) of OTP funds shall be allocated based on county show rate, as described in Subsection (h)(4)(B) of this regulation.
(C) Up to twenty-five percent (25%) of OTP funds shall be allocated based on county completion rate, as described in Subsection (h)(4)(C) of this regulation.
(D) Any remaining available OTP funds shall be allocated to counties as a supplemental allocation, as described in Subsection (h)(5) of this regulation.
(3) As used in this regulation, “show rate” means the percentage of SACPA -- eligible offenders sentenced to treatment who have commenced participation in treatment services, as reported through the California Outcome Measurement System (CalOMS), the Department's main data system for monitoring treatment clients. The Department shall calculate the show rate for the fiscal year using unique SACPA admissions of probationers and parolees reported through CalOMS for the fiscal year divided by referrals for the fiscal year, as reported by the counties through SACPA Reporting Information System (SRIS), the SACPA data system. “Completion rate” means the percentage of SACPA offenders admitted to treatment who complete all services specified in their treatment or recovery plan, as reported through CalOMS. The Department shall adjust the show rate allocation and the completion rate allocation by county population ratio, as described in Subsection (h)(4)(A) of this regulation, to distribute funds equitably among counties. 
(4) The Department shall compute the OTP allocation for each county as described below:
(A) After the adjustments made in Subsection (h)(1) of this regulation, the Department shall distribute fifty percent (50%) of available OTP funds to counties based on county population. The Department shall adjust the allocation by the ratio of each county's population to the total statewide population, based on county population and statewide population data obtained from the California Department of Finance. 
For example: 
If County X's population were 1,000,000, and the total statewide population were 10,000,000, the Department would divide County X's population of 1,000,000 by the total statewide population of 10,000,000 resulting in County X's population ratio of .1000. After the adjustments made in Subsection (h)(1) of this regulation, if the amount of available funds to be allocated were $15,000,000, the Department would multiply that $15,000,000 by fifty percent (50%) resulting in $7,500,000. The Department would multiply that $7,500,000 by County X's population ratio of .1000 to arrive at County X's allocation of $750,000.
(B) After the adjustments made in Subsection (h)(1) above, the Department shall distribute up to twenty-five percent (25%) of the total OTP funds to counties based on each county's show rate. The Department shall multiply twenty-five percent (25%) of the OTP funds by each county's population ratio [as described in Subsection (h)(4)(A) of this regulation] to determine the maximum possible allocation for each county. The Department shall multiply each county's show rate [as described in Subsection (h)(3) of this regulation] by the maximum possible allocation to determine each county's show rate allocation. 
For example:
After the adjustments made in Subsection (h)(1) of this regulation, if the amount of available funds to be allocated were $15,000,000, the Department would multiply that $15,000,000 by twenty-five percent (25%) resulting in $3,750,000. The Department would multiply that $3,750,000 by County X's population ratio of .1000, resulting in $375,000 for County X's maximum possible show rate allocation. If County X's show rate were fifty percent (50%), the Department would multiply fifty percent (50%) by that $375,000 to arrive at County X's show rate of $187,500 for County X's show rate allocation.
After the adjustments made in Subsection (h)(1) of this regulation, the Department shall distribute up to twenty-five percent (25%) of the total OTP funds to counties based on each county's completion rate. The Department shall multiply up to twenty-five percent (25%) of the total OTP funds by each county's population ratio [as described in Subsection (h)(4)(A) of this regulation] to determine the maximum possible allocation for each county. The Department shall then multiply each county's completion rate [as described in Subsection (h)(3) of this regulation] by the maximum possible allocation to determine each county's completion rate allocation. 
For example:
After the adjustments made in Subsection (h)(1)of this regulation, the amount of available funds to be allocated would be $15,000,000. The Department would multiply that $15,000,000 by twenty five percent (25%) resulting in $3,750,000. The Department would multiply that $3,750,000 by County X's population ratio of .1000, resulting in $375,000 for County X's maximum possible completion rate allocation. If County X's completion rate were forty percent (40%), the Department would multiply forty percent (40%) by $375,000, to arrive at County X's completion rate allocation of $150,000.
(D) The Department shall add each county's population allocation, show rate allocation, and completion rate allocation to determine each county's base allocation. 
For example:
The Department would add County X's population allocation of $750,000, its show rate allocation of $187,500, and its completion rate allocation of $150,000 to arrive at a base allocation for County X of $1,087,500.
(5) The Department shall compute the OTP supplemental allocation as described below:
If the total of the base allocations for all counties is less than the total OTP funds available, the Department shall distribute a supplemental OTP allocation. The Department shall add all counties' base allocations as determined in Subsection (h)(4)(D), and subtract that amount from the total OTP funds available, as described in Subsection (h)(1) above, to determine the amount available for a supplemental allocation. The Department shall divide each county's base allocation as determined in Subsection (h)(4)(D) of this regulation by the total base allocations for all counties to determine each county's supplemental allocation ratio. The Department shall multiply each county's supplemental allocation ratio by the total amount available for OTP supplemental allocations to determine each county's supplemental allocation. 
For example:
If the total base allocations under Subsection (h)(4)(D)of this regulation were $10,000,000, the Department would subtract that $10,000,000 from state OTP funds available of $15,000,000 as described in Subsection (h)(4)(A)of this regulation, to determine that $5,000,000 were available for total supplemental OTP allocations. The Department would divide County X's total base allocation of $1,087,500, as described in Subsection (h)(4)(D) of this regulation, by the total county OTP allocation of $10,000,000, resulting in County X's supplemental allocation ratio of .10875. The Department would multiply the $5,000,000 total supplemental OTP allocation by County X's supplemental allocation ratio of .10875 to arrive at County X's supplemental allocation of $543,750.
(6) The Department shall add each county's base allocation, as described in Subsection (h)(4)(D) of this regulation, to its supplemental allocation, as described in Subsection (h)(5) of this regulation, to determine the total OTP allocation for each county.
For example:
If County X's base allocation were $1,087,500 and its supplemental allocation were $543,750, its total allocation would be $1,631,250. 
(i) If the State reduces the amount of OTP funds currently available, the Department shall proportionately reduce allocations to all participating counties based on each county's population ratio as described in Subsection (h)(4)(A) of this regulation. 
(j) The county shall expend OTP funds in accordance with the requirements of (k) of this regulation, HSC Section 11999.30, and Title 9, California Code of Regulations, Sections 9530 (f), (g), (h), and (i). 
(k) OTP funds may be used to: 
(1) Provide drug treatment services for SACPA--eligible offenders; 
(2) Cover the costs of placing clients in drug treatment and providing drug treatment services provided by drug treatment programs as defined in Penal Code Section 1210 (b), and additional services supplemental to treatment as defined in Title 9, California Code of Regulations, Section 9505(a)(2);
(3) Provide enhanced drug treatment services, such as residential treatment and narcotic replacement therapy, for those clients with assessed need for the services;
(4) Increase the percentage of clients who enter, remain in, and complete treatment, through activities and approaches such as locating assessment units or centers in or near the court, enhanced supervision, and enhanced services determined necessary through the use of substance abuse testing; 
(5) Reduce delays in the availability of treatment services by improving coordination between criminal justice and treatment personnel with the goal of admitting SACPA--eligible offenders into treatment in the shortest possible time; increasing levels of criminal justice and treatment oversight and supervision; and expanding county treatment provider's service capacity; 
(6) Organize dedicated court calendars with regularly scheduled reviews of the progress of SACPA--eligible offenders and conduct collaboration among the courts, probation, treatment, and other stakeholders;
(7) Develop necessary innovative treatment services as indicated by drug test results; and
(8) Support one or more staff positions dedicated to OTP services, such as a personnel position needed for treatment of a client (e.g., scheduling appointments, filing treatment-related documents), or a probation officer position if the work is directly tied to engaging and retaining SACPA--eligible offenders in treatment. 
(9) Provide mental health services for SACPA-eligible offenders with co-occurring disorders (COD), i.e., clients needing both mental health and alcohol and other drug treatment services. Counties may use up to five percent (5%) of their annual allocation for mental health services for SACPA--eligible offenders with COD. 
(l) The county shall expend OTP funds in accordance with the budget submitted with the OTP application approved by the Department pursuant to Subsection (e) of this regulation. Any single or cumulative budget change greater than ten percent (10%) must be reported to and approved by the Department prior to expenditure of funds. 
(m) The Department shall reimburse OTP expenditures quarterly in arrears. To claim reimbursement for OTP expenditures, the county shall submit to the Department:
(1) A quarterly data report specifying SACPA services and activities, and 
(2) A quarterly invoice for reimbursement, detailing actual expenditures of OTP and matching funds. The county shall establish separate expenditure codes to differentiate costs between SACPA and OTP and among fiscal years.
(n) The county shall submit the quarterly invoice and data report no later than:
(1) October 31 for the period beginning July 1 and ending September 30;
(2) January 31 for the period beginning October 1 and ending December 31;
(3) April 30 for the period beginning January 1 and ending March 31; and
(4) July 31 for the period beginning April 1 and ending June 30.
(o) The Department shall review county invoices and quarterly data reports to ensure completion. If the invoice or quarterly report is incomplete, the Department shall notify the county that additional information is needed. The Department may disallow any expenditure that fails to comply with the provisions of this regulation and shall so notify the county, in writing. 
(p) Based on invoices submitted and approved for payment under Subsections (n) (1) and (2) of this regulation, the Department shall make an annual projection of OTP expenditures. If, based on its projection, the Department reasonably believes that the county will not expend its entire allocation, the Department shall:
(1) Notify the county in writing that the Department may reduce the county's allocation unless the county provides written justification within 10 days of the notification, detailing how it will expend its allocated OTP funds. Based on the county's justification and its prior OTP expenditures, the Department may adjust its projection;
(2) Reduce the county's OTP allocation by the amount projected to be unspent; 
(3) Notify counties whose allocations were not reduced that additional funds may be available for reallocation and how to request reallocated funds;
(4) Based on its evaluation of justifications provided by the counties and county expenditure history and using the same allocation methodology described in Subsection (h) of this regulation, reallocate the unspent funds to counties that have:
(A) Submitted timely invoices and data reports as required in Subsection (n) of this regulation, and 
(B) Justified in writing to the Department that they can expend additional funds by the end of the fiscal year on activities allowed under Subsection (k) of this regulation. 
(q) The county shall comply with the audit requirements of Section 9540.
(r) The Department shall audit the county's expenditure of OTP funds in accordance with the requirements of Section 9540, except that the Department may audit on other than an annual basis.
NOTE

Authority cited: Section 11755, Health and Safety Code. Reference: Section 11999.30, Health and Safety Code.
HISTORY

1. New chapter 2.6 (section 9550) and section filed 11-18-2008 as an emergency; operative 11-18-2008. Pursuant to Health and Safety Code section 11999.30(i), this regulation was filed as a statutory deemed emergency and will remain in effect until revised by the Department (Register 2008, No. 47).
2. Certificate of Compliance as to 11-8-2008 order, including amendment of subsection (p)(4), transmitted to OAL 11-18-2009 and filed 12-21-2009 (Register 2009, No. 52).
Chapter 3. Programs for Alcohol and Drug Impaired Drivers
Subchapter 1. General Administration
§9795. Application and Purpose of Regulations.
Note     •     History

Chapter 3 shall apply to the Department, counties, Driving-Under-the-Influence (DUI) programs that provide alcohol and drug education and counseling services pursuant to Division 10.5 (commencing with Section 11836) of the Health and Safety Code, and to individuals receiving services from those programs.
Unless otherwise indicated, the regulations contained in this Chapter shall apply to both first offender and multiple offender DUI programs.
NOTE

Authority cited: Section 11836.15, Health and Safety Code; and Section 23538, Vehicle Code. Reference: Sections 11836 and 11837, Health and Safety Code.
HISTORY

1. Change without regulatory effect renumbering and amending former section 9795 to section 9800 and former section 9800 to section 9795 filed 4-15-91 pursuant to section 100, title 1, California Code of Regulations (Register 91, No. 20). For prior history, see Register 82, No. 47.
2. Amendment filed 11-18-91 as an emergency; operative 1-1-92 (Register 92, No. 8). A Certificate of Compliance must be transmitted to OAL 4-29-92 or emergency language will be repealed by operation of law on the following day.
3. Amendment refiled 4-27-92 as an emergency; operative 4-28-92 (Register 92, No. 19). A Certificate of Compliance must be transmitted to OAL 8-26-92 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 4-27-92 order transmitted to OAL 7-16-92 and filed 8-25-92 (Register 92, No. 35).
5. Amendment of section and Note filed 3-22-2012; operative 4-21-2012 (Register 2012, No. 12).
§9800. Definitions.
Note     •     History

(a) The following definitions shall apply to terminology used in Chapter 3. Terms not defined below may be found in Section 9000, Article 1, Chapter 1, of this Division, or in individual sections of this Chapter if not used elsewhere.
(1) Additional Fee. “Additional fee” means a fee, approved in accordance with the provisions of Section 9878(g), charged to the participant by the DUI program to recover the cost of any administrative service (such as rescheduling program services, reinstating participants following dismissal, processing transfers to other programs, etc.) provided by the DUI program in addition to program services required in accordance with Article 2 (commencing with Section 9848), Subchapter 3 of this Chapter.
(2) Abstinence. “Abstinence” means the total, round-the-clock avoidance of the use of alcohol and/or illicit drugs through ingestion, inhalation, injection, or other means of intake.
(3) Additional County Requirements. “Additional county requirements” are those requirements a county selects to include as part of the DUI program requirements for that county, which exceed the program services required in Article 2 (commencing with Section 9848), Subchapter 3 of this Chapter. 
(4) Ancillary Services. “Ancillary services” are those additional services to which the DUI program may refer the participant on a voluntary basis. Such services may include, but need not be limited to, detoxification services, recovery services, treatment services, or family counseling.
(5) Days. “Days” means calendar days, unless otherwise specified.
(6) Driving-Under-the-Influence Program, or Program. “Driving-Under-the-Influence Program”, “DUI program”, or “program”, or “licensee” means a firm, partnership, association, corporation, or local governmental agency, which has been recommended by the county board of supervisors and subsequently licensed by the Department, in accordance with this Chapter, to provide alcohol and other drug education and counseling services to anyone: 
(A) Whose license to drive has been administratively suspended or revoked in accordance with Section 13353.2 of the Vehicle Code;
(B) Who has been convicted for violating Sections 23103.5, 23152 or 23153 of the Vehicle Code; or
(C) Who has been convicted for operating a vessel, water skis, aquaplane, or similar device in violation of Section 655(b), (c), (d), (e), or (f) of the Harbors and Navigation Code.
(7) Driving-Under-the-Influence. “Driving-under-the-influence”, or “DUI”, means: 
(A) Driving a motor vehicle in violation of Sections 23103.5, 23140, 23152 and 23153 of the Vehicle Code; or
(B) Operating a vessel, water skis, aquaplane, or similar device in violation of Section 655(b), (c), (d), (e), or (f) of the Harbors and Navigation Code.
(8) Educational Session. “Educational session” means instruction and information presented in a facilitated classroom setting.
(9) Face-to-Face Interview. “Face-to-face interview” means a private, facilitated, individual discussion between the counselor and participant to monitor the participant's progress in the program, to identify problems which may be barriers to program completion, and to refer the participant to ancillary services when appropriate, based upon the participant's needs.
(10) Facilitated. “Facilitated” means directed or conducted by DUI program staff (e.g., a facilitated discussion would be a discussion directed or conducted by DUI program staff).
(11) Final Approval. “Final approval” means Departmental approval for licensure of a DUI program when the licensee has met all of the licensing standards contained in this Chapter.
(12) First Offender. “First offender” means an individual whose license to drive has been administratively suspended or revoked for, or who has been convicted of, driving-under-the-influence, and the offense did not occur within ten (10) years of:
(A) Another driving-under-the-influence offense;
(B) A violation of Section 23103 (as specified in Section 23103.5) of the Vehicle Code; or
(C) A violation of Section 191.5 or Section 192(c)(3) of the Penal Code.
(13) First Offender with Court-Ordered Duration of Participation. First offender with court-ordered duration of participation or enhanced first offender means a person convicted of a first offense of driving-under-the-influence who has been ordered by the court to attend a DUI program for 6 months or longer in accordance with Health and Safety Code Section 11837(c).
(14) Fiscal Year. “Fiscal year” means the 12-month period beginning on July 1 and ending on June 30 the following year.
(15) Group Counseling Session. “Group counseling session” means a counselor facilitated group meeting in which participants meet to exchange ideas, to discuss their own behavior and attitudes, and to support and encourage positive changes in each other's lifestyle to facilitate resolution of problems related to the use of alcohol and other drugs.
(16) Illicit Drug. “Illicit Drug” means any substance defined as a drug in Section 11014, Chapter 1, Division 10, Health and Safety Code, except:
(A) Drugs or medications prescribed by a physician or other person authorized to prescribe drugs, in accordance with Section 4036, Chapter 9, Division 2, Business and Professions Code, and used in the dosage and frequency prescribed; or
(B) Over-the-counter drugs or medications used in the dosage and frequency described on the box, bottle, or package insert.
(17) Individual Counseling Session. “Individual counseling session” means a meeting in which a participant and a counselor interact on an individual basis or through an interpreter to discuss the participant's behavior and attitudes and to support and encourage positive changes in the participant's lifestyle to facilitate resolution of problems related to the use of alcohol and other drugs.
(18) Month. “Month” means the period of time from a specific date in one calendar month to the corresponding date in the following calendar month.
(19) Multiple Offender. “Multiple offender” means an individual whose license to drive has been administratively suspended or revoked for, or who has been convicted of driving-under-the-influence and the offense occurred within ten (10) years of:
(A) Another driving-under-the-influence offense;
(B) A violation of Section 23103 (as specified in Section 23103.5) of the Vehicle Code; or
(C) A violation of Section 191.5 or Section 192(c)(3) of the Penal Code.
(20) Participant. “Participant” means any person participating in a DUI program. The term “participant” is used generically throughout this Chapter wherever standards apply to both the first offender and the multiple offender.
(21) Profit. “Profit” means the return received on a business undertaking after all operating expenses have been met, as allowed in normal accounting procedures, which accrues to entrepreneurs as compensation for the assumption of risk in business.
(22) Program Fee. “Program fee” means a fee charged to the participant by the DUI program for program services required in accordance with Article 2 (commencing with Section 9848), Subchapter 3 of this Chapter.
(23) Program Services. “Program services” means all services, which the DUI program is required to provide to the participant in accordance with Article 2 (commencing with Section 9848), Subchapter 3 of this Chapter. Required program services include participant enrollment (Section 9848), assessment of the participant's alcohol or other drug problem (Section 9849), educational sessions (Section 9852), group counseling sessions (Section 9854), individual counseling (Section 9856), and face-to-face interviews (Section 9858).
(24) Provisional Approval. “Provisional approval” means temporary approval for licensure of a DUI program given by the Department for a period not to exceed six months, pending final approval by the Department.
(25) Satellite Location. “Satellite location” means a building, place, or premise used for the provision of Driving-Under-the-Influence Program (DUI) services that is under the direct administrative and professional supervision of a state-licensed DUI program. 
(26) “Significant Other” means an individual who the participant designated as having a major influence or importance in his/her life (e.g. spouse, domestic partner, fiancée, friend, etc.)
(27) Standardized Payment Schedule. “Standardized payment schedule” means a document, in accordance with the requirements of Subsection 9878(d), which:
(A) Describes how the DUI program assesses the program fee and additional fees;
(B) Lists the amount of the program fee and additional fees charged by the DUI program, the amount of down payment required, the amount and frequency of payments, and the income levels at which the DUI program will allow the participant to pay a maximum fee of no more than $5.00 per month, to pay a reduced program fee, or to extend payments, in accordance with the provisions of Section 9878; and
(C) Contains a sample of the participant contract and all forms used by the DUI program to determine the program fee, additional fees, down payment, and payment schedule.
(28) Surplus. “Surplus” means the difference between revenues and operating expenses in a nonprofit corporation or public agency.
(29) Unit of Service. “Unit of service” means each service the DUI program is required to provide pursuant to Article 2 (commencing with Section 9848), Subchapter 3 of this Chapter (e.g. enrollment, alcohol or drug assessment, educational or counseling session, face-to-face interview, etc.)
(30) Working Days. “Working Days” means all days that the Department is open for business, excluding weekends, holidays or other designated days. For purposes of these regulations, unless otherwise indicated a working day commences at 8:00 a.m. and concludes at 5:00 p.m. The term working day includes the term “business days.”
NOTE

Authority cited: Section 11836.15, Health and Safety Code. Reference: Sections 11836, 11836.15, 11837 and 11837.4, Health and Safety Code; and Section 23538, Vehicle Code.
HISTORY

1. Change without regulatory effect renumbering and amending former section 9800 to section 9795 and former section 9795 to section 9800 filed 4-15-91 pursuant to section 100, title 1, California Code of Regulations (Register 91, No. 20). For prior history, see Register 82, No. 47.
2. Amendment filed 11-18-91 as an emergency; operative 1-1-92 (Register 92, No. 8). A Certificate of Compliance must be transmitted to OAL 4-29-92 or emergency language will be repealed by operation of law on the following day.
3. Amendment refiled 4-27-92 as an emergency; operative 4-28-92 (Register 92, No. 19). A Certificate of Compliance must be transmitted to OAL 8-26-92 or emergency language will be repealed by operation of law on the following day.
4. Editorial correction of printing error in subsections (a)(1)  and (a)(19) (Register 92, No. 19).
5. Certificate of Compliance as to 4-27-92 order including amendment of subsection (a)(1) transmitted to OAL 7-16-92 and filed 8-25-92 (Register 92, No. 35).
6. Amendment of section filed 7-13-94; operative 7-13-94 (Register 94, No. 28).
7. Amendment of section and Note filed 9-22-95; operative 10-22-95 (Register 95, No. 38).
8. Amendment of subsections (a)(1), (a)(6), (a)(6)(B), (a)(7)-(a)(7)(A), (a)(8) and (a)(11), new subsection (a)(13), repealer of subsection (a)(23), subsection renumbering and amendment of newly designated subsection (a)(20) filed 7-31-2002; operative 8-30-2002 (Register 2002, No. 31).
9. New subsection (a)(25) and subsection renumbering filed 9-1-2004; operative 10-1-2004 (Register 2004, No. 36).
10. Amendment of section and Note filed 3-22-2012; operative 4-21-2012 (Register 2012, No. 12).
§9801. State Responsibilities.
Note     •     History

(a) The Department shall:
(1) Approve, renew, deny, or revoke licensure of Driving Under the Influence (DUI) programs for first offenders and multiple offenders.
(2) Review the DUI program as part of the County Alcohol Plan.
(3) Adopt and amend, as necessary, DUI program regulations and provide copies of such regulations to all county alcohol program administrators, the Department of Motor Vehicles, the courts, and DUI programs.
(4) Ensure that the unused portion of the participant's fee is returned if services that were paid in advance are not utilized.
(5) Provide the counties and the DUIs, through information and technical expertise, assistance necessary to comply with the DUI program regulations contained in this Chapter.
(6) Work with representatives of the county alcohol program administrators, the DUI programs, the judiciary, the Department of Motor Vehicles, and other interested parties to maintain quality assurance in the DUI Program and to develop ongoing measures of effectiveness.
(7) Gather relevant data and provide statewide information, reporting procedures, and necessary forms.
(8) Review and approve DUI programs' participant fee schedules in accordance with Section 11837.4(b)(2) of the Health and Safety Code.
(b) The Department shall establish a mechanism for reimbursement of the actual administrative costs it incurs in carrying out the activities of Subsection (a) above.
NOTE

Authority cited: Section 11836.15, Health and Safety Code; and Section 23161(b), Vehicle Code. Reference: Sections 11836, 11836.15, 11837.4, 11837.5 and 11838.1, Health and Safety Code; and Sections 23161 and 23181, Vehicle Code.
HISTORY

1. Change without regulatory effect renumbering and amending former section 9816 to section 9801 filed 4-15-91 pursuant to section 100, title 1, California Code of Regulations (Register 91, No. 20). For prior history, see Register 82, No. 47.
2. Amendment of subsections (a)(1) and (b) and Note filed 11-8-91 as an emergency; operative 1-1-92 (Register 92, No. 8). A Certificate of Compliance must be transmitted to OAL 4-29-92 or emergency language will be repealed by operation of law on the following day.
3. Amendment of subsections (a)(1) and (b) and Note  refiled 4-27-92 as an emergency; operative 4-28-92 (Register 92, No. 19). A Certificate of Compliance must be transmitted to OAL 8-26-92 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 4-27-92 order transmitted to OAL 7-16-92 and filed 8-25-92 (Register 92, No. 35).
5. Amendment filed 12-6-2004; operative 1-5-2005 (Register 2004, No. 50).
§9801.5. County Responsibilities.
Note     •     History

(a) Consistent with chapter 9, section 11837.6 of the Health and Safety Code, the county board of supervisors shall: 
(1) Review, at its option, any new applications for licensure as DUI program and forward all applications recommended for licensure through the county alcohol and drug program administrator to the Department for final review and approval. As part of the recommendation, in accordance with Section 9805, the county board of supervisors shall include a statement assuring there is a need for a new DUI program in the county and assuring that the establishment of an additional DUI program will not jeopardize the fiscal integrity of existing licensed DUI programs.
(2) Assure the Department in writing of the programmatic and fiscal integrity of the DUI programs the county has recommended for licensure.
(b) The county alcohol and drug program administrator shall: 
(1) Monitor to ensure compliance with the regulations contained in this chapter and the requirements in Chapter 9 (commencing with Section 11837.6), Division 10.5 of the Health and Safety Code.
(2) Review any applications requested by the county for licensure as DUI program or proposed changes in the approved plan of operation and forward to the Department all new applications or changes recommended for licensure by the board of supervisors. 
(3) Monitor to ensure that approved DUI programs do not utilize other funds administered by the Department for program operations.
(4) Notify the Department when he/she determines that a DUI program is not in compliance with the regulations contained in this chapter.
(5) Monitor to ensure that service providers do not utilize participant fees for purposes other than DUI program activities, with the exception of allowable profit or surplus. 
(6) Review and recommend approval or denial of DUI program fees and additional fees contained in the initial application for licensure and requests from existing DUI programs for increases in program fees and additional fees.
(7) Assure that each DUI program makes provision for persons who cannot afford to pay program participation fees.
(8) Carry out liaison activities with the courts, the county probation department, DUI programs, and interested parties at the county level.
(9) Develop and insure the implementation of a court referral system as described in Health and Safety Code Section 11837.2. 
(10) Establish a mechanism for reimbursement from client fees of reasonable county costs which are incurred pursuant to this chapter.
NOTE

Authority cited: Sections 11755, 11836 and 11836.15, Health and Safety Code. Reference: Sections 11836, 11837.2, 11837.6, 11837.7 and 11837.8, Health and Safety Code.
HISTORY

1. Change without regulatory effect renumbering and amending former section 9818 to section 9801.5 filed 4-15-91 pursuant to section 100, title 1, California Code of Regulations (Register 91, No. 20). For prior history, see Register 82, No. 47.
2. Change without regulatory effect amending Note filed 10-24-95 pursuant to section 100, title 1, California Code of Regulations (Register 95, No. 43).
3. Amendment of section and Note filed 12-6-2004; operative 1-5-2005 (Register 2004, No. 50).
4. Amendment filed 3-22-2012; operative 4-21-2012 (Register 2012, No. 12).
§9801.6. DUI Program Responsibilities.
Note     •     History

(a) The DUI program shall:
(1) Maintain the program services in compliance with article 2, subchapter 3 of this chapter and with the DUI program's application for licensure which was approved by the county and the Department.
(2) Provide the county alcohol and drug program administrator and the Department access to all programmatic and fiscal records necessary to conduct county monitoring and State approval activities, including evaluation. Said access shall not conflict with any local, state, or federal confidentiality regulations.
NOTE

Authority cited: Sections 11755 and 11836.15, Health and Safety Code. Reference: Section 11837.4, Health and Safety Code.
HISTORY

1. Change without regulatory effect renumbering and amending former section 9822 to section 9801.6 filed 4-15-91 pursuant to section 100, title 1, California Code of Regulations (Register 91, No. 20). For prior history, see Register 82, No. 47.
2. Amendment of section heading and section filed 3-22-2012; operative 4-21-2012 (Register 2012, No. 12).
Subchapter 2. Licensure of DUI Programs
Article 1. Requirement for Licensure
§9802. Requirement for Licensure.
Note     •     History

(a) A separate license shall be required for each location where DUI program services are provided, except for satellite locations. 
(b) No DUI program shall accept participants until the program is licensed to provide DUI program services.
(c) A new application for licensure pursuant to Section 9804 shall be required to establish a new DUI program, whenever there is a sale or transfer of ownership from one legal entity to another, or whenever there is any proposed change in the ownership of a DUI program. 
NOTE

Authority cited: Sections 11755, 11836.15 and 11836.16, Health and Safety Code. Reference: Section 11836.12, Health and Safety Code.
HISTORY

1. Change without regulatory effect renumbering and amending former 9802 to section 9808 and former section 9804(e) and (f) to section 9802 filed 4-15-91 pursuant to section 100, title 1, California Code of Regulations (Register 91, No. 20). For prior history, see Register 82, No. 47.
2. New subsection (a), subsection relettering, amendment of newly designated subsections (b)-(c) and amendment of Note filed 9-1-2004; operative 10-1-2004 (Register 2004, No. 36).
3. Amendment of subchapter heading filed 3-22-2012; operative 4-21-2012 (Register 2012, No. 12).
Article 2. Initial License
§9804. Content of Application.
Note     •     History

(a) The applicant shall submit a separate application for each site, except for satellite sites, where services are to be provided. 
(b) Each application for licensure shall include the following information:
(1) The name of the county and DUI program in which the applicant will be providing services, and whether the applicant is applying for licensure as a first offender, 18-month, or 30-month program;
(2) The legal name of the applicant and the name the DUI program will use to conduct business;
(3) The telephone number and mailing address of the applicant, and the telephone number and address of the DUI program location;
(4) The business status (i.e., individual owner, partnership, nonprofit or for-profit corporation, public agency, or another specified entity) under which the applicant will operate the DUI program; 
(5) The name(s) and address(es) of any other licensed DUI program owned or operated by the applicant(s) within the last five years; 
(6) The name, address, and telephone number of the program director; 
(7) If the applicant is a partnership, the name and principal business address of each partner, and a copy of the partnership agreement as filed with the county or state, as applicable; 
(8) If the applicant is a corporation or association, the name and address for the corporation or association; the name and title of the officer or employee who acts on behalf of the corporation or association; and a copy of the articles of incorporation and bylaws; 
(9) If the applicant is a public agency, the type of agency (i.e. county, city, or other specified), the name of the department, and address; 
(10) The name(s), title, education and experience of the program director in accordance with Section 9846 of this Chapter; 
(11) Written assurance that the DUI program will not discriminate in employment practices and in provision of benefits and services on the basis of race, color, national origin, religion, sex, or mental or physical disabilities pursuant to Title VI of the Civil Rights Act of 1964, section 504 of the Rehabilitation Act of 1973, California Government Code section 11135, et seq., and other applicable state and federal laws;
(12) A statement, signed and dated by the applicant or the authorized representative of the applicant, declaring under penalty of perjury that all information submitted to the Department is true and correct to the best of the applicant's knowledge;
(13) A signed and dated financial statement with an itemized listing of the DUI program's assets, liabilities, and equity; 
(14) A line item budget which includes fiscal information in the categories of personal services, operating expenses, equipment, equipment and facility depreciation schedules, revenue, and profit or surplus; and
(15) The signature of the applicant as follows: 
(A) For partnerships, each partner shall sign the application. 
(B) If the applicant is a firm, association, corporation, county, city, public agency, or other governmental entity, the application shall be signed by the chief executive officer or the individual legally responsible for representing the firm, association, corporation, county, city, public agency, or other governmental entity. 
NOTE

Authority cited: Sections 11755, 11835, and 11836.15, Health and Safety Code. Reference: Sections 11836.12, 11836.15 and 11837.4, Health and Safety Code.
HISTORY

1. Change without regulatory effect amending section filed 4-15-91 pursuant to section 100, title 1, California Code of Regulations (Register 91, No. 20). For prior history, see Register 82, No. 47.
2. Amendment of section and Note filed 12-6-2004; operative 1-5-2005 (Register 2004, No. 50).
3. Amendment filed 3-22-2012; operative 4-21-2012 (Register 2012, No. 12).
§9805. Supplemental Application Documents.
Note     •     History

(a) As a condition of licensure, each applicant shall submit to the Department the following documents with the application for licensure: 
(1) A county board of supervisors' resolution or minute order recommending licensure, including a statement from the board indicating there is a demonstrated need for a new DUI program and the establishment of an additional program will not jeopardize the fiscal integrity of existing licensed DUI programs. Such need shall be based on objective measurable criteria including, but not limited to: 
(A) Increased population in the county as a whole or in specific regions; 
(B) Increases in DUI convictions; 
(C) The voluntary or involuntary de-licensure of an existing program; 
(D) An identified demographic segment or population of the county that is not served by the existing licensed programs. 
(2) County Alcohol Advisory Board recommendation, if the county has an alcohol advisory board; 
(3) Copy of the contract or memorandum of understanding between the county and the applicant, if the county has a contract or memorandum of understanding with the applicant; 
(4) An organization chart of the applicant entity; 
(5) Business License issued by the local county or city; 
(6) Fire Clearance issued to the applicant by the local fire authority; 
(7) The applicant's assessment of its projected participant base; 
(8) A description of the need for a DUI program; 
(9) A current, written plan of operation, containing at least: 
(A) A description of the services (face-to-face interviews, educational sessions, group and individual counseling sessions) to be provided by the program, including the frequency, duration, and number of hours for each program service; 
(B) The location(s) where services will be provided and the services to be provided at each location; 
(C) The hours services will be available; 
(D) A description of the participant enrollment process; 
(E) A description of procedures for assessment of participants' alcohol and other drug problems; 
(F) A description of activities to be conducted during the final six-months of program participation in the 18-month multiple offender program; 
(G) Procedures for referring participants to any ancillary services; 
(H) Description of the approved additional county requirements, if any; 
(I) A sample participant contract; 
(J) A sample of all other forms to be used by the program; 
(K) The program fee, standardized payment schedule, a breakdown of program fee by unit of service, additional fees, and related forms; 
(L) The method for assessing and collecting the program fee (i.e., extended payments or reduced fees) that the program will use in accordance with Section 9878 of this Chapter; 
(M) Refund procedures, including a description of the method used to compute refunds; 
(N) Procedures for inter-program transfers; 
(O) Dismissal policy; 
(P) A description of how the licensee will notify the court of a participant's enrollment, progress, dismissal or completion of program services and additional county requirements; and 
(Q) Other applicable program policies and procedures. 
(R) The geographic area where the board of supervisors indicated as a condition of their recommendation for licensure to provide services, if applicable. 
(b) In addition to the requirements of (a) of this regulation, each applicant for licensure as a 30-month multiple offender program shall submit an attachment specifying the following: 
(1) How participants will maintain a compendium of probative evidence, in accordance with Health and Safety Code Section 11837.4; and 
(2) The type of community services participants may perform, in accordance with Health and Safety Code Section 11837.4. 
NOTE

Authority cited: Sections 11755, 11835 and 11836.15, Health and Safety Code. Reference: Sections 11836.12 and 11836.15, Health and Safety Code.
HISTORY

1. New section filed 12-6-2004; operative 1-5-2005 (Register 2004, No. 50).
§9806. Department Provisional and Final Approval Procedures. [Renumbered]
Note     •     History

NOTE

Authority cited: Section 11836, Health and Safety Code. Reference: Section 11837.4, Health and Safety Code.
HISTORY

1. Change without regulatory effect renumbering and amending former section 9806 to sections 9812 and 9816 filed 4-15-91 pursuant to section 100, title 1, California Code of Regulations (Register 91, No. 20). For prior history, see Register 82, No. 47.
2. Editorial correction of Authority cite (Register 95, No. 43).
§9807. Application for Approval to Provide Services at a Satellite Location.
Note     •     History

(a) A satellite location shall only be established to: 
(1) Improve access to services for participants located in areas where services are not accessible due to lack of population density, extensive distance from a licensed program or other satellite, or lack of public transportation. As used in this subsection, “extensive distance” means a distance of more than ten miles; 
(2) Provide services in an area where it is not economically feasible for a fully licensed facility to operate; and/or 
(3) Provide services for an ethnic population where the unique language needs of that population cannot be met by current licensees in the area served. The current licensee(s) within that area of the county shall be notified by the county alcohol and drug program administrator and given an opportunity to address the need prior to the approval of a satellite under this provision. 
(b) The licensee shall provide the same level of services (i.e., first offender services or multiple offender services) at the satellite location as provided at the state licensed DUI program. 
(c) The licensee shall only enroll participants and conduct face-to-face interviews, educational sessions, individual counseling sessions, and group counseling sessions, and collect fees at a satellite location. A separate license shall be required for provision of any other program services or administrative services. 
(d) The licensee shall not maintain participant records at a satellite site. 
(e) The licensee shall not provide services to more than 200 participants, enrolled during each fiscal year, at a satellite location. 
(f) The Department shall not approve a satellite location located within ten miles of another state licensed DUI program if the satellite location is providing the same services and level of service (i.e. first offender or multiple offender services). 
(g) Satellite locations, which are in existence when this regulation takes effect, that do not meet the requirements of (e) of this regulation, shall have 30 days from the effective date of this regulation to apply for licensure. The Department shall waive the application fee for applications submitted during the 30-day period. 
(h) A licensee may request to provide program services at a satellite location by submitting an amended application to the Department pursuant to the requirements of this regulation. The licensee shall submit a separate amended application for each proposed satellite location. Each amended application for approval to provide services at a satellite location shall include the following minimum information: 
(1) The address of the satellite location where the applicant will provide program services, and the level or levels of services (i.e. first offender or multiple offender services) the applicant is requesting approval to provide; 
(2) The type of program services (i.e., face-to-face interviews, educational sessions, group and individual counseling sessions) to be provided at the satellite location; 
(3) The frequency and duration of each program service to be provided; and 
(4) The hours the licensee plans to provide services at the satellite location. 
(5) A statement describing the need for services at a satellite location, consistent with subsection (a) of this regulation. 
(6) A written statement by the local county alcohol and drug program administrator verifying the need for the satellite location, the services to be provided, and the specific geographic area to be served at the satellite site. 
(7) A statement by the licensee that he/she agrees to abide by the restrictions of this regulation and acknowledging that the Department shall withdraw approval for the satellite location if the licensee does not comply with the restrictions of this regulation. 
(i) The Department shall review and approve the amended application for a satellite location if the application complies with the requirements of this regulation. Within 45 days of receipt of the amended application the Department shall provide written notification to the licensee that the application has been approved or denied [current maximum time for approving amended applications is 60 days, minimum is 30, average is 45]. 
(j) If the Department denies an application for a satellite location, the Department shall send a written notification to the licensee, pursuant to (j) of this regulation. The notification shall: 
(1) Explain the reason for denial, and 
(2) Advise the licensee of his/her right to a hearing in accordance with Section 9836 of this Chapter. 
NOTE

Authority cited: Sections 11755 and 11836.15, Health and Safety Code. Reference: Section 11836.16, Health and Safety Code. 
HISTORY

1. New section filed 9-1-2004; operative 10-1-2004 (Register 2004, No. 36).
§9808. Application Process.
Note     •     History

The county alcohol program administrator may issue requests for proposals to, and accept applications from, all persons or organizations interested in providing drinking driver program services.
NOTE

Authority cited: Sections 11755 and 11836.15, Health and Safety Code. Reference: Section 11836.12, Health and Safety Code.
HISTORY

1. Change without regulatory effect renumbering and amending former section 9808 to section 9820 and former section 9802 to section 9808 filed 4-15-91 pursuant to section 100, title 1, California Code of Regulations (Register 91, No. 20). For prior history, see Register 82, No. 47.
§9810. County Review and Recommendation.
Note     •     History

(a) The county alcohol program administrator and the county alcohol advisory board shall review the application and shall submit their recommendations to the county board of supervisors.
(b) The county board of supervisors shall review the application and shall select applications to be submitted to the Department for final approval of licensure. The board of supervisors shall include comments from the county alcohol advisory board when it submits the application to the Department for review.
NOTE

Authority cited: Sections 11755 and 11836.15, Health and Safety Code. Reference: Sections 11836 and 11836.15, Health and Safety Code.
HISTORY

1. Change without regulatory effect renumbering and amending former section 9810 to section 9838 and former section 9804(a) and (b) to section 9810 filed 4-15-91 pursuant to section 100, title 1, California Code of Regulations (Register 91, No. 20). For prior history, see Register 82, No. 47.
§9812. State Review and Approval.
Note     •     History

(a) The Department shall review DUI program applications selected and recommended for licensure by the county board of supervisors to determine whether the application complies with Section 9804 and Section 9805.
(b) Upon recommendation of the county board of supervisors, the Department shall review any proposed change in an existing DUI program's operation plans.
(c) The Department may approve specific elements of the DUI programs which comply with the regulations contained in this chapter and may disapprove those elements of the DUI program which do not comply with the regulations contained in this chapter, except when any element of the administration of the DUI program does not assure the fiscal integrity of the DUI program.
(d) The Department may grant provisional approval to a DUI program or any element thereof, based on documentation submitted by the county board of supervisors that the DUI program application complies with the regulations contained in this chapter.
NOTE

Authority cited: Sections 11755 and 11836.15, Health and Safety Code. Reference: Sections 11836, 11836.12, 11836.14 and 11837.4, Health and Safety Code.
HISTORY

1. Change without regulatory effect renumbering and amending former section 9812 to section 9834 and former section 9806 to section 9812 filed 4-15-91 pursuant to section 100, title 1, California Code of Regulations (Register 91, No. 20). For prior history, see Register 82, No. 47.
2. Editorial correction of NOTE (Register 91, No. 30).
3. Change without regulatory effect amending subsection (a) filed 10-24-95 pursuant to section 100, title 1, California Code of Regulations (Register 95, No. 43).
4. Amendment filed 12-6-2004; operative 1-5-2005 (Register 2004, No. 50).
5. Amendment of subsections (a), (c) and (d) filed 3-22-2012; operative 4-21-2012 (Register 2012, No. 12).
§9814. Appeal Procedure. [Renumbered]
Note     •     History

NOTE

Authority cited: Section 11836, Health and Safety Code. Reference: Section 11837.4(a), Health and Safety Code.
HISTORY

1. Change without regulatory effect renumbering and amending former section 9814 to section 9836 filed 4-15-91 pursuant to section 100, title 1, California Code of Regulations (Register 91, No. 20). For prior history, see Register 82, No. 47.
§9816. Approval/Denial of Licensure.
Note     •     History

(a) Within six months of provisional approval the Department shall approve licensure for a DUI program if the Department has determined, on the basis of an on-site review, the DUI program is operating in compliance with the regulations contained in this chapter.
(1) The Department shall notify the county alcohol and drug program administrator in writing at least 14 working days prior to any on-site licensure review. Whenever possible, the county alcohol and drug program administrator shall accompany Department staff during the on-site review.
(2) The Department shall approve or deny licensure within six months of the date of provisional approval. Failure to deny within the six month period shall constitute approval.
(b) The Department shall provide notice of provisional and final approval of licensure by certified mail to the county alcohol and drug program administrator, with copies to the county board of supervisors, the Department of Motor Vehicles (DMV), and the DUI program within 15 working days of the granting of such approval. Approval shall be effective as of the date of the notice.
(c) The Department shall provide notice of denial of licensure by certified mail to the county alcohol and drug program administrator, with copies to the county board of supervisors, the DMV, and the applicant program within 15 working days of denial of licensure. Denial shall be effective the date of receipt of the letter by the applicant.
(d) At the time of approval of licensure, the Department shall provide the DUI program with a certificate of licensure for display at site locations.
(e) At least once per year, the Department shall publish a listing of licensed service providers for distribution to the courts and other interested parties.
NOTE

Authority cited: Sections 11755 and 11836.15, Health and Safety Code. Reference: Sections 11836, 11836.12, 11836.14 and 11837.4, Health and Safety Code.
HISTORY

1. Change without regulatory effect renumbering and amending former section 9816 to section 9801 and former section 9806(e) and (f) to section 9816 filed 4-15-91 pursuant to section 100, title 1, California Code of Regulations (Register 91, No. 20). For prior history, see Register 82, No. 47.
2. Change without regulatory effect amending subsection (b) filed 10-24-95 pursuant to section 100, title 1, California Code of Regulations (Register 95, No. 43).
3. Amendment of subsections (a)-(a)(1) and (b)-(d) filed 3-22-2012; operative 4-21-2012 (Register 2012, No. 12).
Article 3. License Renewal
§9818. County Responsibilities. [Renumbered]
Note     •     History

NOTE

Authority cited: Section 11836, Health and Safety Code. Reference: Sections 11837.6 and 11837.8(a), (b), Health and Safety Code.
HISTORY

1. Change without regulatory effect renumbering and amending former section 9818 to section 9801.5 filed 4-15-91 pursuant to section 100, title 1, California Code of Regulations (Register 91, No. 20). For prior history, see Register 82, No. 47.
§9820. Extension of Period of Licensure.
Note     •     History

(a) To extend the period of licensure, the licensee shall:
(1) Pay all:
(A) Licensing fees assessed in accordance with Section 9822;
(B) Fines assessed in accordance with Section 11837.5 of the Health and Safety Code and adjudicated in accordance with Section 9836, 
(C) Civil penalties assessed in accordance with Section 9827 and adjudicated in accordance with Section 9836; and
(D) County administration and monitoring fees which are due and payable in accordance with Section 9878(n). 
(2) Update the information contained in the application for licensure, if the licensee submitted an application for licensure in or after October 1993; or
(3) Submit an application for licensure, in accordance with Section 9804, if the licensee submitted a proposal for licensure prior to October 1993 which was not subsequently updated by an application for licensure.
(b) At least 120 days prior to the expiration date noted on the license, the Department shall send a notice to the licensee which shall:
(1) Inform the licensee of the date when the current period of licensure will expire as specified on the license;
(2) Inform the licensee that the period of licensure will be extended if, by the date specified on the notice, the licensee complies with subdivision (a) of this regulation; and
(3) Notify the licensee that failure to comply with the requirements of Subsection (a) of this regulation, as stated in the notice, will result in automatic expiration of the license, and that continued operation of the DUI program beyond the date of expiration is prohibited by Section 11836.10 of the Health and Safety Code and Section 9802 of this Chapter.
(c) If the licensee complies with the requirements of subdivision (a) of this regulation as stated in the notice, the Department shall automatically extend the period of licensure, unless the Department has enjoined operation of the DUI program in accordance with Section 9829.
(d) If the licensee fails to comply with the requirements of subdivision (a) of this regulation as stated in the notice, the Department shall not extend the period of licensure and the license shall automatically expire as of the date specified on the license.
(e) Failure to update the information contained in the application for licensure and pay licensing fees, fines, and/or civil penalties by the date the period of licensure expires shall be deemed to be a voluntary deactivation of the license.
(f) In the event that the licensee voluntarily deactivates the license, in order to reactivate the license the licensee shall:
(1) Submit an application for extension of licensure (in accordance with subdivision (a)(2) of this regulation) directly to the Department;
(2) Pay any outstanding licensing fees, fines, and civil penalties adjudicated in accordance with Section 9836, and
(3) Pay any outstanding county administration and monitoring fees due and payable in accordance with Section 9878(n). 
(g) Failure to reactivate a license within 90 days of the date the period of licensure expired shall be deemed to be a voluntary relinquishment of the license. In the event that the licensee voluntarily relinquishes the license, in order to reapply for licensure, the licensee shall:
(1) Submit a new application for licensure, through the county alcohol and drug program administrator, in accordance with Article 2 (commencing with Section 9804) of this chapter, and
(2) Pay any outstanding licensing fees, fines, and civil penalties adjudicated in accordance with Section 9836.
NOTE

Authority cited: Sections 11755 and 11836.15, Health and Safety Code. Reference: Sections 11836, 11836.10, 11836.12, 11836.15, 11837.5 and 11838.4, Health and Safety Code.
HISTORY

1. Change without regulatory effect renumbering and amending former section 9820 to section 9846 and former section 9808 to section 9820 filed 4-15-91 pursuant to section 100, title 1, California Code of Regulations (Register 91, No. 20). For prior history, see Register 82, No. 47.
2. Repealer and new section filed 4-18-95; operative 7-1-95 pursuant to Government Code section 11343.4(c) (Register 95, No. 16).
3. New subsection (a)(1)(D), amemdment of subsections (f)(1) and (f)(2) and new subsection (f)(3) filed 12-6-2004; operative 1-5-2005 (Register 2004, No. 50).
4. Amendment of subsections (a)-(a)(1) and (b)-(d) filed 3-22-2012; operative 4-21-2012 (Register 2012, No. 12).
Article 4. License Fees
§9822. DUI Program Licensing Fees.
Note     •     History

(a) The Department may assess an annual licensing fee to cover the projected cost of licensing DUI programs. 
(b) The Department shall determine the license fee annually, no later than April 30 of each year, in an amount sufficient to cover the projected costs of administering the licensure of DUI programs for the forthcoming fiscal year commencing on the first day of July and concluding on the last day of June. The license fee shall be an amount for each participant's initial enrollment, determined by dividing the projected costs by the number of participant enrollments and rounding up to the next dollar. Projected costs (including expenditures and encumbrances) and participant enrollments used in the calculation shall be the total actual costs and enrollments, respectively, for the most recent 12-month period for which both sets of data are available. For example, if projected costs were anticipated to be $1,612,593 and the total number of participants were 130,992 the license fee per participant would be $12.31 rounded up to $13. 
(c) No later than April 30 of each year, the department shall give written notice to DUI program licensees of the license fee for the forthcoming fiscal year and the manner in which it was calculated, including data used in making the calculation. Notification need not be issued if the fee does not change from the current fiscal year.
(d) The license fee shall be a set amount assessed for each participant's initial enrollment. The total amount of fees owed to the Department by a DUI program shall be determined by multiplying the total number of new enrollments for the applicable quarter in the licensed DUI program by the amount of the license fee per enrollee. For example, if the licensee enrolled 100 participants during the quarter and the license fee is $13 per enrollment, the amount of the total fee would be $1,300. 
(e) Failure to submit quarterly enrollment reports and pay quarterly license fees by the 30th day following the close of each quarter (i.e. September 30th, December 31st, March 31st, and June 30th) shall result in the issuance of a notice of deficiency in accordance with Section 9824. For example, if the first quarter fees are not paid by October 30, a notice of deficiency will be sent to the DUI program. 
NOTE

Authority cited: Section 11836.15, Health and Safety Code. Reference: Section 11837.4, Health and Safety Code.
HISTORY

1. New section filed 9-1-2004; operative 10-1-2004 (Register 2004, No. 36). For prior history, see Register 91, No. 20.
2. Amendment of section heading and section filed 3-22-2012; operative 4-21-2012 (Register 2012, No. 12).
Article 5. Program Evaluation
§9823. Types of Compliance Deficiencies.
Note     •     History

(a) As used in this chapter, “deficiency” means failure by a driving-under-the-influence program to comply with any provision of Chapter 9 (commencing with Section 11836), Part 2, Division 10.5 of the Health and Safety Code or the requirements contained in this Chapter. Deficiencies shall be classed as Class A, B, or C deficiencies, as defined in this section.
(b) A Class A deficiency is any deficiency which presents an imminent danger of death or severe harm to any participant of the program or a member of the general public. As used in this chapter, “imminent danger of death or severe harm” means that the more likely consequence of the deficiency is death or physical injury, which would:
(1) Render a part of the body functionally useless or temporarily or permanently reduced in capacity, or
(2) Inhibit any function of the body to such a degree as to shorten life or to reduce physical or mental capacity.
(c) A Class B deficiency is any deficiency relating to the operation or maintenance of the program which has a direct or immediate relationship to the physical health, mental health, or safety of the program participants or the general public.
(d) A Class C deficiency is a deficiency relating to the operation or maintenance of the program which has only a minimal relationship to the health or safety of program participants or the general public.
NOTE

Authority cited: Sections 11755 and 11836.15, Health and Safety Code. Reference: Sections 11836.12, 11836.15 and 11837.7, Health and Safety Code.
HISTORY

1. New section filed 4-18-95; operative 7-1-95 pursuant to Government Code section 11343.4(c) (Register 95, No. 16).
§9823.1. Investigation of Complaints.
Note     •     History

(a) Any person may request an investigation of a DUI program by contacting the Department in person, by telephone, in writing, or by any other automated or electronic means, in order to determine compliance with the provisions of Chapter 9 (commencing with Section 11836), Part 2, Division 10.5 of the Health and Safety Code and the requirements of this Chapter.
(b) Within ten (10) working days of receipt of a complaint the Department shall initiate an investigation of the alleged violation(s).
(c) The Department shall not disclose the identity of the complainant unless the Department has first determined that the complaint cannot be resolved without such disclosure because the complaint involves services provided to the complainant.
(d) The complaint investigator may conduct a site investigation of the program with or without advance notice, at any time the facility is open for business, upon presentation of proper identification, in order to determine compliance with the provisions of this Chapter.
(e) The Department may interview participants and/or program staff in private and may inspect program records relevant to the complaint without the consent of the licensee.
(f) The complaint investigation shall be considered complete when all facts relevant to the complaint have been reviewed and the Department has made a determination regarding the complaint.
(g) If the complaint investigation discloses compliance deficiencies the complaint investigator shall prepare a written notice of deficiency, listing all deficiencies. The complaint investigator shall issue a written notice of deficiency to the licensee or his/her designee:
(1) In person before leaving the facility, or
(2) By mail, postmarked within ten (10) working days after completion of the site investigation.
(h) The notice of deficiency shall comply with the provisions of Section 9824(b).
(i) The notice of deficiency shall require the licensee to correct deficiencies as specified in Section 9824.
(j) If the licensee or his/her designee refuses to accept receipt of a written notice of deficiency, the date of the notice shall constitute the date of receipt.
(k) If requested by the complainant, the Department shall notify the complainant in writing of the results of its investigation.
NOTE

Authority cited: Sections 11755, 11836 and 11836.15, Health and Safety Code. Reference: Sections 11836.15, 11837.7 and 11838.4, Health and Safety Code.
HISTORY

1. New section filed 3-19-2001; operative 4-18-2001 (Register 2001, No. 12).  
§9824. Issuance of Notice of Deficiency.
Note     •     History

(a) The Department shall prepare a written notice of deficiency when the Department determines that a licensee is not in compliance with the provisions of Chapter 9 (commencing with Section 11836), Part 2, Division 10.5 of the Health and Safety Code or the requirements of this Chapter.
(1) The Department's determination shall be based on completion of an on-site compliance review conducted by the Department. If the licensee has failed to fully and timely submit a fee, and there are no other deficiencies, the Department may make its determination on a review of the licensee's payment record on file with the Department, in lieu of an on-site compliance review.
(2) No notice of deficiency shall be issued for Class C deficiencies which the licensee corrects prior to completion of the compliance review.
(b) The notice of deficiency shall specify:
(1) The section number, title, and code of each statute or regulation which the licensee has violated;
(2) The manner in which the licensee failed to comply with the specified statute or regulation;
(3) The date by which the licensee shall submit a corrective action plan for correcting each deficiency; and
(4) The amount of civil penalty to be assessed in accordance with Section 9827 and the date the Department shall begin to assess the penalty, if the licensee fails to correct the noticed deficiencies in accordance with this regulation and the corrective action plan specified in Section 9825.
(c) The Department shall provide the written notice of deficiency to the licensee or program director:
(1) In person before leaving the program site.
(2) By first class mail, within ten working days following the completion of the on-site compliance review, or a review of the licensee's payment records on file with the Department.
(d) Within ten working days following the issuance of the notice of deficiency, the Department shall provide a copy of the notice of deficiency to the county alcohol program administrator of the county in which the program is located.
(e) If any Class A deficiencies have been cited, the Department shall provide the written notice of deficiency to the licensee or program director before leaving the program site.
(f) The notice of deficiency shall require the licensee to correct deficiencies as specified below:
(1) The licensee shall abate or eliminate all Class A deficiencies immediately upon receipt of the notice of deficiency.
(2) The licensee shall correct all Class B deficiencies within 30 days of receipt of the notice of deficiency, unless the Department determines, based on the on-site compliance review, that the deficiency is sufficiently serious to require correction within a shorter period of time. In that event, the Department shall explain in the notice how the deficiency jeopardizes the health or safety of program participants or the general public.
(3) The licensee shall correct all Class C deficiencies within 30 days of receipt of the notice of deficiency, unless the Department determines that the deficiency cannot be completely corrected within 30 days. In that event, the Department shall specify in the notice of deficiency the time in which the deficiency shall be corrected and the reason why it cannot be corrected within 30 days.
(g) If the licensee, program director, or designee refuses to accept receipt of the written notice of deficiency, the date of the written notice shall constitute the date of receipt.
NOTE

Authority cited: Sections 11755 and 11836.15, Health and Safety Code. Reference: Sections 11836.12, 11836.15, 11837, 11837.6 and 11837.7, Health and Safety Code.
HISTORY

1. New section filed 4-18-95; operative 7-1-95 pursuant to Government Code section 11343.4(c) (Register 95, No. 16).
2. Amendment of subsection (a), new subsections (a)(1)-(2), amendment of subsections (c)(2)-(d) and amendment of Note filed 3-23-2000; operative 4-22-2000 (Register 2000, No. 12).
3. Amendment of subsections (c)(2) and (f)(1) filed 12-6-2004; operative 1-5-2005 (Register 2004, No. 50).
Article 6. Corrective Action
§9825. Development of a Corrective Action Plan.
Note     •     History

(a) Within the number of days specified for submission of a corrective action plan, in accordance with Section 9824(b)(3), the licensee shall submit a written corrective action plan to the manager of the DUI Program Branch, Department of Alcohol and Drug Programs, 1700 K Street, Sacramento, CA 95814. The written corrective action plan shall be postmarked no later than the date specified in the notice of deficiency.
(b) The written corrective action plan shall:
(1) Specify what steps the licensee has taken to correct each deficiency identified in the notice of deficiency;
(2) Substantiate that the deficiency has been corrected as specified in the notice of deficiency; and
(3) Specify when the deficiency was corrected.
(c) If the licensee cannot correct a Class B or C deficiency by the date specified in the notice of deficiency, the written corrective action plan shall:
(1) Specify what steps the licensee has taken to correct the deficiency;
(2) Substantiate why the deficiency cannot be corrected as specified in the notice of deficiency; and
(3) Specify when the deficiency will be corrected.
(d) Within ten working days of receipt by the Department of the corrective action plan, the Department shall notify the licensee, in writing by first class mail, whether the corrective action plan has been approved or denied based on a review of the corrective action plan and documentation submitted with the corrective action plan.
NOTE

Authority cited: Section 11755 and 11836.15, Health and Safety Code. Reference: Sections 11836.12, 11836.15, 11837.6 and 11837.7, Health and Safety Code.
HISTORY

1. New section filed 4-18-95; operative 7-1-95 pursuant to Government Code section 11343.4(c) (Register 95, No. 16).
2. Change without regulatory effect amending subsections (a) and (d) filed 4-28-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 18).
§9826. Follow-up Review to Verify Correction of Deficiencies.
Note     •     History

(a) The Department may conduct follow-up compliance reviews with or without advance notice to determine if the licensee has corrected all deficiencies specified in the notice of deficiency.
(b) If a follow-up compliance review indicates that a deficiency has not been corrected on or before the date specified in the notice of deficiency or subsequent approved corrective action plan, the Department shall assess a notice of civil penalty in accordance with Section 9827.
NOTE

Authority cited: Sections 11755 and 11836.15, Health and Safety Code. Reference: Sections 11836.10, 11836.12 and 11837.7, Health and Safety Code.
HISTORY

1. Change without regulatory effect renumbering and amending former section 9826 to section 9848 filed 4-15-91 pursuant to section 100, title 1, California Code of Regulations (Register 91, No. 20). For prior history, see Register 82, No. 47.
2. New section filed 4-18-95; operative 7-1-95 pursuant to Government Code section 11343.4(c) (Register 95, No. 16).
§9827. Assessment of Civil Penalties for Failure to Correct Compliance Deficiencies.
Note     •     History

(a) If the licensee does not submit a corrective action plan in accordance with Section 9825 by the date specified in the notice of deficiency, the Department shall assess a civil penalty which shall accrue from the day after the date specified in the notice of deficiency until the licensee submits a corrective action plan. The date of submission by the licensee shall be the date the written corrective action plan is postmarked.
(b) The Department shall assess civil penalties in the amounts indicated below:
(1) The Department shall assess a civil penalty of $25 per day against the licensee for each Class C deficiency, as defined in Section 9823.
(2) The Department shall assess a civil penalty of $50 per day against the licensee for each Class A or B deficiency, as defined in Section 9823.
(3) The maximum daily civil penalty for all deficiencies shall not exceed $150.
(4) The total maximum civil penalty for all deficiencies shall not exceed $5,000.
(c) If the Department assesses a civil penalty, the Department shall provide to the licensee a written notice of civil penalty, which shall specify:
(1) The amount of the civil penalty,
(2) The date upon which the civil penalty shall begin,
(3) The date payment is due,
(4) The address to which the payment is to be mailed or delivered, and
(5) The licensee's right to administrative review in accordance with Section 9830.
(d) Within ten working days of the date it receives a corrective action plan, Department staff shall:
(1) Review the plan, and
(2) Notify the licensee, in writing by first class mail, whether the corrective action plan has been approved or denied.
(e) If the Department denies the corrective action plan, the licensee shall have 30 days from the date of the notice of denial to provide an amended corrective action plan.
(1) If the Department does not receive an amended corrective plan by the 30th day, the Department shall assess a civil penalty which shall accrue from the date specified on the notice of denial until the Department receives an amended corrective action plan.
(2) When the Department receives the amended corrective action plan, Department staff shall review the plan within ten working days and provide a notice of approval or denial to the licensee.
(3) If the Department does not approve the amended corrective action plan, Department staff shall provide a final notice of denial to the licensee. The civil penalty shall accrue from the date specified on the final notice of denial and shall continue until the Department receives and approves written notification from the licensee that the deficiency is corrected.
(f) If a follow-up compliance review determines that the licensee failed to correct the deficiency, the civil penalty shall accrue from the date of the initial notice of deficiency and shall continue until the Department receives and approves written notification, subsequent to the follow-up compliance review, from the licensee that the deficiency is corrected.
(g) The Department shall assess a civil penalty against the licensee of $150 if the licensee repeats the same violation within a 12-month period. The Department shall also assess a penalty of $50 for each day from the date specified in the notice of deficiency until the Department receives and approves written notification from the licensee that the deficiency is corrected.
(h) If a licensee, who was assessed a civil penalty in accordance with this regulation, repeats the same violation within 12 months of the second violation, the Department shall assess a civil penalty of $150 for each day from the date specified in the notice of deficiency until the Department receives and approves written notification from the licensee that the deficiency is corrected.
(i) Civil penalties, assessed in accordance with this regulation and adjudicated in accordance with Section 9830 shall be paid by certified check or money order payable to the Department of Alcohol and Drug Programs.
(j) The Department may file a claim in a court of competent jurisdiction or take other disciplinary action as necessary to recover the amount of the penalties if a licensee fails to pay civil penalties, assessed in accordance with this regulation and adjudicated in accordance with Section 9830.
NOTE

Authority cited: Sections 11755 and 11836.15, Health and Safety Code. Reference: Sections 11836.10, 11836.12, 11837.5, 11837.7 and 11838.4, Health and Safety Code.
HISTORY

1. New section filed 4-18-95; operative 7-1-95 pursuant to Government Code section 11343.4(c) (Register 95, No. 16).
2. Change without regulatory effect amending subsection (a) filed 4-28-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 18).
§9828. Interprogram Transfer. [Renumbered]
Note     •     History

NOTE

Authority cited: Section 11836, Health and Safety Code. Reference: Section 11837.2, Health and Safety Code.
HISTORY

1. Change without regulatory effect renumbering and amending former section 9828 to section 9884 filed 4-15-91 pursuant to section 100, title 1, California Code of Regulations (Register 91, No. 20). For prior history, see Register 82, No. 47.
§9829. Unlicensed Programs.
Note     •     History

(a) If an unlicensed program provides program services, the program is operating in violation of Section 11836.10 of the Health and Safety Code and Section 9802 of this Chapter.
(b) If a program is alleged to be operating without a license, the Department shall conduct an investigation to substantiate the allegation.
(c) If the Department determines, as the result of its investigation, that the program is operating without a license, the Department shall deliver to the operator of the program, in person or by certified mail, a notice which shall notify the operator of the program that the program is operating without a license, in violation of Section 11836.10 of the Health and Safety Code and Section 9802 of this Chapter.
(1) In the notice, the Department shall order the operator of the unlicensed program to cease operation immediately.
(2) The notice shall specify that the Department will take action in accordance with Subsection (d) of this regulation if the program fails to cease operation immediately.
(d) If the program fails to cease operation immediately the Department may:
(1) Assess a civil penalty of $200 per day against the operator of the unlicensed program.
(A) The civil penalty shall continue to accrue until the unlicensed program ceases operation.
(B) If the operator or representative of the unlicensed program provides written notification to the Department that the program has ceased operation, the civil penalty shall cease as of the date the Department receives the notification.
(C) The Department may conduct a site visit to verify that the program is no longer in operation. If the site visit indicates that the unlicensed program is still in operation, the Department shall assess the $200 per day civil penalty without interruption from the date of the initial assessment.
(2) Enjoin operation of the unlicensed program in the superior court in and for the county in which the violation occurred. Any such action shall conform to the requirements of Chapter 3 (commencing with Section 525), Title 7, Part 2 of the Code of Civil Procedures, except that the Director shall not be required to allege facts necessary to show or tending to show lack of adequate remedy at law or irreparable damage or loss.
(e) All civil penalties assessed in accordance with this regulation and adjudicated in accordance with Section 9836 shall be due and payable upon receipt of a notice of payment issued by the Department, and shall be paid by certified check or money order made payable to the Department of Alcohol and Drug Programs.
(f) Participants shall not receive credit for services received at an unlicensed program.
NOTE

Authority cited: Sections 11755 and 11836.15, Health and Safety Code. Reference: Sections 11836, 11836.10, 11838.3, 11838.4, 11838.5, 11838.10 and 11838.11, Health and Safety Code.
HISTORY

1. New section filed 4-18-95; operative 7-1-95 pursuant to Government Code section 11343.4(c) (Register 95, No. 16).
2. Amendment of subsection (c)(1), repealer of subsection (c)(2), subsection renumbering, amendment of newly designated subsections (c)(2) and (e) and new subsection (f) filed 3-22-2012; operative 4-21-2012 (Register 2012, No. 12).
§9830. Administrative Review of Fines and Civil Penalties. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 11755 and 11836.15, Health and Safety Code. Reference: Administrative Procedures Act (Chapter 5 [commencing with Section 11500] Part 1, Division 3, Title 2 of the Government Code); and Sections 11837.5 and 11838.4, Health and Safety Code.
HISTORY

1. Change without regulatory effect renumbering and amending former section 9830 to section 9876 filed 4-15-91 pursuant to section 100, title 1, California Code of Regulations (Register 91, No. 20). For prior history, see Register 82, No. 47.
2. New section filed 4-18-95; operative 7-1-95 pursuant to Government Code section 11343.4(c) (Register 95, No. 16).
3. Repealer filed 9-1-2004; operative 10-1-2004 (Register 2004, No. 36).
§9832. Dismissal of Participants. [Renumbered]
Note     •     History

NOTE

Authority cited: Section 11836, Health and Safety Code. Reference: Sections 11837.1(a), (b) and (c) and 11837.3, Health and Safety Code.
HISTORY

1. Change without regulatory effect renumbering and amending former section 9832 to section 9886 filed 4-15-91 pursuant to section 100, title 1, California Code of Regulations (Register 91, No. 20). For prior history, see Register 82, No. 47.
§9834. Suspension or Revocation of Licensure.
Note     •     History

(a) The Department may seek suspension or revocation of a license, in accordance with Chapter 5 (commencing with Section 11500), Part 1, Division 3, Title 2 of the Government Code, when: 
(1) The licensee is issued a notice of deficiency for any alleged action which has resulted in death, serious physical harm, or imminent danger to a participant or the general public; 
(2) The licensee has been convicted of selling DL 101, Notice of Completion certificates. 
(3) The licensee has been found to have given credit to a participant for program services not attended and subsequently issued DL 101, Notice of Completion certificate. 
(4) The licensee fails to correct any Class A deficiency by the date specified in the notice of deficiency; 
(5) The licensee demonstrates a pattern of noncompliance by a chronic failure to correct the same Class B or C deficiencies cited in prior compliance reviews; 
(6) The licensee fails to pay licensing fees assessed in accordance with Section 9822; or 
(7) The licensee fails to pay civil penalties assessed in accordance with Section 9827 and adjudicated in accordance with Section 9830. 
(b) The Department shall deliver to the licensee, in person or by certified mail, an accusation and notice of suspension or revocation, which shall: 
(1) Inform the licensee that the program's license is being suspended or revoked and the effective date of the suspension or revocation, 
(2) Explain the reason(s) for the suspension or revocation, 
(3) Order the licensee to suspend operation of the program as of the date specified on the notice, and 
(4) Explain the licensee's right to an administrative review in accordance with Section 9836. 
(c) Expiration, forfeiture, or surrender of a license shall not prohibit the Department from taking action to deny, suspend, or revoke licensure in accordance with the provisions of Chapter 9 (commencing with Section 11836) of Part 2, Division 10.5 of the Health and Safety Code or this Chapter. 
(d) The Department may suspend operation of a licensed program prior to a hearing, when such action is necessary to protect participants or the general public from physical or mental abuse, abandonment, or any other substantial threat to the participants' health or safety. If the Department takes such action, the notice of suspension shall specify the licensee's legal right to petition the court to enjoin closure of the program in accordance with Chapter 3 (commencing with Section 525) of Title 7, Part 2 of the Code of Civil Procedure, in addition to the requirements of Subsection (b)(4) of this regulation. 
(e) The Department shall provide a copy of any accusation or notice of suspension or revocation to the county alcohol program administrator within seven (7) days of issuance. 
(f) The Department, within seven (7) days of issuance of the notice of suspension or revocation, shall notify the courts, in writing, not to refer participants to the program because the Department is taking action to suspend or revoke its license. 
NOTE

Authority cited: Section 11836.15, Health and Safety Code; and Section 23161(b), Vehicle Code. Reference: Sections 11836, 11837.4, 11837.5, 11837.6, 11837.7, 11838.10 and 11838.11, Health and Safety Code.
HISTORY

1. Change without regulatory effect renumbering and amending former section 9834 to section 9857 and former section 9812 to section 9834 filed 4-15-91 pursuant to section 100, title 1, California Code of Regulations (Register 91, No. 20). For prior history, see Register 82, No. 47.
2. Amendment of subsection (a) and Note and repealer and adoption of subsection (f) filed 11-8-91 as an emergency; operative 1-1-92 (Register 92, No. 8). A Certificate of Compliance must be transmitted to OAL 4-29-92 or emergency language will be repealed by operation of law on the following day.
3. Amendment of subsection (a) and Note and repealer and adoption of subsection (f) refiled 4-27-92 as an emergency; operative 4-28-92 (Register 92, No. 19). A Certificate of Compliance must be transmitted to OAL 8-26-92 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 4-27-92 order transmitted to OAL 7-16-92 and filed 8-25-92 (Register 92, No. 35).
5. Repealer and new section filed 9-1-2004; operative 10-1-2004 (Register 2004, No. 36).
§9836. Administrative Review of Licensing Actions.
Note     •     History

(a) Applicants for licensure and licensees may appeal a notice of licensing actions by forwarding a written request for review to the Director, Department of Alcohol and Drug Programs, 1700 K Street, Sacramento, CA 95811. As used in this regulation, “licensing action” means denial of an application, denial of a request for renewal of licensure, denial of a request to open a satellite location, assessment of a civil penalty, or suspension or revocation of licensure. 
(b) The written request for review shall be postmarked within 15 working days of receipt of the written notice of licensing action. The written request for review shall: 
(1) Identify the statute(s) or regulation(s) at issue and the legal basis for the licensee's appeal; 
(2) State the facts supporting the licensee's position; and 
(3) State whether the applicant for licensure or licensee waives an informal conference and prefers to proceed directly with an administrative hearing pursuant to Chapter 5 (commencing with Section 11500) of Part 1, Division 3, Title 2 of the Government Code. 
(c) Failure to submit the written request for review, pursuant to Subsection (b) of this regulation, shall be deemed a waiver of administrative review and the action shall be deemed final. 
(d) The Director or the Director's designee shall schedule an informal conference with the licensee, unless the Director or the Director's designee and the licensee agree to settle the matter based upon the information submitted with the request for review. The informal conference shall be scheduled within 15 working days and held within 45 working days of receipt of the request for review. 
(e) Failure to schedule the informal conference within 15 working days or hold the informal conference within 45 working days of the receipt of the request shall be deemed a withdrawal of the licensing action by the Department unless the licensee: 
(1) Fails to attend the conference as scheduled, in which case the appeal shall be considered withdrawn and the action shall be deemed final;
(2) Waives the 15 or 45 working day requirement; or 
(3) Waives informal conference. 
(f) The licensee shall have the following rights at the informal conference: 
(1) The right to be represented by legal counsel. 
(2) The right to present oral and written evidence. 
(3) The right to explain any mitigating circumstances. 
(g) The representatives of the Department who issued the notice of licensing action shall attend the informal conference and present evidence and information, oral or written, in substantiation of the alleged violation. 
(h) The conference shall be conducted as an informal proceeding, and shall not be conducted in the manner of a judicial hearing under the Administrative Procedure Act [Chapter 5 (commencing with Section 11500), Part 1, Division 3, Title 2 of the Government Code], and need not be conducted according to the technical rules relating to evidence and witnesses. 
(i) Neither the licensee nor the Department shall have the right to subpoena any witness to attend the informal conference. However, both the licensee and the Department may present any witness to present evidence and information on its behalf at the conference. 
(j) The proceedings at the informal conference may be recorded by either party on audio tape. 
(k) The decision to affirm, modify, or dismiss the notice of licensing action shall be mailed by the Director or the Director's designee to the licensee, postmarked no later than 10 working days from the date of the informal conference. The decision shall state with particularity the reason for affirming, modifying, or dismissing the notice of licensing action. A copy of the decision shall be transmitted to each party of the appeal. 
(l) If the licensing action, discussed at the informal conference, was assessed for failure to correct a Class A violation, the decision made at the informal conference shall be deemed final and not subject to further review. 
(m) If the licensing action is not a Class A violation the decision from the informal conference shall include a statement from the Director or the Director's designee notifying the licensee of the right of further administrative appeal to the decision made at the informal conference. A hearing may be requested in accordance with Chapter 5 (commencing with Section 11500) Part 1, Division 3, Title 2 of the Government Code. 
(1) The licensee may appeal the decision made at the informal conference or waive the informal conference and proceed directly to administrative hearing by submitting a written request to the Director of the Department of Alcohol and Drug Programs, 1700 K Street, Sacramento, CA 95811, postmarked no later than 15 working days from the date of receipt by the applicant for licensure or licensee of the informal conference decision or the notice of licensing action, as appropriate. Upon receipt of the request for appeal, the Department shall initiate administrative review and request that the matter be set for hearing. The Department shall notify the licensee of the time and place of the hearing. 
(2) Failure of the licensee to timely submit the written request for an administrative hearing shall be deemed a waiver of further administrative review and the decision of the Director or the Director's designee shall be deemed the final decision of the Department. 
(3) In the event the licensee appeals the Department's proposed assessment of civil penalties, collection of the civil penalties shall be subject to the outcome of the final administrative appeal. 
(4) A licensing action shall be deemed final if: 
(A) The licensee fails to appeal the licensing action in a timely manner, pursuant to Subsections (c) and (m)(2) of this regulation; or 
(B) A final determination is made in accordance with this regulation or, if applicable, with Section 11517 of the Government Code. 
(5) After deemed final, the civil penalty shall be paid to the Department within 60 days of receipt of the notice of final adjudication. Failure to pay the civil penalty within 60 days of receipt of the notice of final adjudication shall result in automatic termination of the license. 
NOTE

Authority cited: Sections 11755, 11834.50 and 11835, Health and Safety Code. Reference: Sections 11834.34, 11834.36, 11834.37, 11834.45 and 11834.50, Health and Safety Code; and Chapter 5 (commencing with Section 11500), Part 1, Division 3, of Title 2, Government Code. 
HISTORY

1. Change without regulatory effect renumbering and amending former section 9836 to section 9852 and former section 9814 to section 9836 filed 4-15-91 pursuant to section 100, title 1, California Code of Regulations (Register 91, No. 20). For prior history, see Register 82, No. 47.
2. Repealer and new section filed 9-1-2004; operative 10-1-2004 (Register 2004, No. 36).
3. Amendment of subsections (a), (b), (b)(3), (d)-(e)(2), (m)(1) and (m)(5) filed 3-22-2012; operative 4-21-2012 (Register 2012, No. 12).
Article 7. Contingency Service Plan
§9838. Contingency Service Plan.
Note     •     History

(a) The county alcohol and drug program administrator shall notify the Department by certified mail within seven days if a DUI program is unable to provide services to program participants. The county alcohol and drug program administrator shall provide the Department with an interim plan for continuing services for participants and for supervising such participants.
(b) Emergency service providers shall not accept new enrollments until they have become licensed by the Department pursuant to the provisions of this chapter.
(c) The Department shall approve emergency services for no longer than six months from the date approval was granted. 
NOTE

Authority cited: Sections 11755 and 11836.15, Health and Safety Code. Reference: Sections 11837.2, 11837.4, 11837.5 and 11837.6, Health and Safety Code; and Section 13352.5, Vehicle Code.
HISTORY

1. Change without regulatory effect renumbering and amending former section 9838 to section 9854 and former section 9810 to section 9838 filed 4-15-91 pursuant to section 100, title 1, California Code of Regulations (Register 91, No. 20). For prior history, see Register 82, No. 47.
2. Amendment of subsection (a) filed 3-22-2012; operative 4-21-2012 (Register 2012, No. 12).
Subchapter 3. Program Standards
Article 1. General Standards
§9840. Individual Counseling. [Renumbered]
Note     •     History

NOTE

Authority cited: Section 11836, Health and Safety Code. Reference: Section 11837.4, Health and Safety Code.
HISTORY

1. Change without regulatory effect renumbering and amending former section 9840 to section 9856 filed 4-15-91 pursuant to section 100, title 1, California Code of Regulations (Register 91, No. 20). For prior history, see Register 82, No. 47.
§9842. Additional Program Service Requirements. [Renumbered]
Note     •     History

NOTE

Authority cited: Section 11836, Health and Safety Code. Reference: Section 11837.4, Health and Safety Code.
HISTORY

1. Change without regulatory effect renumbering and amending former section 9842 to section 9860 filed 4-15-91 pursuant to section 100, title 1, California Code of Regulations (Register 91, No. 20). For prior history, see Register 82, No. 47.
§9844. Ancillary Services. [Renumbered]
Note     •     History

NOTE

Authority cited: Section 11836, Health and Safety Code. Reference: Section 11837.4, Health and Safety Code.
HISTORY

1. Change without regulatory effect renumbering and amending former section 9844 to section 9862 filed 4-15-91 pursuant to section 100, title 1, California Code of Regulations (Register 91, No. 20). For prior history, see Register 82, No. 47.
§9846. Staff Qualifications and Function.
Note     •     History

(a) The DUI program administrator shall have the following minimum experience and/or education:
(1) Two years of experience providing alcohol and/or other drug treatment or recovery services;
(2) One year of experience supervising personnel; and
(3) One year of experience managing an accounting system, or preparing or directing the preparation of budgets or cost reports. Satisfactory completion of two college-level courses in accounting may be substituted for the one year of experience required in this subsection. As used in this regulation, “satisfactory completion” means attainment of a grade of “C” or better.
(b) DUI program staff who conduct:
Educational sessions shall have a minimum of two years of experience in providing alcohol and/or drug education and information to persons with alcohol and/or other drug problems in a classroom setting or meet the staff qualifications required in Section 9846(c) or Section 9846(f).
(c) All DUI program staff who provide counseling services (as defined in Section 13005(a)(4)) shall be licensed, certified, or registered to obtain certification pursuant to Chapter 8 (commencing with Section 13000) or meet the qualifications required in subdivision (f). 
(d) DUI program staff who provide counseling services (as defined in Section 13005(a)(4)) shall comply with the code of conduct, pursuant to Section 13060, developed by the organization by which they were certified or registered. 
(e) Volunteers may assist in conducting educational sessions, group counseling sessions, intake interviews, face-to-face interviews, or assessments of alcohol and/or other drug problems.
(1) Volunteers assisting in the provision of educational sessions shall be under the direct supervision of a staff member who meets the requirements of Subsections (b) and (c) of this regulation. Volunteers assisting in the provision of counseling services shall be under the direct supervision of a certified counselor and shall adhere to the code of conduct specified in Section 13060. 
(2) Volunteers shall not provide services unless the supervising staff member is present in the room during the provision of services.
(f) The DUI program may employ interns to conduct counseling or educational sessions. As used in this regulation, an “intern” is an entry level, paid staff member who does not have a minimum of 2,080 hours of experience in providing educational or counseling services to persons with alcohol and/or other drug problems. Prior to employing interns, the DUI program shall provide the Department with a description of its intern program, which shall comply with the following requirements:
(1) Interns may not comprise more than 20 percent of the DUI program's counseling staff.
(2) The DUI program shall designate a staff member who is licensed or certified pursuant to Chapter 8 (commencing with Section 13000) as the coordinator of its intern program.
(3) Prior to conducting services without direct supervision, each intern shall observe at least three hours of face-to-face interviews, 12 hours of educational classes conducted by staff who meet the requirements of Subsection (b) of this regulation, and 20 hours of group counseling sessions conducted by a certified counselor. The DUI program shall document the sessions in the intern's personnel record.
(4) The intern coordinator shall provide individual progress reviews with each intern on a weekly basis as long as the intern is employed as an intern or until the intern meets the requirements of subdivisions (b) and (c). The DUI program shall document individual progress reviews in the intern's personnel record.
(5) Administration and associated costs of interns may be allocated over as many alcohol and drug treatment programs within a given agency as use interns, proportionate to the number of interns used by each program.
(g) As used in this regulation, “a year of experience” means 2,080 total hours of full or part time, compensated or uncompensated, work experience.
(h) The DUI program shall maintain personnel records for all staff, including DUI program administrators, containing:
(1) Name, address, telephone number, position, duties, and date of employment; 
(2) Resumes, applications, and/or transcripts documenting work experience and education used to meet the requirements of this regulation; and
(3) Personnel records for staff who provide counseling services (as defined in Section 13005) shall also contain: 
(A) Written documentation of licensure, certification, or registration to obtain certification pursuant to Chapter 8 (commencing with Section 13000); and 
(B) A copy of the code of conduct of the registrant's or certified AOD counselor's certifying organization pursuant to Section 13060. 
NOTE

Authority cited: Sections 11755 and 11836.15, Health and Safety Code. Reference: Section 11836.15, Health and Safety Code.
HISTORY

1. Change without regulatory effect renumbering and amending former section 9846 to section 9878 and former section 9820 to section 9846 filed 4-15-91 pursuant to section 100, title 1, California Code of Regulations (Register 91, No. 20). For prior history, see Register 82, No. 47.
2. Amendment filed 11-18-91 as an emergency; operative 1-1-92 (Register 92, No. 8). A Certificate of Compliance must be transmitted to OAL 4-29-92 or emergency language will be repealed by operation of law on the following day.
3. Amendment refiled 4-27-92 as an emergency; operative 4-28-92 (Register 92, No. 19). A Certificate of Compliance must be transmitted to OAL 8-26-92 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 4-27-92 order transmitted to OAL 7-16-92 and filed 8-25-92 (Register 92, No. 35).
5. Amendment of section and Note filed 6-7-93; operative 7-7-93 (Register 93, No. 24).
6. Amendment filed 7-31-2002; operative 8-30-2002 (Register 2002, No. 31).
7. Amendment filed 3-25-2005; operative 4-1-2005 pursuant to Government Code section 11343.4 (Register 2005, No. 12). 
8. Amendment filed 3-22-2012; operative 4-21-2012 (Register 2012, No. 12).
§9847. Commencement of Drinking Driver Program Services. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 11755 and 11836.15, Health and Safety Code. Reference: Section 11836.15, Health and Safety Code.
HISTORY

1. Change without regulatory effect renumbering and amending former section 9822(b) to section 9847 filed 4-15-91 pursuant to section 100, title 1, California Code of Regulations (Register 91, No. 20). For prior history, see Register 82, No. 47.
2. Repealer filed 6-7-93; operative 7-7-93 (Register 93, No. 24).
§9848. Participant Enrollment.
Note     •     History

(a) The DUI program may enroll any person who presents documentation from the court or the Department of Motor Vehicles verifying his/her arrest or conviction for one of the DUI violations specified in Health and Safety Code Section 11836 (a). Such documentation shall indicate whether the offense is a first, second or third DUI violation. 
(b) The DUI program may enroll and provide services to persons referred from another state for conviction of a DUI offense. The person must provide documentation from the state making the referral, indicating the requirement to attend and either the number of hours of program services or the program type required. 
(c) The DUI program may accept a participant for enrollment after the date specified by the court, provided that the DUI program notifies the court of the enrollment through an established court referral and tracking system.
(d) Before a potential participant receives services from a DUI program, the DUI program shall conduct an intake interview and enroll the participant in the program.
(1) DUI program counseling staff, who meet the requirements of Section 9846(c) and Section 9846(d) shall complete the intake interview, which shall consist of: 
(A) A discussion of goals and objectives for participation in the program, including abstinence from the use of alcohol and/or illicit drugs as a goal during the duration of participation in the program. 
(B) Providing the participant with materials which describe how abstinence contributes to a healthy lifestyle. 
(C) Explaining the counseling, education, and face-to-face interview requirements; attendance requirements; procedures for requesting a leave of absence; and reasons for dismissal from the program. 
(D) Completing a participant contract listing the services to be provided, program rules, grievance procedures, program fees, additional fees, payment schedule and reasons for dismissal from the program, as stated in Section 9886. The contract shall include a statement that the participant may request the DUI program to conduct a financial assessment to determine the participant's ability to pay the program fee. The counselor shall: 
1. Explain and date the contract; 
2. Sign the contract and require the participant to sign the contract; and 
3. Give a copy of the signed, dated contract to the participant and retain a copy in the participant's record. 
(2) DUI program staff shall enroll the participant by: 
(A) Completing administrative forms required by the DUI program, the Department, county, and Department of Motor Vehicles;
(B) Scheduling program services; and 
(C ) Providing the participant with a written list of the date, time, and location of program activities the participant is scheduled to attend. 
(e) The DUI program shall provide the contract, and all documents that require participant signature in all languages in which the DUI program provides services. 
(f) The DUI program shall begin providing services (i.e. face-to-face interviews, educational sessions, and group counseling sessions) within 21 days of the date that it enrolls a participant.
NOTE

Authority cited: Sections 11755 and 11836.15, Health and Safety Code. Reference: Sections 11836.15 and 11837.4, Health and Safety Code; and Section 23538, Vehicle Code. 
HISTORY

1. Change without regulatory effect renumbering and amending former section 9826 to section 9848 filed 4-15-91 pursuant to section 100, title 1, California Code of Regulations (Register 91, No. 20). For prior history, see Register 82, No. 47.
2. Amendment filed 11-18-91 as an emergency; operative 1-1-92 (Register 92, No. 8). A Certificate of Compliance must be transmitted to OAL 4-29-92 or emergency language will be repealed by operation of law on the following day.
3. Amendment refiled 4-27-92 as an emergency; operative 4-28-92 (Register 92, No. 19). A Certificate of Compliance must be transmitted to OAL 8-26-92 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 4-27-92 order including amendment of subsection (b) transmitted to OAL 7-16-92 and filed 8-25-92 (Register 92, No. 35).
5. Amendment of section heading, text and Note filed 6-7-93; operative 7-7-93 (Register 93, No. 24).
6. Amendment filed 9-22-95; operative 10-22-95 (Register 95, No. 38).
7. New subsections (a)-(b) and (g), subsection relettering and amendment of newly designated subsection (d) filed 12-6-2004; operative 1-5-2005 (Register 2004, No. 50).
8. Amendment of section and Note filed 3-22-2012; operative 4-21-2012 (Register 2012, No. 12).
§9849. Assessment of Participant's Alcohol or Drug Problem.
Note     •     History

(a) Within the first 60 days of participation, the DUI program shall complete an assessment of each participant's alcohol or drug use. The assessment shall address patterns and history of alcohol and other drug use, addiction treatment history, gender, age, work status, family substance abuse history, legal history, and current health status. 
(b) Alcohol and drug assessments shall be conducted by DUI program counselors who meet the staff qualification standards listed in Section 9846(c).
(c) The counselor conducting the assessment shall discuss the results of the alcohol or drug assessment with the participant.
(d) As part of the assessment, the counselor shall recommend any ancillary services he/she thinks would be potentially beneficial to the participant. Ancillary services recommended should be appropriate to the individual participant and available nearby. The counselor shall record the results of the participant's alcohol or drug assessment, the follow up discussion, and the recommendations for ancillary services in the participant's case record. The referral process for ancillary services must be in accordance with Section 9862. 
(e) The participant and the counselor shall sign and date the results of the assessment and follow up discussion.
NOTE

Authority cited: Section 11836.15, Health and Safety Code; and Section 23538, Vehicle Code. Reference: Section 11836.15, Health and Safety Code.
HISTORY

1. New section filed 11-18-91 as an emergency; operative 1-1-92 (Register 92, No. 8). A Certificate of Compliance must be transmitted to OAL 4-29-92 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 4-27-92 as an emergency; operative 4-28-92 (Register 92, No. 19). A Certificate of Compliance must be transmitted to OAL 8-26-92 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 4-27-92 order including amendment of subsection (b) transmitted to OAL 7-16-92 and filed 8-25-92 (Register 92, No. 35).
4. Amendment of section and Note filed 3-22-2012; operative 4-21-2012 (Register 2012, No. 12).
§9851. Program Services To Be Provided.
Note     •     History

(a) The DUI program shall require a participant enrolled in a program pursuant to Vehicle Code Section 23103.5(e) or 23140 to complete 12 hours of educational sessions, provided in accordance with Section 9852.
(b) The DUI program shall require a participant enrolled in a three-month first offender program to complete the following:
(1) Twelve hours of educational sessions, provided in accordance with Section 9852.
(2) Ten hours of group counseling sessions, provided in accordance with Section 9854.
(3) Eight additional hours of program services, consisting of educational sessions, group counseling sessions, or a combination of the two, at the option of the DUI program and as approved by the county alcohol and drug program administrator.
(4) A minimum of three face-to-face interviews, provided in accordance with Section 9858. The DUI program shall conduct the initial face-to-face interview within 21 days of enrollment, and the second face-to-face interview at the mid-point of the program. The final face-to-face interview shall serve as the exit interview. At the DUI program's option, more than three face-to-face interviews may be provided so long as the participant is not charged for the additional face-to-face interviews.
(5) Any additional county requirements approved in accordance with Section 9860.
(c) The DUI program shall require a first offender with court-ordered duration of participation to participate in the program for six months or longer as ordered by the court. During that time the DUI program shall require the participant to complete the following:
(1) A minimum of 12 hours of educational sessions, provided in accordance with Section 9852.
(2) A minimum of 28 hours of group counseling sessions, provided in accordance with Section 9854.
(3) A minimum of four face-to-face interviews, provided in accordance with Section 9858. The DUI program shall conduct the initial face-to-face interview within 21 days of enrollment. The DUI program shall conduct one face-to-face interview at the end of the second month, and one at the end of the fourth month. The final face-to-face interview shall serve as the exit interview.
(4) Four additional hours of program services, consisting of educational sessions, group counseling sessions, face-to-face interviews or a combination of the three, at the option of the DUI program and as approved by the county alcohol and drug program administrator.
(5) Any additional county requirements approved in accordance with Section 9860.
(d) The DUI program shall require a first offender with court-ordered duration of participation to participate in the program for nine months or longer as ordered by the court. During that time the DUI program shall require the participant to complete the following:
(1) A minimum of 12 hours of educational sessions provided in accordance with Section 9852.
(2) A minimum of 44 hours of group counseling sessions provided in accordance with Section 9854. 
(3) A minimum of five face-to-face interviews provided in accordance with Section 9858. The DUI program shall conduct the first face-to-face interview within 21 days of the enrollment and one interview every other month thereafter. The DUI program shall conduct the final face-to-face interview as an exit interview at the end of the program. 
(4) Four additional hours of program services, consisting of educational sessions, group counseling sessions, face-to-face interviews or a combination of the three as approved by the county alcohol and drug program administrator. 
(5) Any additional requirements approved in accordance with Section 9860. 
(e) The DUI program shall require a participant enrolled in an 18-month multiple offender program to complete the following:
(1) During the first 12 months of participation in a 18-month program, the DUI program shall require the participant to complete a core program consisting of:
(A) Twelve hours of alcohol and other drug related educational sessions in accordance with Section 9852.
(B) Fifty-two hours of group counseling sessions in accordance with Section 9854.
(C) One face-to-face interview every other week from the initial date of enrollment until completion of the educational and group counseling sessions required in (e)(1)(A) and (B) immediately above. In either instance, the DUI program shall require each participant to attend a minimum of 24 face to face interviews. Face-to-face interviews shall be provided in accordance with Section 9858. If the participant takes longer than 12 months to complete the educational and group counseling sessions required in (e)(1)(A) and (B) immediately above, the DUI program may charge for any additional face-to-face interviews provided based on the approved unit of service fee for face-to-face interviews.
(D) Any additional county requirements approved pursuant to Section 9860.
(2) During the last six months of participation in an 18-month program, the DUI program shall require the participant to complete a community re-entry phase, consisting of participation in self-help groups, employment, family, and other areas of self-improvement.
(A) The DUI program shall monitor the participant's progress during the community re-entry phase.
(B) The DUI program shall provide no more than six hours of monitoring.
(C) The DUI program shall not allow the participant to begin the community re-entry phase until the participant has completed the core program requirements specified in (e)(1) of this regulation.
(f) The DUI program shall require a participant enrolled in a 30-month multiple offender program to complete the following:
(1) During the first 18 months of participation in a 30-month program, the DUI program shall require the participant to complete a core program consisting of:
(A) A minimum of 12 hours of educational sessions, provided in accordance with Section 9852.
(B) A minimum of 78 hours of group counseling sessions, provided in accordance with Section 9854.
(C) One face-to-face interview provided every other week from the initial date of enrollment until completion of the educational and group counseling sessions specified in (f)(1)(A) and (B) immediately above. In either instance, the DUI program shall require each participant to attend a minimum of 39 face to face interviews. Face-to-face interviews shall be conducted in accordance with Section 9858. The DUI program may charge for additional face-to-face interviews based on the approved unit of service fee for face-to-face interviews.
(D) A compendium of evidence, on a tri-monthly basis, of performance of voluntary community service for one-half of the time served (not less than 120 hours and not more than 300 hours, as determined by the court) demonstrating: 
1. The prevention of driving-under-the-influence, promotion of safe driving, and responsible attitude toward the use of chemicals of any kind. 
2. Significant improvement in occupational performance (including efforts to obtain gainful employment), physical and mental health, family relations, and financial affairs and economic stability. 
(E) Any additional county requirements approved pursuant to Section 9860.
(2) During the last 12 months of participation in a 30-month program, the DUI program shall require the participant to maintain a compendium of evidence of performance of voluntary community service for one-half of the time served, on a tri-monthly basis, demonstrating: 
(A) The prevention of driving-under-the-influence, promotion of safe driving, and responsible attitude toward the use of chemicals of any kind; 
(B) Significant improvement in occupational performance (including efforts to obtain gainful employment), physical and mental health, family relations, and financial affairs and economic stability. 
(C) The DUI program shall, unless prohibited by the court, make provisions for a participant to voluntarily enter a licensed chemical dependency recovery hospital or residential treatment program, licensed by the State of California, and to receive three weeks of program participation credit for each week of treatment not to exceed 12 weeks of credit, but only if the treatment is at least two weeks in duration. The DUI program shall document evidence of the treatment in the participant's record. 
NOTE

Authority cited: Section 11836.15, Health and Safety Code. Reference: Sections 11836.15, 11837 and 11837.4, Health and Safety Code.
HISTORY

1. New section filed 7-31-2002; operative 8-30-2002 (Register 2002, No. 31).
2. Amendment filed 3-22-2012; operative 4-21-2012 (Register 2012, No. 12).
§9852. Educational Sessions.
Note     •     History

(a) Educational sessions shall be no less than one hour and no more than two hours in length. Time allowed for breaks shall not be counted toward meeting the number of hours for educational sessions in accordance with Section 9851.
(b) DUI program staff who conduct educational sessions shall meet the staff qualifications required in Section 9846(b).
(c) Educational sessions shall be informational in content and instructional in manner of presentation. Educational sessions may consist of lectures, seminars, films, audio tapes, written exercises, or any combination thereof. Educational sessions shall include information regarding the following topics:
(1) The use and effects of alcohol and other drugs.
(2) The nature of addiction to alcohol and other drugs.
(3) Impairment of driving abilities, skills, and judgment caused by consumption of alcohol or other drugs.
(4) Alternatives to the abuse of alcohol and the use of illicit drugs, including discussion of how abstinence, additional county requirements, ancillary services, and participation in self-help groups, assist the participant to recognize the effects of chemical dependency and understand the recovery process.
(5) The effects of alcohol or other drug use on the individual, the family, and society.
(d) The DUI program shall encourage participant discussion during educational sessions.
(e) A participant shall not attend more than one educational session per calendar day.
(f) The DUI program shall limit attendance at educational sessions to a maximum of 35 program participants.
(g) The instructor must be present during the entire educational session. 
(h) A DUI program licensed as an 18- or 30-month program shall not allow an outside person, except an interpreter, family member, or significant other of a participant to attend educational sessions conducted for a participant. If the DUI program allows a family member or significant other of a participant to attend educational sessions, all of the following conditions shall apply:
(1) Each family member or significant other shall attend educational sessions only on a voluntary basis. A signed copy of the agreement confirming voluntary attendance by the family member or significant other shall be maintained in the appropriate participant record.
(2) The DUI program shall provide participant's family member or significant other, who attend educational sessions, with a copy of the program rules (including maintaining confidentiality) and shall inform the participant's family member and significant other, in writing, that they may be prohibited from attending future educational sessions if they fail to comply with program rules. The DUI program shall retain in the participant's record a copy of the program rules and the consequences of noncompliance, signed by the family member or significant other.
(3) Attendance by a family member or significant other shall not result in an increased cost to the participant. The DUI program may charge fees to the family member or significant other for attending educational sessions.
(i) The DUI program shall require each participant to sign a roster at each educational session in order to verify attendance. The DUI program shall maintain attendance rosters for each educational session. The attendance roster for each educational session shall list the following information:
(1) Date of the session,
(2) Starting and ending time,
(3) Topics presented or session number,
(4) Printed and signed names of participants in attendance, and
(5) Signature of the program staff who conducted the session.
(j) The DUI program shall document attendance at educational sessions in each participant's case record.
(k) No credit shall be given for attendance unless the participant attended the entire educational session as scheduled.
NOTE

Authority cited: Sections 11755 and 11836.15, Health and Safety Code. Reference: Sections 11836.15 and 11837.4, Health and Safety Code. 
HISTORY

1. Change without regulatory effect renumbering and amending former section 9836 to section 9852 filed 4-15-91 pursuant to section 100, title 1, California Code of Regulations (Register 91, No. 20). For prior history, see Register 82, No. 47.
2. Repealer of subsections (a)-(d) and adoption of subsections (a)-(i) and amendment of newly designated (j) and Note filed 11-18-91 as an emergency; operative 1-1-92 (Register 92, No. 8). A Certificate of Compliance must be transmitted to OAL 4-29-92 or emergency language will be repealed by operation of law on the following day.
3. Repealer of subsections (a)-(d) and adoption of subsections (a)-(i) and amendment of newly designated (j) and Note refiled 4-27-92 as an emergency; operative 4-28-92 (Register 92, No. 19). A Certificate of Compliance must be transmitted to OAL 8-26-92 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 4-27-92 order including amendment of subsections (b) and (h) transmitted to OAL 7-16-92 and filed 8-25-92 (Register 92, No. 35).
5. Amendment of subsections (a), (c)(4), (g) and (i), repealer of subsection (j) and amendment of Note filed 9-22-95; operative 10-22-95 (Register 95, No. 38).
6. Amendment of subsections (a) and (d), repealer of subsections (h)-(i) and new subsections (h)-(j) filed 3-23-2000; operative 4-22-2000 (Register 2000, No. 12).
7. Amendment filed 7-31-2002; operative 8-30-2002 (Register 2002, No. 31).
8. Amendment of section and Note filed 3-22-2012; operative 4-21-2012 (Register 2012, No. 12).
§9854. Group Counseling Sessions.
Note     •     History

(a) Group counseling sessions shall be no less than one hour and no more than two hours in length.
(1) The DUI program may substitute one hour of individual counseling sessions for every two hours of group counseling sessions if the participant is unable to participate in or benefit from group counseling sessions because of a language barrier, an emotional problem, or other difficulty.
(2) Time allowed for breaks shall not be counted as part of the minimum time required for group counseling in Section 9851.
(b) Group counseling sessions shall be conducted by DUI program counselors in a manner that:
(1) Encourages the participants to talk and share ideas and information in order to identify and resolve alcohol or drug related problems;
(2) Provides an opportunity for participants to examine their own personal attitudes and behavior; and 
(3) Provides support for positive changes in life style to facilitate reduction or elimination of alcohol or drug problems.
(c) Group counseling sessions may emphasize a specific topic or may be less structured in nature.
(d) The DUI program shall not use films or lectures to meet the number of hours of group counseling sessions required in section 9851.
(e) The licensee of a first offender program shall not allow an outside person, except an interpreter, to participate in group counseling sessions conducted for participants.
(f) A DUI program licensed as an 18-month or 30-month program shall not allow an outside person, except an interpreter, a participant's family member, or a significant other to attend group counseling sessions conducted for the participant. If the DUI program allows a participant's family member and significant other to attend group counseling sessions, the following shall apply:
(1) Each family member or significant other shall attend group counseling sessions only on a voluntary basis. A signed copy of the agreement confirming voluntary attendance by a family member or significant other shall be maintained in the respective appropriate participant's record.
(2) The family member or significant other who attend group counseling sessions shall be at least 18 years old.
(3) The DUI program shall provide a participant's family member or significant other, who attend group counseling sessions, with a copy of the program rules (including maintaining confidentiality) and shall inform the family member or significant other, in writing, of the consequences of failure to comply with program rules. The DUI program shall retain in the participant's record a copy of the program rules and the consequences of noncompliance, signed by the family member or significant other.
(4) Attendance by a family member or significant other shall not result in an increased cost to the participant. The DUI program may charge fees to the family member or significant other for attending group counseling sessions.
(g) Except as noted in (1) and (2) below, group counseling sessions shall be limited to 15 persons, including participants, their family members, and significant others.
(1) On an emergency basis, as defined in (2) below, 17 participants may be included in group counseling sessions. The DUI program shall not include more than 17 participants per group counseling session for any reason.
(2) As used in this Subsection, “emergency” means a sudden, unexpected occurrence or set of circumstances which could not have been avoided, prevented, or planned for by either the DUI program or the participant.
(3) Whenever a participant is added to a group counseling session on an emergency basis, the DUI program shall document the nature of the emergency in the participant's case record and on the attendance roster.
(h) DUI programs may be innovative in developing additional group counseling sessions (e.g., involving family and significant others) beyond the minimum requirements contained in this section.
(i) The DUI program shall require each participant to sign a roster at each group counseling session in order to verify attendance. The DUI program shall maintain attendance rosters for all group counseling sessions. The attendance roster for each group counseling session shall list the following information:
(1) Date of the session,
(2) Starting and ending time,
(3) Topics discussed or session number,
(4) Written exercise to be conducted, if any, the purpose and desired outcome, and the amount of time allocated for participants to complete the exercise.
(5) Printed and signed names of participants in attendance, and
(6) Signature of the program staff who conducted the session.
(j) The DUI program shall document attendance and participation at group counseling sessions in each participant record.
(k) No credit shall be given for attendance unless the participant attended the entire group counseling session as scheduled.
NOTE

Authority cited: Section 11836.15, Health and Safety Code; and Section 23538, Vehicle Code. Reference: Sections 11836.15, 11837 and 11837.4, Health and Safety Code. 
HISTORY

1. Change without regulatory effect renumbering and amending former section 9838 to section 9854 filed 4-15-91 pursuant to section 100, title 1, California Code of Regulations (Register 91, No. 20). For prior history, see Register 82, No. 47.
2. Amendment filed 11-18-91 as an emergency; operative 1-1-92 (Register 92, No. 8). A Certificate of Compliance must be transmitted to OAL 4-29-92 or emergency language will be repealed by operation of law on the following day.
3. Amendment refiled 4-27-92 as an emergency; operative 4-28-92 (Register 92, No. 19). A Certificate of Compliance must be transmitted to OAL 8-26-92 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 4-27-92 order including amendment of subsection (f) transmitted to OAL 7-16-92 and filed 8-25-92 (Register 92, No. 35).
5. Change without regulatory effect amending subsection (h) filed 10-24-95 pursuant to section 100, title 1, California Code of Regulations (Register 95, No. 43).
6. Amendment of section and Note filed 3-23-2000; operative 4-22-2000 (Register 2000, No. 12).
7. Amendment filed 7-31-2002; operative 8-30-2002 (Register 2002, No. 31).
8. Amendment of section and Note filed 3-22-2012; operative 4-21-2012 (Register 2012, No. 12).
§9856. Individual Counseling Sessions.
Note     •     History

(a) Each drinking driver program shall provide, or shall have the capability of referring to other alcohol programs, without additional charge to the participant, individual counseling services when the participant is not able to benefit from group counseling sessions (e.g., because of a language barrier or special problems which preclude group participation).
(b) One hour of individual counseling may be substituted for two hours of group counseling under these circumstances. The reasons for individual counseling shall be documented in the participant's case record.
(c) Participation and progress in individual counseling shall be documented in the participant's case record.
(d) No credit for attendance shall be given unless the participant attended the entire individual counseling session as scheduled. 
NOTE

Authority cited: Sections 11755 and 11836.15, Health and Safety Code. Reference: Sections 11836.15 and 11837.4, Health and Safety Code.
HISTORY

1. Change without regulatory effect renumbering and amending former section 9840 to section 9856 filed 4-15-91 pursuant to section 100, title 1, California Code of Regulations (Register 91, No. 20). For prior history, see Register 82, No. 47.
2. Change without regulatory effect amending section heading filed 10-24-95 pursuant to section 100, title 1, California Code of Regulations (Register 95, No. 43).
3. New subsection (d) filed 7-31-2002; operative 8-30-2002 (Register 2002, No. 31).
§9857. Additional Hours for First Offender Programs. [Repealed]
Note     •     History

NOTE

Authority cited: Section 11836.15, Health and Safety Code; and Section 23161(b), Vehicle Code. Reference: Sections 23161 and 23181, Vehicle Code. 
HISTORY

1. Change without regulatory effect renumbering and amending former section 9834 to section  9857 filed 4-15-91 pursuant to section 100, title 1, California Code of Regulations (Register 91, No. 20). For prior history, see Register 82, No. 47.
2. Repealer and adoption of section filed 11-18-91 as an emergency; operative 1-1-92 (Register 92, No. 8). A Certificate of Compliance must be transmitted to OAL 4-29-92 or emergency language will be repealed by operation of law on the following day.
3. Repealer and adoption of section refiled 4-27-92 as an emergency; operative 4-28-92 (Register 92, No. 19). A Certificate of Compliance must be transmitted to OAL 8-26-92 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 4-27-92 order including amendment of section heading and text transmitted to OAL 7-16-92 and filed 8-25-92 (Register 92, No. 35).
5. Repealer filed 7-31-2002; operative 8-30-2002 (Register 2002, No. 31).
§9858. Face--to--Face Interviews.
Note     •     History

(a) Each DUI program shall conduct private, face--to--face interviews with each participant to:
(1) Monitor payment of fees;
(2) Discuss and encourage participant attendance in educational sessions and counseling sessions;
(3) Discuss and identify problems which may be barriers to program completion, including progress in group and other counseling sessions; and
(4) Evaluate the participant's need for referral to ancillary services.
(b) Face--to--face interviews shall be at least 15 minutes in length and shall be longer whenever the interviewer or the participant determines that additional time is needed.
(c) The DUI program shall conduct face--to--face interviews on a regularly scheduled basis, rather than on a drop--in basis.
(1) For three month first offender programs, face-to-face interviews shall be conducted pursuant to Section 9851(b)(4).
(2) For six-month programs for first offenders with court ordered duration of participation, face-to-face interviews shall be conducted pursuant to Section 9851(c)(3).
(3) For nine-month programs for first offenders with court ordered duration of participation, face-to-face interviews shall be conducted pursuant to subdivision 9851(d)(3). 
(4) For 18-month multiple offender programs, the required number of face-to-face interviews, including make-ups, shall be conducted for the first 12 months or until completion of the core program requirements pursuant to subdivision 9851(e)(1)(C).
(5) For 30-month multiple offender programs, the required face-to-face interviews, including make-ups, shall be conducted for the first 18 months or until completion of the core program requirements pursuant to subdivision 9851(f)(1)(C).
(d) Whenever possible, face--to--face interviews shall be conducted by the same interviewer for the duration of the program.
(e) The interviewer shall document the following information in each participant's record: 
(1) The date, time, and length of each face-to-face interview.
(2) The counselor's assessment of the participant's progress regarding participation in program activities and any increased awareness in understanding his/her alcohol and/or drug related problems. For DUI programs that require participants to document their own progress at the end of group sessions, the DUI program shall ensure that program staff review and provide feedback to the participant.
(f) No credit for attendance shall be given unless the participant attended the entire face-to-face interview as scheduled.
(g) The DUI program may only charge for additional face-to-face interviews as provided in Section 9851. Charges for additional face-to-face interviews shall be based on the approved unit of service fee for face-to-face interviews determined in accordance with Section 9878. 
NOTE

Authority cited: Section 11836.15, Health and Safety Code; and Section 23538, Vehicle Code. Reference: Sections 11836.15, 11837.4 and 11837.9, Health and Safety Code.
HISTORY

1. New section filed 11-18-91 as an emergency; operative 1-1-92 (Register 92, No. 8). A Certificate of Compliance must be transmitted to OAL 4-29-92 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 4-27-92 as an emergency; operative 4-28-92 (Register 92, No. 19). A Certificate of Compliance must be transmitted to OAL 8-26-92 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 4-27-92 order including amendment of section heading and text transmitted to OAL 7-16-92 and filed 8-25-92 (Register 92, No. 35).
4. Editorial correction restoring inadvertently omitted subsection (g) and NOTE (Register 92, No. 35).
5. Amendment filed 7-31-2002; operative 8-30-2002 (Register 2002, No. 31).
6. Amendment of section and Note filed 3-22-2012; operative 4-21-2012 (Register 2012, No. 12).
§9860. Additional County Requirements.
Note     •     History

(a) The county may mandate additional requirements, beyond the scope of program services required in Article 2 (commencing with Section 9848), Subchapter 3 of this Chapter, only if the county has received prior approval to do so from the Department in accordance with this regulation. Such requirements shall be known as “additional county requirements”.
(1) To request approval for additional county requirements, the county alcohol program administrator shall submit a written request to the Driving-Under-the-Influence Program Branch, Department of Alcohol and Drug Programs, 1700 K Street, Sacramento, CA 95814-4037. The request shall specify:
(A) The additional county requirements for which approval is requested;
(B) How the licensee will notify the participant of the additional county requirements; and
(C) How the licensee will determine that the participant has complied with the additional county requirements.
(2) Within 30 days the Department shall determine that the request is complete or incomplete. Current median time for making such determination is 30 days; minimum time is 15 days; maximum time is 45 days.
(3) If the Department determines that the request is incomplete, the Department shall return the request to the county alcohol program administrator with a letter specifying what additional information is needed, in accordance with Subsection (a)(1) of this regulation. The letter shall instruct the county alcohol program administrator to return the request with the additional information.
(4) The Department shall review the request and shall approve it if the additional requirements requested by the county comply with this regulation.
(A) Within thirty (30) days from the date it receives a completed request, the Department shall send a letter to the county alcohol program administrator, notifying him/her that the request has been approved or denied. Current median time for making such determination is 30 days; minimum time is 15 days; maximum time is 45 days.
(B) If the additional county requirements requested by the county do not comply with this regulation, the Department shall deny the request. The letter shall specify the reason(s) for denial.
(b) If the county elects to mandate additional county requirements, the county shall select one or more activities from the following list of activities as the additional county requirements for all programs in the county:
(1) Attending alcohol- and other drug-related self-help group meetings.
(2) Completing alcohol- and other drug-related community service;
(3) Attending victim impact panel presentations by members of a nationally recognized organization that advocates against driving-under-the-influence;
(4) Completing institutional visits (e.g. tours of prisons, jails, hospitals, or county morgues);
(5) Maintaining a scrapbook of articles related to alcohol abuse or use of illicit drugs;
(6) Completing reports on books, videotapes, or audiotapes related to the abuse of alcohol and the use of illicit drugs; or
(7) Personal growth and development workshops related to the use of alcohol and other drugs.
(c) If the county selects participation at self-help groups as an additional county requirement, the county shall develop a list of self-help groups available for participant attendance.
(1) If the list includes sectarian groups, such as Alcoholics Anonymous or Narcotics Anonymous, the list shall also include non-sectarian groups.
(2) The county shall select an alternative activity if:
(A) The only self-help groups available in the county are sectarian in nature; or
(B) Non-sectarian groups are not available or accessible to the participant.
(d) The county shall not require the licensee to require the participant to read, watch, or listen to material about or provided by a self-help group if the participant informs the licensee that he/she disagrees with sectarian principles advocated by the self-help group. The county shall require the licensee to allow the participant to complete an alternate activity from the list of activities shown in Subsections (b)(2) through (7) of this regulation.
(e) The county shall not mandate any additional county requirements not listed in Subsection (b) of this regulation.
(f) The county shall require each licensee in the county to mandate the same additional county requirements for every participant, except as specified in Subsection (c) of this regulation.
(g) Time shall be credited as follows:
(1) On an hour for hour basis for the activities listed in Subsections (b)(1) through (b)(4) and (b)(7) of this regulation.
(2) The county shall determine the specifications for a completed scrapbook, such as number of articles to be included, number of pages, types of articles, format, and the number of hours to be credited.
(3) Four hours per book, videotape, or audiotape for the activity listed in Subsection (b)(6) of this regulation.
(h) Except as specified in Subsection (i) of this regulation, the county shall mandate no more than:
(1) 12 hours of additional county requirements for a participant of a three-month first offender program;
(2) 39 hours of additional county requirements for a participant of a six-month first offender program;
(3) 59 hours of additional county requirements for a participant of a nine-month first offender program;
(4) 78 hours of additional county requirements for a participant of a 12-month first offender program;
(5) 78 hours of additional county requirements for a participant of a 12-month multiple offender program.
(6) 117 hours of additional county requirements for a participant of an 18-month multiple offender program;
(7) 208 hours of additional county requirements for a participant of a 30-month multiple offender program.
(i) The county may increase the number of hours of additional county requirements the participant is required to complete if the participant is reinstated following dismissal from the program. Each time the participant is reinstated, the number of hours of additional county requirements may be increased by one hour per week for the remaining time the participant is enrolled in the program, so long as the participant is not required to complete a total of more than five hours of additional county requirements per week.
(j) The costs of additional county requirements (to the extent that there are any costs) shall be included in the program fee approved in accordance with Section 9878. The licensee shall not impose any additional fee for additional county requirements.
(k) The licensee shall not require the participant to complete any additional county requirements unless they have been selected by the county and approved by the Department in accordance with this regulation.
(l) The licensee shall not require the participant to complete any additional county requirements mandated before the effective date of this regulation which are inconsistent with this regulation.
(1) The county shall rescind any additional county requirements mandated prior to the effective date of this regulation which are inconsistent with this regulation.
(2) The county shall have 90 days from the effective date of this regulation to request approval for any additional county requirements which are consistent with this regulation. The county may continue to enforce additional county requirements which are consistent with this regulation until they are approved by the Department.
(3) Until the Department approves additional county requirements pursuant to this regulation:
(A) The licensee shall immediately upon the effective date of this regulation amend existing participant contracts to remove any additional county requirements mandated prior to the effective date of this regulation which are inconsistent with this regulation.
(B) The licensee shall further amend the contract to state that subsequent amendments to the contract may be required at a later date to include additional county requirements when those requirements have been approved by the Department in accordance with this regulation.
(4) New participant contracts shall contain an attachment stating that the contract may be amended at a later date to include additional county requirements when those requirements have been approved by the Department in accordance with this regulation. As used in this subsection, “new participant contracts” means contracts for participants enrolled after the effective date of this regulation, but before the Department has approved additional county requirements.
(5) When the Department has approved additional county requirements pursuant to this regulation, the licensee shall amend the participant contract to include the additional county requirements, prorated over the balance of time the participant is enrolled in the program.
(6) If the participant notifies the licensee that he/she voluntarily chooses to complete additional county requirements mandated prior to the effective date of this regulation which are inconsistent with this regulation or exceed the additional county requirements approved in accordance with this regulation, the licensee may allow the participant to do so. The licensee shall amend the participant contract to reflect the participant's decision.
NOTE

Authority cited: Sections 11755 and 11836.15, Health and Safety Code. Reference: Sections 11836.15 and 11837.4, Health and Safety Code.
HISTORY

1. Change without regulatory effect renumbering and amending former section 9842 to section 9860 filed 4-15-91 pursuant to section 100, title 1, California Code of Regulations (Register 91, No. 20). For prior history, see Register 82, No. 47.
2. Editorial correction of NOTE (Register 91, No. 30).
3. Amendment of section heading and section filed 9-22-95; operative 10-22-95 (Register 95, No. 38).
§9862. Referral to Ancillary Services.
Note     •     History

(a) The DUI program may refer participants to ancillary services, such as family counseling, residential treatment, mental health treatment and outpatient services.
(b) Such referrals shall be voluntary, and the DUI program shall document the reasons for referral in the participant's record.
(c) The cost of ancillary services shall not be part of the county administrative fee, but may be part of the funds allocated to the county by the Department pursuant to section 11818 of the Health and Safety Code.
(d) Referral to ancillary services shall not result, directly or indirectly, in increased revenues for the referring DUI program. Exceptions for good cause may be granted by the county alcohol program administrator on a case-by-case basis.
(e) Exceptions to voluntary referral to ancillary services and/or any referrals to services which require any additional fees, regardless of funding source, shall be made only on an individual basis with the approval of the county alcohol and drug program administrator. 
NOTE

Authority cited: Sections 11755 and 11836.15, Health and Safety Code. Reference: Sections 11836.15 and 11837.4, Health and Safety Code.
HISTORY

1. Change without regulatory effect renumbering and amending former section 9844 to section 9862 filed 4-15-91 pursuant to section 100, title 1, California Code of Regulations (Register 91, No. 20). For prior history, see Register 82, No. 47.
2. Amendment filed 3-22-2012; operative 4-21-2012 (Register 2012, No. 12).
Article 3. Participant Records
§9866. Organization and Maintenance of Participant Records.
Note     •     History

(a) The DUI program shall establish a participant case folder which contains all relevant material and documentation for each participant.
(b) The DUI program shall maintain participant records including completed copies of all required forms and records, for a minimum of 48 months after the:
(1) date of transfer to another DUI program; 
(2) date of dismissal from the program; or
(3) date of issuance of a Notice of Completion Certificate.
(c) The DUI program shall ensure confidentiality of participant records and information in accordance with Sections 2.1-2.67(1); Title 42, Code of Federal Regulations. A copy of those federal regulations shall be available at each DUI program and can be obtained from: Superintendant of Documents, U.S. Government Printing Office, Washington D.C. 20402.
NOTE

Authority cited: Sections 11755 and 11836.15, Health and Safety Code. Reference: Section 11836.15, 11837.1 and 11837.4, Health and Safety Code.
HISTORY

1. Change without regulatory effect renumbering and amending former section 9826(c) and (e) to section 9866 filed 4-15-91 pursuant to section 100, title 1, California Code of Regulations (Register 91, No. 20). For prior history, see Register 82, No. 47.
2. Amendment filed 3-22-2012; operative 4-21-2012 (Register 2012, No. 12).
§9867. Notice of Completion Certificates.
Note     •     History

(a) When the DUI program determines that a participant has completed all program requirements and has paid all program fees, the DUI program shall electronically submit the completion certificate to the Department of Motor Vehicles, or complete, by typewriter or by printing in ink, a Notice of Completion Certificate (Form DL 101, Revised 7/2006).
(1) The Notice of Completion Certificate shall have a unique, pre-printed number, assigned by the Department of Motor Vehicles, and shall be completed pursuant to Title 13, California Code of Regulations, Section 120.00. 
(2) The program director may sign the Notice of Completion Certificate or designate employees to sign pursuant to Section 120.00 of Title 13. 
(A) If the program director authorizes a designee to sign a Notice of Completion Certificate on his/her behalf, the DUI program shall retain in its files a copy of the written authorization. 
(B) The Notice of Completion Certificate shall not be signed until the individual signing has verified that the participant has completed all program services and paid all program fees assessed in accordance with Section 9878. 
(3) The DUI program may charge a fee for issuing a Notice of Completion Certificate. The DUI program may charge the amount established by the Department of Motor Vehicles. If there are additional costs for preparation, the DUI program may submit a request for a general program fee increase in accordance with Section 9878(c). 
(b) The DUI program may withhold the Notice of Completion Certificate in accordance with Section 9878(i) until the participant has paid in full his/her assessed program fee and any additional fees.
(c) The DUI program shall maintain a program log, typed or printed in ink, to record the receipt, issuance, and/or other disposition of each numbered Notice of Completion Certificate. At the DUI program's option this program log may be in electronic format if a certificate is issued electronically. The log shall contain, at a minimum, the information listed in subdivision (g)(5).
(d) If the DUI program makes an error while completing the Notice of Completion Certificate, the DUI program shall:
(1) Write “VOID” in large letters across all copies of the Notice of Completion Certificate;
(2) Store the voided copies of the Notice of Completion Certificate in sequential order in the program log; 
(3) Note in the program log that the Notice of Completion Certificate was voided; and
(4) Inform the Department of Motor Vehicles of the Notice of Completion Certificate numbers voided. The DUI program shall report all voided Notices of Completion Certificates to the Department of Motor Vehicles on a monthly basis. 
(e) When the DUI program receives a book of Notices of Completion Certificates that contains one or more notices that were damaged during manufacturing or shipping, the DUI program shall either void the individual damaged notices and use the remaining notices in the book, or immediately return the entire book of 50 to the Department of Motor Vehicles pursuant to Section 120.00 of Title 13.
(f) The DUI program shall destroy a voided Notice of Completion Certificate only after Department staff have reviewed the Notice of Completion Certificate during an on-site compliance review, and given written authorization for its destruction. 
(1) The method of destruction shall render the voided Notice of Completion Certificate useless.
(2) The written authorization for destruction shall contain the following information:
(A) The DUI program name and license number;
(B) The date of review;
(C) The period reviewed;
(D) The printed number of a Notice of Completion Certificate reviewed;
(E) The printed number of a voided Notice of Completion Certificate authorized for destruction;
(F) The name, title, and signature of the Department or county staff person conducting the on-site compliance review.
(G) The printed numbers of voided Notice of Completion Certificate destroyed;
(H) The date of destruction;
(I) The method of destruction; and
(J) The name, title, and signature of program director.
(3) The DUI program shall retain the written authorization for destruction with the program log for four years from the date of destruction.
(g) Within ten days after the date that a participant completes all program services and has paid his/her assessed program fee and any additional fees, the DUI program shall:
(1) Issue the original Notice of Completion Certificate in the name of the participant and immediately submit it to the Department of Motor Vehicles pursuant to Section 120.00 of Title 13. 
(2) Provide the court copy to the court of conviction (if the participant was referred by the court and the court requires a copy); 
(3) Provide the participant copy to the participant. If the DUI program electronically transmits the Notice of Completion Certificate directly to the Department of Motor Vehicles, or provide a receipt to the participant;
(4) Retain the program copy of the Notice of Completion Certificate in the participant's record; and
(5) Enter the following information into the program log in sequential order by printed Notice of Completion Certificate number or by the number assigned by the Department of Motor Vehicles if submitted electronically to the DMV.
(A) The printed number of the Notice of Completion Certificate;
(B) The name of the participant for whom the Notice of Completion Certificate was issued;
(C) The length and type of DUI program completed;
(D) The date the Notice of Completion Certificate was issued;
(E) The name of the DUI program staff person who issued the Notice of Completion Certificate; and
(F) The participant record identification number, if applicable.
(h) If the Department of Motor Vehicles copy of a Notice of Completion Certificate has been lost or destroyed, the DUI program shall issue a duplicate Notice of Completion Certificate to the Department of Motor Vehicles under the following circumstances:
(1) A duplicate Notice of Completion Certificate shall be issued only by the DUI program that issued the original Notice of Completion Certificate;
(2) Before issuing the duplicate Notice of Completion Certificate, the DUI program shall verify from its records that the participant actually completed all program services;
(3) The DUI program shall type or print the words “duplicate Notice of Completion Certificate” and the number of the original Notice of Completion Certificate on the top of all copies of the duplicate Notice of Completion Certificate;
(4) The DUI program may charge the participant a fee for issuing a duplicate Notice of Completion Certificate to the Department of Motor Vehicles on behalf of the participant. The DUI program may charge the cost of the notice established by the Department of Motor Vehicles. If there are additional costs for preparation, the DUI program may submit a request for a general program fee increase in accordance with Section 9878(c).
(i) At the time the DUI program receives a book of blank copies of the Notice of Completion Certificate from the Department of Motor Vehicles, the DUI program shall inspect the book of notices to ensure the full order is included and undamaged and record the sequential numbers of the certificates received and secure the blank Notices of Completion Certificates and the record of blank certificates received in a locked desk, file, or cabinet which is not accessible to program participants.
(j) The DUI program shall issue a Notice of Completion Certificate only for participants who have completed all program requirements, including payment in full of program fees, contained in Article 1 (commencing with Section 9848), Subchapter 3 of this Chapter.
(k) The DUI program shall issue a Notice of Completion Certificate only for the type of program specified on the license issued by the Department.
(l) The licensee shall not sell or transfer Notice of Completion Certificate to another DUI program or to any other entity.
(m) If the DUI program discovers that a blank Notice of Completion Certificate has been lost, stolen, or otherwise misplaced, by the close of business of the day following the date the DUI program discovers the loss, the DUI program shall report the loss pursuant to Section 120.02 of Title 13.
(1) The DUI program shall identify in the written report the following information:
(A) The printed numbers of the lost, stolen, or misplaced Notices of Completion Certificates, and
(B) The date the loss was discovered.
(2) The DUI program shall retain in its business records a copy of the written report and a copy of the police or sheriff's department report until Department staff or county staff have reviewed the reports during an on-site compliance review, and authorized in writing their destruction.
(n) Within ten days of the date that the DUI program ceases program operation or the date that the program's license is revoked, the DUI program shall return to the Department of Motor Vehicles by certified mail its unused supply of blank Notice of Completion Certificates.
(o) When a participant is eligible for a Notice of Completion Certificate, but the DUI program ceases program operation or the program's license is revoked, and the program's records are transferred to the county, the county alcohol and drug program administrator shall prepare a letter to the Department of Motor Vehicles, stating that the participant has completed all program services.
(1) The letter shall take the place of a Notice of Completion Certificate.
(2) The letter shall contain the following information:
(A) The participant's name, address, birth date, and driver's license number;
(B) The date the participant enrolled in the program;
(C) The date the participant completed all program services;
(D) The name, primary business address, and Department's license number of the DUI program which would have issued the Notice of Completion if the DUI program were still in business;
(E) The length and type of program completed; and
(F) The court case number or docket number, if applicable.
(p) If the DUI program fails to account for all Notices of Completion Certificates, as set forth in subdivisions (c), (d)(3), (g)(5), (i), (j), (k), (l), or (m) of this regulation, the Department shall assess a fine against the DUI program of $150 per day up to a total of $1,500 for each missing Notice of Completion Certificate.
The maximum fine for all missing certificates shall not exceed $5,000. 
(1) The fine shall accrue from the date the certificates are determined to be missing until the missing certificates have been accounted for and shall be payable upon receipt of written notice from the Department.
(2) The DUI program may appeal the assessed fine as specified in Section 9836.
(q) The DUI program shall post a notice in a prominent location in the program reception area, informing program participants and staff that soliciting or accepting a bribe, or selling a Notice of Completion Certificate, is illegal and punishable by law.
(r) The Department may initiate administrative action pursuant to Section 9834 to suspend or revoke the license of any DUI program who is found responsible for the sale of a Notice of Completion Certificate or whose failure to exercise diligence to control, track, and document the issuance of a Notice of Completion Certificate has contributed to the sale of a Notice of Completion Certificate. The DUI program may appeal such administrative action pursuant to Section 9836 and the provisions of Chapter 5 (commencing with Section 11500), Part 1, Division 3, Title 2 of the Government Code.
(s) To the extent possible, any appeal of a fine or civil penalty assessed pursuant to this regulation and an appeal of any related administrative action shall be joined in a single proceeding.
NOTE

Authority cited: Sections 11755 and 11836.15, Health and Safety Code. Reference: Sections 11836.15 and 11838.1, Health and Safety Code.
HISTORY

1. New section filed 3-15-96; operative 4-14-96 (Register 96, No. 11).
2. Amendment of subsections (a), (a)(7)(A) and (g), new subsection (g)(3)(C), subsection relettering, amendment of subsections (i)-(j) and new subsections (p)-(s) filed 7-31-2002; operative 8-30-2002 (Register 2002, No. 31).
3. Amendment filed 12-6-2004; operative 1-5-2005 (Register 2004, No. 50).
4. Amendment of section heading, section and Note filed 3-22-2012; operative 4-21-2012 (Register 2012, No. 12).
§9868. Proof of Enrollment Certificates.
Note     •     History

(a) The DUI program shall issue a Proof of Enrollment Certificate (Form DL 107, Revised 7-06) to the Department of Motor Vehicles upon request at any point during the period of enrollment. The DUI program shall complete the certificate in electronic format, or by typewriter or by printing legibly in ink. The Proof of Enrollment shall have a unique, pre-printed number, assigned by the Department of Motor Vehicles, and shall be completed and issued pursuant to Section 120.01 of Title 13. 
(1) The program director may sign the Proof of Enrollment Certificates and may designate up to two employees to sign the certificates. 
(A) If the program director authorizes a designee to sign Proof of Enrollment Certificate on his/her behalf, the DUI program shall retain a copy of the written authorization in its files. 
(B) The Proof of Enrollment Certificate shall not be signed until the individual signing has verified that the participant has completed enrollment forms including a participant contract and fee payment agreement. 
(b) The DUI program shall maintain a program log, typed or printed in ink, to record the receipt, issuance and/or other disposition of each numbered Proof of Enrollment Certificate. At the DUI program's option this program log may be in electronic format if a certificate is issued electronically. The log shall contain, at a minimum, the information listed in subdivision (f)(5). 
(c) If the DUI program makes an error while completing the Proof of Enrollment Certificate, the DUI program shall: 
(1) Write “VOID” in large letters across the original and all copies of the Proof of Enrollment Certificate; 
(2) Store the voided copies of the Proof of Enrollment Certificate in sequential order in the program log; 
(3) Note in the program log that the Proof of Enrollment Certificate was voided; and
(4) Inform the Department of Motor Vehicles of the Proof of Enrollment Certificate numbers voided. The DUI program shall report the voided Proofs of Enrollment Certificates to the Department of Motor Vehicles on a monthly basis. 
(d) The DUI program shall destroy voided Proof of Enrollment Certificates only after Department staff or county staff have reviewed the Proof of Enrollment Certificates during an on-site compliance review, and have authorized, in writing, their destruction. The method of destruction shall render the Proof of Enrollment Certificates useless. 
(e) When the DUI program receives a book containing one or more Proof of Enrollment Certificates that were damaged during manufacturing or shipping, the DUI program shall either immediately return the entire book of 50 to the Department of Motor Vehicles or void the individual damaged Proof of Enrollment Certificates and use the remaining ones in the book. 
(1) To return the entire book to the Department of Motor Vehicles the DUI program shall: 
(A) Submit the entire book to the Department of Motor Vehicles, with a written request for free replacement; and 
(B) Note in the program log that the Proof of Enrollment Certificates were damaged and returned to the Department of Motor Vehicles. 
(2) To void and destroy the damaged certificates, the DUI program shall: 
(A) Write “void” through the damaged certificates; and
(B) Obtain a signed written authorization for destruction from a Department or county staff person during an on-site review. The authorization for destruction shall contain the following information: 
1. The DUI program name and license number; 
2. The date of review; 
3. The period reviewed; 
4. The printed numbers of the Proof of Enrollment Certificates that were reviewed; 
5. The printed numbers of void Proof of Enrollment Certificates that were authorized for destruction; 
6. The name, title, and signature of the Department or county staff person conducting the on-site compliance review; 
7. The printed numbers of the void Proof of Enrollment Certificates that were destroyed; 
8. The proposed date of destruction; 
9. The method of destruction to be used; and 
10. The name, title, and signature of the DUI program director. 
(3) The DUI program shall destroy the damaged certificates after a Department or county staff person reviews and signs the authorization for destruction. 
(4) The DUI program shall retain the written authorization for destruction with the program log for four years from the date of destruction. 
(f) If an eligible participant requests a Proof of Enrollment Certificate because the participant was referred by the court and the court requires a copy, the DUI program shall: 
(1) Issue the original copy of the Proof of Enrollment Certificate to the Department of Motor Vehicles; 
(2) Issue the court copy to the court of conviction; 
(3) Provide the participant copy to the participant or a receipt, if submitted electronically;
(4) Retain the program copy in the participant's record; and 
(5) Enter the following information into the program log in sequential order by printed Proof of Enrollment Certificate number or by date if submitted electronically:
(A) The printed number of the Proof of Enrollment Certificate; 
(B) The name of the participant to whom the Proof of Enrollment Certificate was issued; 
(C) The date the Proof of Enrollment Certificate was issued; 
(D) The name of the DUI program staff person who issued the Proof of Enrollment Certificate; and
(E) The participant record identification number, if applicable. 
(g) If a Proof of Enrollment Certificate issued to the Department of Motor Vehicles has been lost or destroyed, the DUI program shall issue a duplicate Proof of Enrollment to the Department of Motor Vehicles. 
(h) At the time the DUI program receives a book of blank copies of the Proof of Enrollment Certificates from the Department of Motor Vehicles, the DUI program shall inspect the book of certificates to ensure the full order is included and undamaged and record the sequential numbers of the certificates received. The DUI program shall maintain a record of certificates received in a separate location from the Proof of Enrollment Certificates and shall secure the blank Proof of Enrollment Certificates in a locked desk, file, or cabinet which is not accessible to program participants. 
(i) The DUI program shall issue a Proof of Enrollment Certificate exclusively to participants who have enrolled pursuant to Section 9848. 
(j) The DUI program shall issue a Proof of Enrollment Certificate only for the type of program specified on the license issued by the Department. 
(k) The DUI program shall not sell or transfer Proof of Enrollment Certificate to another DUI program or to any other entity. 
(l) If the DUI program discovers that a blank Proof of Enrollment Certificate has been lost, stolen, or otherwise misplaced, the DUI program shall report the serial numbers of the lost certificates to the Department of Motor Vehicles pursuant to Section 120.02 of Title 13. 
(1) The DUI program shall identify the following information in the written report and program log: 
(A) The printed serial numbers of the lost, stolen, or misplaced Proof of Enrollment Certificates; and 
(B) The date the loss was discovered. 
(2) The DUI program shall retain in its business records a copy of the written report and a copy of the police or sheriff's department report until Department staff or county staff have reviewed the reports during an on-site compliance review, and they have authorized in writing the destruction of the reports. 
(m) Within ten days of the date that the DUI program ceases program operation or the date that the DUI program's license is revoked, the DUI program shall return to the Department of Motor Vehicles by certified mail its unused supply of blank Proof of Enrollment Certificates. 
NOTE

Authority cited: Sections 11755 and 11836.15, Health and Safety Code. Reference: Section 11836.15, Health and Safety Code.
HISTORY

1. New section filed 12-6-2004; operative 1-5-2005 (Register 2004, No. 50).
2. Amendment of section heading, section and Note filed 3-22-2012; operative 4-21-2012 (Register 2012, No. 12).
Subchapter 4. Participant Standards
§9874. Program Sobriety.
Note     •     History

(a) The DUI program shall require a program participant to maintain program sobriety. As used in this chapter, “program sobriety” means that participants shall not attend program services or activities or be on the DUI program premises while under the influence of any amount of alcohol or drugs as defined in this regulation, or be convicted of a subsequent DUI offense while enrolled in a DUI program.
(b) If a participant is sleeping, disruptive, belligerent, or otherwise appears unable to pay attention and participate in program services or activities, or a participant smells of alcohol or any alcoholic beverage, the DUI program shall determine whether the participant is under the influence of alcohol or drugs as specified in (c) and (d) of this regulation.
(c) The DUI program shall determine whether the participant is under the influence of alcohol either by (1) or (2) below:
(1) The DUI program may require the participant to submit to testing with a breathalyzer or other similar chemical screening device designed to measure alcohol on the breath.
(A) The DUI program shall only use an alcohol screening device if the packaging for the screening device indicates approval for such use by the U.S. Department of Transportation. If the screening device indicates an alcohol level higher than .01 percent, the participant shall be determined to be under the influence of alcohol.
(2) Two or more staff members may document in writing in the participant's program record that the participant is sleeping, disruptive, belligerent, or otherwise appears unable to pay attention and participate in program services or activities, or the participant smells of alcohol or any alcoholic beverage.
(d) The DUI program shall determine that the participant is under the influence of drugs either by one (1) or (2) below:
(1) The DUI program may require the participant to submit to testing with a chemical device designed to determine if an individual is under the influence of drugs. The DUI program shall only use a chemical drug screening device if the packaging indicates that the device has been approved for such use by the National Institute of Drug Abuse. If the chemical drug screening device indicates a positive for use of drugs, the participant shall be determined to be under the influence of drugs. 
(2) Two or more DUI program staff document in writing in the participant's program record that the participant exhibits a combination of appearance, behavior, and speech indicating that the participant is under the influence of drugs. Such symptoms may include the following, as listed in the most current version of Chapter 3 of the Driving under the Influence Enforcement Manual developed by the California Highway Patrol: constricted or dilated pupils; slurred or rapid speech; impaired coordination; body tremors; green coating on the tongue; paranoid hallucinations; muscle rigidity; confused, disordered, or dizzy appearance; agitated behavior; or lethargy, stupor, or blank stare. The Driving under the Influence Enforcement Manual is available from the Publications Unit of the California Highway Patrol.
(e) If the DUI program determines that the participant is under the influence of drugs, as specified in (d) of this regulation, the DUI program shall:
(1) Advise the participant that he/she may obtain a drug test at his/her own expense in order to refute the determination of illicit drug use. The DUI program shall accept the test results provided:
(A) The drug screening test was conducted by a clinical laboratory licensed by the Department of Health Services pursuant to Section 1265 of the Business and Professions Code; and
(B) The drug screening test was conducted within 24 hours of the time that the DUI program or his/her staff determined that the participant was under the influence of drugs. 
(2) Ask the participant to leave the DUI program premises.
(A) The DUI program shall advise the participant not to drive him/herself home.
(B) The DUI program shall offer to call a friend or relative of the participant or a taxi cab (at the participant's expense) to drive the participant home.
(f) The DUI program shall document in the participant's record how the DUI program determined that the participant was under the influence of alcohol or drugs, including staff observations of the indicators listed in (c)(2) and (d)(2) of this regulation.
(g) Except as specified in (h) of this regulation, the DUI program shall dismiss the participant pursuant to Section 9886 if the DUI program determines that the participant has used alcohol or illicit drugs based on the criteria contained in (c) and (d) of this regulation.
(h) The DUI program shall not dismiss a participant from the program for using medication prescribed by a licensed physician and used in accordance with the prescription unless the participant is unable to participate in program services due to the effects of the medication (e.g. falling asleep, unable to pay attention, etc.).
(i) The DUI program shall not conduct testing on a random basis. 
NOTE

Authority cited: Sections 11755 and 11836.15, Health and Safety Code. Reference: Sections 11837.1, 11837.3(d)(2), and 11837.4, Health and Safety Code.
HISTORY

1. New section filed 7-31-2002; operative 8-30-2002 (Register 2002, No. 31).
2. Amendment filed 3-22-2012; operative 4-21-2012 (Register 2012, No. 12).
§9876. Participant Attendance.
Note     •     History

(a) The DUI program shall require each participant to attend all scheduled activities unless the participant has:
(1) Contacted the DUI program and arranged to attend an activity at an alternate time, or
(2) Been granted an approved leave of absence, pursuant to Section 9876.5.
(b) The DUI program shall document all absences in the participant's record.
(c) The DUI program shall require each participant to make up all absences before issuing the participant a Notice of Completion Certificate (Department of Motor Vehicles Form DL 101).
(d) The DUI program may allow a participant to be absent from scheduled activities as specified below:
(1) A participant required by the court pursuant to Vehicle Code Sections 23103.5(e) or 23140 to attend the educational component of a licensed program shall not be allowed more than two absences per period of enrollment. For purposes of this regulation, “period of enrollment” means the period from initial enrollment to completion or termination. A transfer from one DUI program to another, with no break in enrollment, counts as one period of enrollment;
(2) A participant of a first offender program shall not be allowed more than five total absences per period of enrollment;
(3) A first offender, who has been ordered by the court to participate in a DUI program for six months or longer, shall not be allowed more than seven absences per period of enrollment;
(4) A participant of an 18-month DUI program shall not be allowed more than ten total absences per period of enrollment; and
(5) A participant of a 30-month DUI program shall not be allowed more than fifteen total absences per period of enrollment.
NOTE

Authority cited: Sections 11755 and 11836.15, Health and Safety Code. Reference: Sections 11836.15 and 11837.4, Health and Safety Code.
HISTORY

1. Change without regulatory effect renumbering and amending former section 9830 to section 9876 filed 4-15-91 pursuant to section 100, title 1, California Code of Regulations (Register 91, No. 20). For prior history, see Register 82, No. 47.
2. Amendment of subsection (a), adoption of subsection (c) and relettering, repealer of subsection (d) and amendment of Note filed 11-18-91 as an emergency; operative 1-1-92 (Register 92, No. 8). A Certificate of Compliance must be transmitted to OAL 4-29-92 or emergency language will be repealed by operation of law on the following day.
3. Amendment of subsection (a), adoption of subsection (c) and relettering, repealer of subsection (d) and amendment of Note refiled 4-27-92 as an emergency; operative 4-28-92 (Register 92, No. 19). A Certificate of Compliance must be transmitted to OAL 8-26-92 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 4-27-92 order transmitted to OAL 7-16-92 and filed 8-25-92 (Register 92, No. 35).
5. Amendment of section and Note filed 6-7-93; operative 7-7-93 (Register 93, No. 24).
6. New subsection (d)(1), repealer of subsections (d)(3)-(4), subsection renumbering and amendment of newly designated subsection (d)(3) filed 7-31-2002; operative 8-30-2002 (Register 2002, No. 31).
7. Amendment filed 3-22-2012; operative 4-21-2012 (Register 2012, No. 12).
§9876.5. Leave of Absence.
Note     •     History

(a) The DUI program shall require the participant to request a leave of absence whenever the participant is unable to attend any scheduled program activities for 21 days or longer. Participants may request a leave of absence for less than 21 days.
(b) To request a leave of absence, the participant shall submit to the DUI program a written request for leave of absence, and any documentation substantiating the need for a leave of absence. The written request shall specify:
(1) The name of the participant;
(2) The reason for requesting the leave of absence; and
(3) The dates of the requested leave of absence.
(c) The DUI program shall require the participant to request prior approval for all leaves of absence, unless unable to do so due to circumstances beyond the participant's control. If the participant requests retroactive approval for a leave of absence, in addition to the information listed in Subsection (b) of this section, the request for leave of absence shall explain the circumstances that prevented the participant from requesting prior approval.
(d) The DUI program administrator or designee shall review the request.
(e) The DUI program director/administrator or designee shall approve a leave of absence only for:
(1) Military personnel whose orders or responsibilities require an extended absence;
(2) Participants whose work requires travel for an extended period of time;
(3) Participants who are absent due to their own extended illness or medical treatment or that of a family member;
(4) Participants who are incarcerated or participating in a residential alcoholism or drug abuse recovery or treatment program;
(5) Participants who cannot participate in program services due to an extreme personal hardship or family emergency. The DUI program shall document in the participant's record the nature of the personal hardship or family emergency; and
(6) Participants who have requested a leave of absence for a vacation. A leave of absence shall be granted for a vacation only if the participant has made up all absences and paid all outstanding fees, assessed by the DUI program in accordance with the participant's ability to pay, pursuant to Section 9878 and 9879, prior to the leave of absence.
(f) Prior to program completion, the DUI program shall require the participant to make up all scheduled program activities missed while on a leave of absence.
(g) Time missed while on a leave of absence shall not be counted as participation time.
NOTE

Authority cited: Sections 11755 and 11836.15, Health and Safety Code. Reference: Sections 11836.15, 11837 and 11837.4, Health and Safety Code.
HISTORY

1. New section filed 6-7-93; operative 7-7-93 (Register 93, No. 24).
2. Change without regulatory effect amending subsection (c) filed 10-24-95 pursuant to section 100, title 1, California Code of Regulations (Register 95, No. 43).
3. Amendment filed 3-22-2012; operative 4-21-2012 (Register 2012, No. 12).
§9878. Participant Fees.
Note     •     History

(a) For purposes of this regulation, the term “participant” includes both individuals who are enrolled and are participating in the DUI program and individuals who are in the process of enrolling in the DUI program. 
(b) Except as specified in (d) below, the DUI program shall set participant fees at a level sufficient to cover the cost of program services, including each participant's share of personnel and operating expenses incurred by the DUI program in providing program services. 
(c) The DUI program shall charge only the program fee or any additional fee that has been approved by the Department pursuant to this section of regulation. The DUI program shall not increase program fees or additional fees unless a request has been submitted to the county alcohol and drug program administrator and submitted to and approved by the Department. 
(1) In order to request to increase program fees or additional fees, the DUI program shall submit the following to the Department in writing: 
(A) A cover letter indicating the proposed program fee and the rationale for the increase. 
(B) A line item revenue and expenditure report for the prior fiscal year. 
(C) A projected line item budget reflecting the proposed fee increase for the next fiscal year. 
(D) A breakdown of the proposed program fee by unit of service. 
(E) A revised payment agreement that includes the proposed fee increase. 
(F) A standardized payment schedule in accordance with (d)(1) of this regulation. 
(2) The county alcohol and drug program administrator shall have 30 days from receipt of a request to review the request and forward it to the Department along with a recommendation to approve or disapprove the request to increase program fees based on the following criteria: 
(A) The DUI program's rationale for requesting the fee increase, such as increases in staff salaries or rent, facility improvements, etc.;
(B) The accuracy of the DUI program's representation of revenues and expenses provided, based on the county's last review and/or audit of the DUI program's records, and; 
(C) Whether the proposed increase results in exceeding the profit or surplus limit established by the Department pursuant to (o) of this regulation. 
(3) If the county alcohol and drug program administrator fails to forward the request and his/her recommendation to the Department within 30 days from receipt of the request, the DUI program may submit the request directly to the Department for approval. 
(4) The Department shall have 30 days from receipt of the request to either approve or deny the requested program fee increase. In making the decision, the Department shall consider criteria described in (c) of this regulation. If the Department approves a fee increase request that is contrary to the recommendation made by the county alcohol and drug program administrator, the Department shall address each of the county's objections in the approval letter. In the event that the county alcohol and drug program administrator fails to forward the request as described in (c)(3) of this regulation, the Department may act without the administrator's recommendation. 
(d) The DUI program shall establish and use a standardized payment schedule, approved by the Department in accordance with this subsection, to determine each participant's assessed program fee and schedule for payment of fees. 
(1) The standardized payment schedule shall specify:
(A) The program fee and additional fees, broken out by cost of unit of service;
(B) The monthly income level at which the DUI program shall require the participant to pay a maximum program fee of no more than $5.00 per month, in accordance with Subsection (f)(1) of this regulation;
(C) The monthly income level at which the DUI program shall allow the participant to extend payment of the program fee or shall reduce the participant's assessed program fee through one of the options described in Subsection (f)(3) of this regulation;
(D) The option the DUI program has elected to use, in accordance with Subsection (f)(3) of this regulation;
(E) A schedule for payment of fees, including the amount of down payment and the amount and frequency of payments required; and
(F) A sample of the participant contract containing the terms and conditions for a fee assessment and a payment schedule.
(2) The DUI program shall apply the standardized payment schedule equally in determining the participant's assessed program fee and payment schedule.
(3) The DUI program shall submit the standardized payment schedule to the Driving Under the Influence Program Branch (DUIPB), Department of Alcohol and Drug Programs, 1700 K Street, Sacramento, CA 95811, for review and approval:
(A) Prior to using the standardized payment schedule, and
(B) Whenever the DUI program modifies the standardized payment schedule.
(4) The DUIPB shall review the standardized payment schedule developed by the DUI program to determine if it complies with the requirements of this regulation and Section 11837.4 of the Health and Safety Code. Within 30 days of the date of the Department receives the standardized payment schedule, the DUIPB shall:
(A) Notify the DUI program that the standardized payment schedule was approved and the date of approval, or
(B) Notify the DUI program that the standardized payment schedule was not approved.
(5) If the DUIPB disapproves the standardized payment schedule submitted by the DUI program, the notice of disapproval shall inform the DUI program how the standardized payment schedule must be amended in order to be approved and shall explain the DUI program's right of appeal in accordance with this regulation.
(6) Within 15 days of the date shown on the written notice of disapproval, the DUI program shall submit:
(A) An amended standardized payment schedule to the DUIPB, or
(B) A written request for appeal of the DUIPB's decision to the Director, Department of Alcohol and Drug Programs, 1700 K Street, Sacramento, CA 95811.
(7) If the DUI program submits an amended standardized payment schedule, the DUIPB shall review it in accordance with Subsection (d)(4) of this regulation.
(8) If the DUI program submits a written request for appeal, within 15 days of the receipt of the request the Director or his/her designee shall:
(A) Review the DUIPB's decision and any subsequent documentation regarding the appeal, which was submitted by the DUI program, and
(B) Notify the DUI program in writing of his/her decision.
(9) Pending approval of the DUI program's standardized payment schedule, the DUI program shall collect the program fees using the most recent standardized payment schedule approved by the DUIPB. This requirement shall not preclude the right of any participant to have his/her program fee modified in accordance with subdivision (f).
(e) The DUI program shall document the participant's assessed program fee and payment schedule in the participant contract signed at enrollment. The DUI program shall amend the contract to reflect any subsequent increase or decrease in the assessed program fee or the payment schedule.
(f) If the participant notifies the DUI program that he/she is unable to pay the fee shown on the standardized payment schedule, the DUI program shall perform a financial assessment, in accordance with Section 9879, and shall allow participation in the program as follows:
(1) If the participant's monthly income is equal to or less than the general assistance benefit level for one person, established by the county board of supervisors pursuant to Part 5 (commencing with Section 17000) of the Welfare and Institutions Code, the DUI program shall assess the participant a maximum program fee of no more than $5.00 per month for each month in which the participant's income is equal to or less than the general assistance benefit level for the county in which the DUI program is licensed to provide services. The assessed program fee shall be applicable for each month in which the participant is enrolled in the DUI program for one or more calendar days.
(A) At least once a year, on or before July 1, the DUI program shall request written notification of the current general assistance benefit level from the county alcohol and drug program administrator or the county board of supervisors. The DUI program shall retain a copy of the notification in its files and shall send a copy of the notification to the Department by October 1 of the same year.
(B) If the county board of supervisors has not established a general assistance benefit level, the DUI program shall assess the participant a maximum program fee of no more than $5.00 per month for each month in which the participant's monthly income is $300 or less.
(C) If the participant is eligible for a maximum program fee of no more than $5.00 per month, the DUI program shall assess only the following additional fees:
The DUI program may assess a maximum additional fee of no more than $5.00 each time it must reschedule a program service because the participant failed to attend or reschedule in advance, in accordance with the requirements of Section 9876.
The program may assess a maximum additional fee of no more than $10.00 each time it reinstates a participant who was dismissed from the program, in accordance with Section 9886, or who voluntarily withdrew from the program.
The DUI program may assess a maximum fee of $5.00 for processing a transfer to another licensed DUI program. 
(2) If the participant's monthly income is greater than the general assistance benefit level for the county, the DUI program shall determine if it is equal to or less than 35 percent of the monthly median family income for the county, as shown on the most recent decennial census obtained from the county planning department or from the State Census Data Center, Department of Finance, 915 L Street, Sacramento, CA 95814.
(3) If the participant's monthly income is greater than the general assistance benefit level for the county but equal to or less than 35 percent of the monthly median family income for the county, the DUI program shall allow the participant to extend payment of the program fee [i.e. the extended payment option, described in subdivision (f)(3)(D) of this regulation] or shall reduce the participant's assessed program fee [i.e. the reduced fee option, described in subdivision (f)(3)(E) of this regulation].
(A) The DUI program shall elect to use either the extended payment option or the reduced fee option and shall use the option it has elected for all participants whose monthly income is greater than the general assistance benefit level for the county but equal to or less than 35 percent of the monthly median family income for the county.
(B) The DUI program shall notify the Department in writing of which option it elects to use.
(C) A DUI program may change its election of an option any time. To do so the DUI program shall submit a written request for approval to the Driving-Under-the-Influence Program Branch (DUIPB), Department of Alcohol and Drug Programs, 1700 K Street, Sacramento, CA 95811, at least 30 days prior to the effective date of a proposed change. In accordance with subdivision (d)(4) of this regulation, the DUIPB shall review the request to determine that it complies with the requirements of this regulation. The DUIPB shall notify the DUI program, in writing, of its decision. The DUI program shall not implement the change until it receives approval from the DUIPB.
(D) If the DUI program elects to use the extended payment option, the DUI program shall assess the participant the full program fee shown on the DUI program's standardized payment schedule. The DUI program shall allow the participant to extend payment of his/her assessed program fee as follows:
The DUI program shall allow a participant in a three-month program no less than six months from the date of enrollment to pay the program fee.
The DUI program shall allow a participant in a six-month program no less than nine months from the date of enrollment to pay the program fee.
The DUI program shall allow a participant in a nine-month program no less than 12 months from the date of enrollment to pay the program fee.
The DUI program shall allow a participant in a 12-month program no less than 15 months from the date of enrollment to pay the program fee.
The DUI program shall allow a participant in a 18-month program no less than 18 months from the date of enrollment to pay the program fee.
The DUI program shall allow a participant in a 30-month program no less than 30 months from the date of enrollment to pay the program fee.
(E) If the DUI program elects to use the reduced fee option, the DUI program shall assess the participant's program fee as follows:
The DUI program shall divide the participant's annual gross income by 35 percent of the county median family income to determine the percentage of the program fee to be paid by the participant.
The DUI program shall multiply the resulting percentage by the program fee, shown on the DUI program's standardized payment schedule, to determine the dollar amount of the participant's assessed program fee.
For example:
If the county median family income is $39,035, the DUI program would multiply $39,035 by 0.35 to determine that 35 percent of the county median family income is $13,662.
If the participant's income is $10,930, the DUI program would divide $10,930 by $13,662 to determine that the participant would be required to pay 80 percent of the program fee.
If the DUI program fee is $1,081, the DUI program would multiply $1,081 by 80 percent to determine that the participant's assessed program fee would be $865.
At its option, the DUI program may require the participant to pay his/her assessed program fee in accordance with the provisions of subdivision (f)(4) of this regulation, or the DUI program may allow the participant to extend payments as specified in subdivision (f)(3)(D) of this regulation.
(F) If the participant's income is greater than the general assistance benefit level for the county but equal to or less than 35 percent of the monthly median family income for the county, the DUI program shall not require the participant to pay a down payment that exceeds the cost of enrolling the participant in the program.
(4) If the participant's monthly income is greater than 35 percent of the monthly median family income for the county, the DUI program shall assess the participant the full program fee shown on the DUI program's standardized payment schedule. The DUI program shall allow the participant to pay his/her assessed program fee as follows:
(A) The DUI program shall allow a participant in a three-month program no less than three months from the date of enrollment to pay the program fee.
(B) The DUI program shall allow a participant in a six-month program no less than six months from the date of enrollment to pay the program fee.
(C) The DUI program shall allow a participant in a nine-month program no less than nine months from the date of enrollment to pay the program fee.
(D) The DUI program shall allow a participant in a 12-month program no less than 12 months from the date of enrollment to pay the program fee.
(E) The DUI program shall allow a participant in a 18-month program no less than 12 months from the date of enrollment to pay the program fee.
(F) The DUI program shall allow a participant in a 30-month program no less than 18 months from the date of enrollment to pay the program fee.
(G) The DUI program may require the participant to pay a down payment not to exceed 50 percent of the program fee for first offenders, or 20 percent of the program fee for multiple offenders.
(g) Except for participants who are eligible for a minimum fee of $5.00 per month (as specified in (f) immediately above), the DUI program may charge for the following additional services: 
Leave of Absence; 
Returned check (excluding bank charge); 
Missed Activity; 
Rescheduling; 
Transfer-Out (excluding transfer of non-enrolled participants and administrative referrals); 
Transfer-In; 
Reinstatement;
Duplicate DL 101 (research); 
Late Payment Fee; and 
Alcohol/Drug Screening (positive result); 
The DUI program shall charge only for additional services shown in (g) immediately above. The DUI program shall provide justification in writing to the Department for any additional service it proposes to charge pursuant to Section 9878(c). Such justification shall include the activity and time involved to perform the task, and the classification and hourly rate of pay for the staff performing the tasks. 
(h) The DUI program may allow a participant to voluntarily pay in advance for program services to be provided.
(i) The DUI program may withhold the participant's Notice of Completion certificate until the assessed program fee, and any additional fees assessed have been paid in full. Withholding of the participant completion certificate shall require an agreement between the parties, to be reflected in the participant contract or an amendment to that contract. (As used in this regulation, the term “completion certificate” means the Department of Motor Vehicles' Form DL 101.)
(1) The contract or amendment shall state that the participant has been informed of (and by signing the contract shows that he/she understands) the terms and conditions of the contract, and he/she agrees that the program Notice of Completion certificate may be withheld until the participant has paid the assessed program fee and any additional fees assessed.
(2) The contract or amendment shall be signed by the participant and by a DUI program representative.
(3) The DUI program shall retain a copy of the signed contract or amendment in the participant's record.
(j) The DUI program may allow the participant, at the DUI program's option, to pay the program fee on a weekly, bi-weekly, or monthly basis. If the DUI program requires the participant to pay the program fee on a weekly or bi-weekly basis, the total amount charged shall not exceed the total amount which would be required if payment were made in equal monthly payments.
(k) The DUI program shall refund to the participant any program fee paid in advance for services the participant did not receive. Refunds to participants who have been dismissed from the program shall be issued within ninety days from the date of dismissal. In calculating the amount to be refunded to the participant, the DUI program shall use the program fee per unit of service approved pursuant to this regulation.
(l) Prior to processing a participant's request for a transfer to another state licensed DUI program, the DUI program may require the participant to pay his/her assessed program fee due for services provided by the DUI program and any additional fees assessed in accordance with the provisions of this regulation.
(m) Prior to processing a participant's request for reinstatement to the program following a dismissal, voluntary withdrawal, or transfer, the DUI program may require the participant to pay his/her assessed program fee due for services provided by the DUI program, and any additional fees assessed in accordance with the provisions of this regulation.
(n) The county may assess an amount not to exceed five percent of gross program revenue per annum for its administration and monitoring of the DUI program, in accordance with Section 9801.5. The county may assess an amount in excess of five percent of gross program revenue per annum only with approval by the Department. Such approval shall require the county to provide justification of actual costs and services. Approval shall be valid only for the fiscal year for which it is granted.
(o) DUI program profit or surplus shall not exceed 10 percent of gross revenue from fees per annum. 
(p) The DUI program shall maintain for Departmental review the current and previous fiscal year program budget and revenue and expenditure reports.
NOTE

Authority cited: Section 11836.15, Health and Safety Code; and Section 23538, Vehicle Code. Reference: Sections 11837.4 and 11837.5, Health and Safety Code.
HISTORY

1. Change without regulatory effect renumbering and amending former section 9846 to section 9878 filed 4-15-91 pursuant to section 100, title 1, California Code of Regulations (Register 91, No. 20). For prior history, see Register 82, No. 47.
2. Amendment filed 11-18-91 as an emergency; operative 1-1-92 (Register 92, No. 8). A Certificate of Compliance must be transmitted to OAL 4-29-92 or emergency language will be repealed by operation of law on the following day.
3. Amendment refiled 4-27-92 as an emergency; operative 4-28-92 (Register 92, No. 19). A Certificate of Compliance must be transmitted to OAL 8-26-92 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 4-27-92 order including amendment of subsection (i) transmitted to OAL 7-16-92 and filed 8-25-92 (Register 92, No. 35).
5. Amendment of section heading and text filed 6-14-93 as an emergency; operative 6-14-93 (Register 93, No. 25). A Certificate of Compliance must be transmitted to OAL by 10-12-93 or emergency language will be repealed by operation of law on the following day.
6. Amendment of section heading and text refiled 9-1-93 as an emergency; operative 10-8-93 (Register  93, No. 36). A Certificate of Compliance must be transmitted to OAL by 2-7-94 or emergency language will be repealed by operation of law on the following day.
7. Amendment of section heading and text refiled 2-2-94 as an emergency; operative 2-5-94 (Register 94, No. 5).  A Certificate of Compliance must be transmitted to OAL by 6-6-94 or emergency language will be repealed by operation of law on the following day.
8. Certificate of Compliance as to 2-2-94 order including amendment of section transmitted to OAL 5-31-94 and filed 7-13-94 (Register 94, No. 28).
9. Repealer of subsection (d)(1)(F), subsection relettering, amendment of subsection (n), new subsections (n)(1)-(n)(3) and amendment of Note filed 3-23-2000; operative 4-22-2000 (Register 2000, No. 12).
10. Amendment of section heading and subsection (a), new subsections (a)(1)-(4), repealer of subsections (n)-(n)(4) and subsection relettering filed 9-1-2004; operative 10-1-2004 (Register 2004, No. 36).
11. Amendment of subsection (j) filed 12-6-2004; operative 1-5-2005 (Register 2004, No. 50).
12. Amendment of section and Note filed 3-22-2012; operative 4-21-2012 (Register 2012, No. 12).
§9879. Financial Assessment to Determine Participant's Ability to Pay Program Fees.
Note     •     History

(a) For purposes of this regulation, the term “participant” includes both  program participants and potential participants, who have not yet been enrolled in accordance with Section 9848.
(b) The DUI program shall post a notice at each location at which program services are provided, in a location visible to all participants and to the general public, stating that:
(1) A participant may request the DUI program to conduct a financial assessment, in accordance with this regulation, to determine his/her ability to pay the program fee.
(2) The DUI program shall not deny services to a participant if, based on the results of a financial assessment, the DUI program determines that the participant is unable to pay the full program fee as shown on the standardized payment schedule.
(3) A participant may request the Department to review a financial assessment conducted by the DUI program, in accordance with this regulation. To do so, the participant shall submit a written request to the Driving-Under-the-Influence Program Branch, Department of Alcohol and Drug Programs, 1700 K Street, Sacramento, CA 95811.
(A) The Department shall review the financial assessment conducted by the DUI program only if the participant has provided documentation of income to the DUI program in accordance with the requirements of this regulation.
(B) The Department's review shall be limited to determining whether the DUI program has complied with the requirements of this regulation. If the Department determines that the DUI program has not complied with the requirements of this regulation, the Department shall issue a written notice of deficiency in accordance with Section 9824.
(c) The DUI program shall assess the program fee and set the payment schedule based on the participant's documentation of income and a standardized payment schedule developed in accordance with Subsection 9878(d).
(d) Prior to conducting a financial assessment, the DUI program shall:
(1) Schedule a financial assessment interview with the participant, and
(2) Notify the participant that he/she:
(A) Is required to provide documentation of his/her income, as specified in subdivisions (e) and (f) of this regulation, at the time of the financial assessment interview, and
(B) Will be assessed the full program fee, as shown on the standardized payment schedule, if he/she fails to provide documentation of income at the time of the financial assessment interview.
(e) The DUI program shall consider as income any of the following, when earned or received by the participant or any person legally required to support the participant:
(1) Gross wages, salaries, bonuses, commissions, and tips;
(2) Compensation for work-related expenses in excess of the actual expense;
(3) Net profits from self employment;
(4) Net income from real or personal property;
(5) Spousal support;
(6) Regular payments from Social Security, retirement, unemployment compensation, strike benefits from union funds, workers' compensation, veterans' payments, public assistance [including Aid to Families with Dependent Children (AFDC), Supplemental Security Income (SSI), emergency assistance money, non-federally funded general assistance or general relief money payments], educational grants, or training stipends; and
(7) Gross personal income as reported on the federal income tax return.
(f) The DUI program shall require any participant, who has requested a financial assessment, to provide the following documentation of income:
(1) If the participant provides an award letter from the county welfare department, confirming eligibility for general assistance, the DUI program shall require no further documentation of income;
(2) If the participant does not provide a general assistance award letter, the DUI program shall require him/her to provide the following documentation:
(A) An award letter from the county welfare department, or other governmental agency, documenting eligibility for other public assistance and indicating the income level on which eligibility was based; or
(B) Pay vouchers or pay stubs documenting salary for the prior two months; or
(C) Income tax returns for the prior calendar year. The DUI program may require the participant to provide a transcript or letter from the Internal Revenue Service or the State Franchise Tax Board verifying the income reported on the prior year's tax return.
(3) The DUI program may require the participant to sign a release of information authorizing the DUI program to obtain income and wage verification from the State Employment Development Department.
(4) The DUI program may accept other documentation of income at its option.
(5) The DUI program shall not require documentation of income other than that specified in Subsections (f)(1), (f)(2), or (f)(3) of this regulation.
(g) If the income documentation the participant provides shows weekly income rather than monthly income, the DUI program shall compute the participant's monthly income by multiplying the weekly income by 4.33 weeks per month. If the income documentation the participant provides shows annual income rather than monthly income, the DUI program shall compute the participant's monthly income by dividing the annual income by 12 months per year.
(h) The DUI program shall conduct a financial assessment interview within five days of any of the following circumstances:
(1) At the request of the participant or the DUI program, but no more frequently than every 30 days. At the time of the request, the participant shall provide:
(A) Documentation of a change in financial condition which may make the participant eligible for an adjustment of the program fee or payment schedule, or
(B) A written statement describing the need for a financial assessment.
(C) If the participant fails to attend a financial assessment interview scheduled at his/her request, the DUI program may require the participant to wait 30 days before scheduling a subsequent financial assessment.
(i) If the participant is 15 or more days delinquent in payment of program fees approved by the Department, the DUI program may suspend educational sessions, individual counseling sessions, and group counseling sessions for 15 days as shown below:
(1) At  least ten days prior to the period of suspension, the DUI program shall provide the participant with a delinquency notice that contains the following information:
(A) The amount of program fees currently past due;
(B) A statement that failure to pay the delinquent amount will result in suspension of education, individual and group counseling services;
(C) A statement that failure to pay the delinquent amount by the end of the suspension period may result in an additional 30 day suspension or dismissal from the program;
(D) The procedure for disputing the accuracy of the delinquency;
(E) A statement notifying the participant of his/her right to request a financial assessment as specified in subdivision (h) of this regulation; and
(F) A statement that failure to schedule and appear for a financial assessment may result in dismissal from the program.
(2) The suspension shall remain in effect for a maximum of 15 days or until the participant pays the delinquent amount in full, whichever occurs first.
(3) When the DUI program suspends education, individual and group counseling activities for 15 days, the DUI program shall concurrently issue a notification of pending suspension of all program activities or dismissal if the delinquent fees are not paid in full by the end of the 15 day suspension period.
(A) The DUI program shall not assess fees for the services missed as a result of the 15-day suspension.
(B) The DUI program shall continue to conduct face-to-face interviews as specified in Section 9858.
(4) If the participant fails to pay the delinquent fees in full by the end of the initial 15-day suspension period, the DUI program may either suspend all program activities for a maximum of 30 days or dismiss the participant from the program.
(A) The DUI program shall not assess fees for services missed as a result of the 30-day suspension.
(B) The DUI program may dismiss a participant who was suspended and failed to pay the delinquent fees by the end of the 30-day suspension period.
(5) Program activities missed during the period of suspension shall not be considered as failure to attend program services without a leave of absence, pursuant to Sections 9876.5(a) and 9886(a)(5). The suspension time does not count as active time in the program and the 21 day attendance requirement in Section 9886(a)(5) does not apply. 
(j) Following a financial reassessment, the DUI program shall require the participant to pay for services provided by the DUI program as shown below:
(1) When a financial reassessment determines that the participant is eligible for a maximum program fee of no more than $5.00 per month, the DUI program may require the participant to pay for services provided by the DUI program prior to the date of the financial reassessment at the rate of payment which was assessed prior to the date of the reassessment.
(2) When a financial reassessment determines that the participant is no longer eligible for a maximum program fee of no more than $5.00 per month, the DUI program shall not require the participant to pay the program fee in excess of $5.00 per month for services provided by the DUI program during the period of eligibility and prior to the date of the reassessment.
(3) When a financial reassessment determines that the participant is eligible to pay the program fee through the extended payment option or the reduced fee option, described in Section 9878(f)(3), the DUI program may require the participant to pay for services provided by the DUI program prior to the financial reassessment at the rate of payment which was assessed prior to the date of the financial reassessment.
(4) When a financial reassessment determines that the participant is no longer eligible to pay the program fee through the extended payment option or the reduced fee option, described in Section 9878(f)(3), the DUI program shall allow the participant to pay for services provided by the DUI program prior to the date of the financial reassessment, at the reduced rate of payment.
(k) If a participant re-enrolls in the program following dismissal or voluntary withdrawal from the program, the DUI program may assess the program fee at the time of re-enrollment based on the approved program fee as shown on the standardized payment schedule in effect at the time of re-enrollment, except as follows:
(1) Any increase or decrease in the assessed program fee the participant is required to pay as the result of a financial assessment shall apply only to the remaining services to be provided.
(2) The DUI program shall not increase a participant's assessed program fee when a participant returns to active participant status following a temporary absence due to an approved leave of absence.
(l) The DUI program shall amend the participant contract to reflect increases or decreases in the participant's fee resulting from a financial reassessment conducted in accordance with the provisions of this regulation.
(m) The DUI program shall maintain in the participant record a copy of all financial assessments and documentation of income provided by the participant.
(n) A participant may request the Department to review a financial assessment conducted by the DUI program, in accordance with this regulation. To do so, the participant shall submit a written request to the Driving-Under-the-Influence Program Branch, Department of Alcohol and Drug Programs, 1700 K Street, Sacramento, CA 95811.
(1) The Department shall review the financial assessment conducted by the DUI program only if the participant has provided documentation of income to the program in accordance with the requirements of this regulation.
(2) The Department's review shall be limited to determining whether the DUI program has complied with the requirements of this regulation. If the Department determines that the DUI program has not complied with the requirements of this regulation, the Department shall issue a written notice of deficiency in accordance with Section 9824.
NOTE

Authority cited: Section 11836.15, Health and Safety Code; and Section 23538, Vehicle Code. Reference: Sections 11836.15 and 11837.4, Health and Safety Code.
HISTORY

1. New section filed 6-14-93 as an emergency; operative 6-14-93 (Register 93, No. 25). A Certificate of Compliance must be transmitted to OAL by 10-12-93 or emergency language will be repealed by operation of law on the following day.
2. New section  refiled 9-1-93 as an emergency; operative 10-8-93 (Register  93, No. 36). A Certificate of Compliance must be transmitted to OAL by 2-7-94 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 2-2-94 as an emergency; operative 2-5-94 (Register 94, No. 5).  A Certificate of Compliance must be transmitted to OAL by 6-6-94 or emergency language will be repealed by operation of law on the following day.
4. Editorial correction of printing error in subsection (g)(2) (Register 94, No. 15).
5. Certificate of Compliance as to 2-2-94 order including amendment of section transmitted to OAL 5-31-94 and filed 7-13-94 (Register 94, No. 28).
6. Repealer of subsections (h)(2)-(i)(2) and new subsections (i)-(i)(5) filed 12-10-97; operative 1-9-98 (Register 97, No. 50).
7. Amendment of subsections (b)(3)(B) and (f)(2)(C), new (f)(3), subsection renumbering and amendment of newly designated subsection (f)(5) and subsection (n)(2) filed 3-23-2000; operative 4-22-2000 (Register 2000, No. 12).
8. Amendment of section and Note filed 3-22-2012; operative 4-21-2012 (Register 2012, No. 12).
§9884. Interprogram Transfer.
Note     •     History

(a) The DUI program shall inform a participant transferring to another licensed DUI program that he/she shall enroll and attend a face-to-face interview, an educational session, or a group counseling session in the new DUI program within 21 days from the date of transfer from the sending DUI program.
(b) The following requirements apply to interprogram transfers:
(1) If required by the court, written notice of transfer shall be provided to the court of conviction by the sending DUI program.
(2) The sending DUI program shall provide the receiving DUI program with a written history for the transferee, indicating the number of program activities completed. Any additional program information relevant to the participant shall be sent under separate cover marked “confidential.”
(3) The receiving DUI program shall not accept any transferee who cannot enroll and commence services within 21 days following the date of transfer from the sending DUI program. 
(4) The receiving DUI program shall provide the sending DUI program written notice of the transferee's enrollment or non-enrollment in the receiving DUI program within 10 days of the transfer deadline specified in (3) above.
(5) The sending DUI program shall notify the Department of Motor Vehicles and the court of conviction if the transferee does not enroll in the receiving DUI program.
(6) The receiving DUI program shall notify the court of conviction and the Department of Motor Vehicles of the participant's subsequent completion of or dismissal from the program.
NOTE

Authority cited: Sections 11755 and 11836.15, Health and Safety Code. Reference: Section 11837.2, Health and Safety Code.
HISTORY

1. Change without regulatory effect renumbering and amending former section 9828 to section 9884 filed 4-15-91 pursuant to section 100, title 1, California Code of Regulations (Register 91, No. 20). For prior history, see Register 82, No. 47.
2. Amendment filed 7-31-2002; operative 8-30-2002 (Register 2002, No. 31).
3. Amendment of section and Note filed 3-22-2012; operative 4-21-2012 (Register 2012, No. 12).
§9886. Dismissal of Participants.
Note     •     History

(a) The DUI program shall dismiss from the program any participant who:
(1) Fails to participate in required program activities within 21 days of transfer to another DUI program licensed by the Department;
(2) Fails to maintain program sobriety in accordance with Section 9874;
(3) Fails to comply with DUI program rules;
(4) Fails to comply with additional county requirements which have been established by the county alcohol and drug program administrator and approved by the Department in accordance with Section 9860;
(5) Fails to attend program services for 21 days or longer without obtaining a leave of absence in accordance with Section 9876.5. This section shall not apply to multiple offenders in the last six months of the 18-month program or the last twelve months of the 30-month program; 
(6) Exceeds the number of absences allowed in Section 9876(d);
(7) Fails to resume attending program activities within 21 days of the scheduled return from a leave of absence; or
(8) Is physically or verbally abusive or acts in a threatening manner to DUI program staff or DUI program participants.
(b) The DUI program may dismiss a participant who fails to pay his/her program fee assessed in accordance with the requirements of Section 9879 or fails to reschedule and attend a financial assessment interview in accordance with the provisions of Subsection 9879(j). However, the DUI program shall not dismiss a participant, who has completed all required program services, for failure to pay program fees.
(c) If the participant was attending the program as a condition of probation or in accordance with a court order, the DUI program shall notify the court that the participant was dismissed from the program. The DUI program shall also notify the Department of Motor Vehicles if the participant has been issued a DL 107. (Proof of Enrollment Certificate) 
(d) If the participant is not attending the program as a condition of probation or in accordance with a court order, the DUI program may reinstate the participant in accordance with the DUI program's written policy, which shall be included in the participant contract.
(e) The DUI program may refuse to reinstate a participant if the participant was dismissed because he/she was physically or verbally abusive to DUI program staff or other DUI program participants. The DUI program shall document in the participant's record the circumstances under which the participant was dismissed.
(f) The DUI program shall not give credit for services attended prior to dismissal if the participant has not been enrolled in a DUI program for a period of two years or longer. The DUI program shall give credit for services attended prior to dismissal if:
(1) The dismissal occurred less than two years prior to re-enrollment; and
(2) The DUI program who provided the services verifies in writing that the services were provided to the participant.
NOTE

Authority cited: Sections 11755 and 11836.15, Health and Safety Code. Reference: Section 11837.1, Health and Safety Code; and Section 13352.5 of the Vehicle Code.
HISTORY

1. Change without regulatory effect renumbering and amending former section 9832 to section 9886 filed 4-15-91 pursuant to section 100, title 1, California Code of Regulations (Register 91, No. 20). For prior history, see Register 82, No. 47.
2. Amendment of section and Note filed 6-7-93; operative 7-7-93 (Register 93, No. 24).
3. Amendment of subsections (a)(3) and (a)(8) and new subsections (a)(9)-(a)(10) filed 7-13-94; operative 7-13-94 (Register 94, No. 28).
4. Amendment filed 9-22-95; operative 10-22-95 (Register 95, No. 38).
5. Redesignation and amendment of former subsections (a)(8) and (a)(9) to new subsection (b) and subsection relettering filed 12-10-97; operative 1-9-98 (Register 97, No. 50).
6. Amendment filed 7-31-2002; operative 8-30-2002 (Register 2002, No. 31).
7. Amendment filed 3-22-2012; operative 4-21-2012 (Register 2012, No. 12).
Chapter 4. Narcotic Treatment Programs
Subchapter 1. General Administration
§9995. Definitions. [Renumbered]
Note     •     History

NOTE

Authority cited: Sections 11864 and 11876(a), Health and Safety Code. Reference: Division 10.5, Part 3, Chapter 1, Article 3 (commencing with Section 11875), Health and Safety Code.
HISTORY

1. New subchapter 4 (articles 1-22, sections 9995-10340, not consecutive) filed 9-1-83; effective upon filing pursuant to Government Code section 11346.2(d) (Register 83, No. 36). CROSS REFERENCE: Title 9, Chapter 1, subchapter 6, sections 1000-1311.
2. Change without  regulatory effect  renumbering former section 9995 to new section 10000 filed 6-3-91 pursuant to title 1, section 100, California Code of Regulations (Register 91, No. 34).
3. Change without  regulatory effect deleting text and adding History 2 as editorial corrections of printing errors filed 9-24-93 pursuant to title 1, section 100, California Code of Regulations (Register 93, No. 39).
4. Amendment of chapter 4 heading filed 3-15-96 as an emergency; operative 3-15-96 (Register 96, No. 11). A Certificate of Compliance must be transmitted to OAL by 7-13-96 or emergency language will be repealed by operation of law on the following day.
5. Amendment of chapter 4 heading refiled 7-8-96 as an emergency; operative 7-12-96 (Register 96, No. 28). A Certificate of Compliance must be transmitted to OAL by 11-12-96 or emergency language will be repealed by operation of law on the following day.
6. Amendment of chapter 4 heading refiled 10-23-96 as an emergency; operative 10-29-96 (Register 96, No. 43). A Certificate of Compliance must be transmitted to OAL by 2-26-97 or emergency language will be repealed by operation of law on the following day.
7. Amendment of chapter 4 heading refiled 2-11-97 as an emergency; operative 2-24-97 (Register 97, No. 7). A Certificate of Compliance must be transmitted to OAL by 6-24-97 or emergency language will be repealed by operation of law on the following day.
8. Certificate of Compliance as to 2-11-97 order transmitted to OAL 3-4-97; disapproved by OAL and order of repeal as to 2-11-97 order filed 4-15-97 (Register 97, No. 16).
9. Amendment of chapter 4 heading filed 4-15-97 as an emergency; operative 4-15-97 (Register 97, No. 16). A Certificate of Compliance must be transmitted to OAL by 8-13-97 or emergency language will be repealed by operation of law on the following day.
10. Certificate of Compliance as to 4-15-97 order transmitted to OAL 6-2-97 and filed 6-13-97 (Register 97, No. 24).
§10000. Definitions.
Note     •     History

(a) The following definitions shall apply to terminology contained in Chapter 4, Division 4, Title 9, California Code of Regulations.
(1) Amendment. “Amendment” means written changes in the protocol.
(2) Detoxification Treatment. “Detoxification treatment” means the treatment modality whereby replacement narcotic therapy is used in decreasing, medically determined dosage levels for a period not more than 21 days, to reduce or eliminate opiate addiction, while the patient is provided treatment services.
(3) FDA. “FDA” means the United States Food and Drug Administration.
(4) Illicit Drug. “Illicit drug” means any substance defined as a drug in Section 11014, Chapter 1, Division 10 of the Health and Safety Code, except:
(A) Drugs or medications prescribed by a physician or other person authorized to prescribe drugs, pursuant to Section 4040, Chapter 9, Division 2 of the Business and Professions Code, and used in the dosage and frequency prescribed; or
(B) Over-the-counter drugs or medications used in the dosage and frequency described on the box, bottle, or package insert.
(5) Laboratory. “Laboratory” means a drug analysis laboratory approved and licensed by the State Department of Health Services to test or analyze samples of patient body specimens for the substances named in Section 10315 for a narcotic treatment program.
(6) Levoalphacetylmethadol (LAAM). “Levoalphacetylmethadol (LAAM) also known as Levo-Alpha-Acetyl-Methadol or levomethadyl acetate hydrochloride, means the substance that can be described chemically as levo-alpha-6-dimethylamino-4, 4-diphenyl-3-heptyl acetate hydrochloride.
(7) Maintenance Treatment. “Maintenance treatment” means the treatment modality whereby replacement narcotic therapy is used in sustained, stable, medically determined dosage levels for a period in excess of 21 days, to reduce or eliminate chronic opiate addiction, while the patient is provided a comprehensive range of treatment services.
(8) Medical Director. “Medical director” means the physician licensed to practice medicine in California who is responsible for medical services provided by the program.
(9) Medication. “Medication” means any opiate agonist medications that have been approved for use in replacement narcotic therapy, including:
(A) Methadone, and
(B) Levoalphacetylmethadol (LAAM)
(10) Medication Unit. “Medication unit” means a narcotic treatment facility, established by a program sponsor as part of a maintenance treatment program, from which licensed private practitioners and community pharmacists are permitted to administer and dispense medications used in replacement narcotic therapy. These medication units may also collect patient body specimens for testing or analysis of samples for illicit drug use.
(11) Methadone. “Methadone” means the substance that can be described as 6-dimenthylamino-4, 4-diphenyl-3-heptanone. Methadone doses are usually administered as methadone hydrochloride.
(12) Narcotic Drug. “Narcotic drug” means any controlled substance which produces insensibility or stupor and applies especially to opium or any of its natural derivatives or synthetic substitutes.
(13) Narcotic Treatment Program. “Narcotic treatment program” means any opiate addiction treatment modality, whether inpatient or outpatient, which offers replacement narcotic therapy in maintenance, detoxification, or other services in conjunction with that replacement narcotic therapy.
(14) “Opiate” means narcotic drug substances having an addiction-forming or addiction-sustaining liability similar to morphine or being capable of conversion into a drug having addiction-forming or addiction-sustaining liability; including heroin, morphine, methadone, or any natural or synthetic opiate as set forth in the California Uniform Controlled Substances Act (Health and Safety Code sections 11000, et seq.).
(15) Opiate Addiction. “Opiate Addiction,” and the related term “addiction to opiates,” mean a condition characterized by compulsion and lack of control that lead to illicit or inappropriate opiate-seeking behavior, including an opiate addiction that was acquired or supported by the misuse of a physician's legally prescribed narcotic medication.
(16) Physical Dependence. “Physical Dependence,” and related terms “dependence,” “dependency,” “dependent,” and “physiological dependence,” means a condition resulting from repeated administration of a drug that necessitates its continued use to prevent withdrawal syndrome that occurs when the drug is abruptly discontinued.
(17) Primary Metabolite of Methadone. “Primary metabolite of methadone” means 2-ethylidene-1, 5-dimethyl-3, 3-diphenylpyrrolidine.
(18) Program. “Program” means a narcotic treatment program, unless otherwise specified.
(19) Program Director. “Program director” means the person who has primary administrative responsibility for operation of an approved and licensed program.
(20) Program Sponsor. “Program sponsor” means the person or organization which has accepted final responsibility for operation of a narcotic treatment program. The program sponsor also may be the program director or medical director.
(21) Protocol. “Protocol” means a written document which sets forth a program's treatment concept, organization, and operational procedures in the form required by the Department.
(22) Rationale. “Rationale” means a rational statement of principles or the logical basis for a procedure.
(23) Replacement Narcotic Therapy. “Replacement narcotic therapy” means the medically supervised use of an opiate agonist medication that mimics the effects of endorphin, a naturally occurring compound, thus producing an opiate effect by interaction with the opioid receptor.
(24) Treatment. “Treatment” means services which will habilitate and rehabilitate patients with an opiate addiction to a basic level of social, life, work, and health capabilities that help them become productive, independent members of society; and will include:
(A) Replacement narcotic therapy;
(B) Evaluation of medical, employment, alcohol, criminal, and psychological problems;
(C) Screening for diseases that are disproportionately represented in the opiate-abusing population;
(D) Monitoring for illicit drug use;
(E) Counseling by addiction counselors that are evaluated through ongoing supervision; and
(F) Professional medical, social work, and mental health services, on-site or by referral (through contracted interagency agreements).
NOTE

Authority cited: Sections 11755, 11835, 11839.3 and 11839.20, Health and Safety Code. Reference: Division 10.5, Part 2, Chapter 10, Article 1 (commencing with Section 11839), Health and Safety Code.
HISTORY

1. New subchapter 4 (articles 1-22, sections 9995-10340, not consecutive) filed 9-1-83; effective upon filing pursuant to Government Code section 11346.2(d) (Register 83, No. 36). CROSS REFERENCE: title 9, chapter 1, subchapter 6, sections 1000-1311.
2. Change without regulatory effect renumbering and amending former section 9995 to section 10000 filed 6-3-91 pursuant to section 100, title 1, California Code of Regulations (Register 91, No. 34).
3. Amendment filed 3-15-96 as an emergency; operative 3-15-96 (Register 96, No. 11). A Certificate of Compliance must be transmitted to OAL by 7-13-96 or emergency language will be repealed by operation of law on the following day.
4. Amendment refiled 7-8-96 as an emergency; operative 7-12-96 (Register 96, No. 28). A Certificate of Compliance must be transmitted to OAL by 11-12-96 or emergency language will be repealed by operation of law on the following day.
5. Amendment refiled 10-23-96 as an emergency; operative 10-29-96 (Register 96, No. 43). A Certificate of Compliance must be transmitted to OAL by 2-26-97 or emergency language will be repealed by operation of law on the following day.
6. Amendment refiled 2-11-97 as an emergency; operative 2-24-97 (Register 97, No. 7). A Certificate of Compliance must be transmitted to OAL by 6-24-97 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 2-11-97 order transmitted to OAL 3-4-97; disapproved by OAL and order of repeal as to 2-11-97 order filed 4-15-97 (Register 97, No. 16).
8. Amendment filed 4-15-97 as an emergency; operative 4-15-97 (Register 97, No. 16). A Certificate of Compliance must be transmitted to OAL by 8-13-97 or emergency language will be repealed by operation of law on the following day.
9. Certificate of Compliance as to 4-15-97 order, including amendment of subsections (a)(2), (a)(4)(A), (a)(5), (a)(10), (a)(12), (a)(16) and (a)(17), transmitted to OAL 6-2-97 and filed 6-13-97 (Register 97, No. 24).
10. New subsection (a)(22) and subsection renumbering filed 6-29-98; operative 6-29-98 pursuant to Government Code section 11343.4(d) (Register 98, No. 27).
11. Change without regulatory effect amending Note filed 4-19-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 16).
§10005. [Repealed.]
History

HISTORY

1. Change without regulatory effect renumbering and amending former section 10066 to 10005 filed 6-3-91 pursuant to section 100, title 1, California Code of Regulations (Register 91, No. 34).
2. Repealer filed 3-15-96 as an emergency; operative 3-15-96 (Register 96, No. 11). A Certificate of Compliance must be transmitted to OAL by 7-13-96 or emergency language will be repealed by operation of law on the following day.
3. Repealer refiled 7-8-96 as an emergency; operative 7-12-96 (Register 96, No. 28). A Certificate of Compliance must be transmitted to OAL by 11-12-96 or emergency language will be repealed by operation of law on the following day.
4. Repealer refiled 10-23-96 as an emergency; operative 10-29-96 (Register 96, No. 43). A Certificate of Compliance must be transmitted to OAL by 2-26-97 or emergency language will be repealed by operation of law on the following day.
5. Repealer refiled 2-11-97 as an emergency; operative 2-24-97 (Register 97, No. 7). A Certificate of Compliance must be transmitted to OAL by 6-24-97 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 2-11-97 order transmitted to OAL 3-4-97; disapproved by OAL and order of repeal as to 2-11-97 order filed 4-15-97 (Register 97, No. 16).
7. Repealer filed 4-15-97 as an emergency; operative 4-15-97 (Register 97, No. 16). A Certificate of Compliance must be transmitted to OAL by 8-13-97 or emergency language will be repealed by operation of law on the following day.
8. Certificate of Compliance as to 4-15-97 order transmitted to OAL 6-2-97 and filed 6-13-97 (Register 97, No. 24).
§10006. Site Visits. [Renumbered]
Note     •     History

NOTE

Authority cited: Sections 11864 and 11876(a), Health and Safety Code. Reference: Section 11876(b) and (c), Health and Safety Code.
HISTORY

1. Change without regulatory effect renumbering former section 10006 to new section 10085 filed 6-3-91 pursuant to title 1, section 100, California Code of Regulations (Register 91, No. 34).
2. Change without  regulatory effect deleting text and adding History 1 as editorial corrections of printing errors filed 9-24-93 pursuant to title 1, section 100, California Code of Regulations (Register 93, No. 39).
§10007. Temporary Exceptions. [Renumbered]
Note     •     History

NOTE

Authority cited: Sections 11864 and 11876(a), Health and Safety Code. Reference: Section 11876(a), Health and Safety Code.
HISTORY

1. New section filed 7-22-86 as an emergency; designated effective 8-1-86 (Register 86, No. 30). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 12-1-86.
2. Repealed by operation of Government Code Section 11346.1(g) (Register 86, No. 50).
3. New section filed 12-11-86 as an emergency; designated effective 12-18-86 (Register 86, No. 50). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed on 4-17-87.
4. Certificate of Compliance transmitted to OAL 4-16-87 and filed 5-18-87 (Register 87, No. 27).
5. Change without  regulatory effect  renumbering former section 10007 to new section 10425 filed 6-3-91 pursuant to title 1, section 100, California Code of Regulations (Register 91, No. 34).
6. Change without  regulatory effect deleting text and adding History 5 as editorial corrections of printing errors filed 9-24-93 pursuant to title 1, section 100, California Code of Regulations (Register 93, No. 39).
§10008. Inspections. [Renumbered]
Note     •     History

NOTE

Authority cited: Sections 11864 and 11876(a), Health and Safety Code. Reference: Section 11876(b) and (c), Health and Safety Code.
HISTORY

1. Change without  regulatory effect  renumbering former section 10008 to new section 10080 filed 6-3-91 pursuant to title 1, section 100, California Code of Regulations (Register 91, No. 34).
2. Change without  regulatory effect deleting text and adding History 1 as editorial corrections of printing errors filed 9-24-93 pursuant to title 1, section 100, California Code of Regulations (Register 93, No. 39).
Subchapter 2. Licensure of Narcotic Treatment Programs
Article 1. Program Licensure
§10010. License Requirement.
Note     •     History

All narcotic treatment programs operating in the State of California shall be licensed by the Department of Alcohol and Drug Programs in accordance with the provisions of this article.
NOTE

Authority cited: Sections 11755, 11835, 11839.3 and 11839.20, Health and Safety Code. Reference: Sections 11217, 11839.3 and 11839.5, Health and Safety Code.
HISTORY

1. Change without regulatory effect renumbering and amending former section 10026(a) to 10010 filed 6-3-91 pursuant to section 100, title 1, California Code of Regulations (Register 91, No. 34).
2. Amendment of subchapter 2 heading and section filed 3-15-96 as an emergency; operative 3-15-96 (Register 96, No. 11). A Certificate of Compliance must be transmitted to OAL by 7-13-96 or emergency language will be repealed by operation of law on the following day.
3. Amendment of subchapter 2 heading and section refiled 7-8-96 as an emergency; operative 7-12-96 (Register 96, No. 28). A Certificate of Compliance must be transmitted to OAL by 11-12-96 or emergency language will be repealed by operation of law on the following day.
4. Amendment of subchapter 2 heading and section refiled 10-23-96 as an emergency; operative 10-29-96 (Register 96, No. 43). A Certificate of Compliance must be transmitted to OAL by 2-26-97 or emergency language will be repealed by operation of law on the following day.
5. Amendment of subchapter 2 heading and section refiled 2-11-97 as an emergency; operative 2-24-97 (Register 97, No. 7). A Certificate of Compliance must be transmitted to OAL by 6-24-97 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 2-11-97 order transmitted to OAL 3-4-97; disapproved by OAL and order of repeal as to 2-11-97 order filed 4-15-97 (Register 97, No. 16).
7. Amendment of subchapter 2 heading and section filed 4-15-97 as an emergency; operative 4-15-97 (Register 97, No. 16). A Certificate of Compliance must be transmitted to OAL by 8-13-97 or emergency language will be repealed by operation of law on the following day.
8. Certificate of Compliance as to 4-15-97 order transmitted to OAL 6-2-97 and filed 6-13-97 (Register 97, No. 24).
9. Change without regulatory effect amending Note filed 4-19-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 16).
§10012. Hospital Affiliation. [Renumbered]
Note     •     History

NOTE

Authority cited: Sections 11864 and 11876(a), Health and Safety Code. Reference: Section 11876(a), Health and Safety Code.
HISTORY

1. Change without  regulatory effect  renumbering former  section 10012 to new section 10340 filed 6-3-91 pursuant to title 1, section 100, California Code of Regulations (Register 91, No. 34).
2. Change without  regulatory effect deleting text and adding History 1 as editorial corrections of printing errors filed 9-24-93 pursuant to title 1, section 100, California Code of Regulations (Register 93, No. 39).
§10015. Licensure of Separate Facilities.
Note     •     History

If there is to be a centralized organizational structure, consisting of a primary program facility and other program facilities, whether inpatient or outpatient, all of which provide treatment services which exceed the administering or dispensing of medications and the collection of patient body specimens for testing or analysis of samples for illicit drug use, both the primary program and each other program facility must be licensed as separate programs, even though some services may be shared, such as the same hospital or treatment referral services.
NOTE

Authority cited: Sections 11755, 11835, 11839.3 and 11839.20, Health and Safety Code. Reference: Sections 11217, 11839.2, 11839.3 and 11839.5, Health and Safety Code.
HISTORY

1. Change without regulatory effect renumbering and amending former section 10026(f) to 10015 filed 6-3-91 pursuant to section 100, title 1, California Code of Regulations (Register 91, No. 34).
2. Amendment of section and Note filed 3-15-96 as an emergency; operative 3-15-96 (Register 96, No. 11). A Certificate of Compliance must be transmitted to OAL by 7-13-96 or emergency language will be repealed by operation of law on the following day.
3. Amendment of section and Note refiled 7-8-96 as an emergency; operative 7-12-96 (Register 96, No. 28). A Certificate of Compliance must be transmitted to OAL by 11-12-96 or emergency language will be repealed by operation of law on the following day.
4. Amendment of section and Note refiled 10-23-96 as an emergency; operative 10-29-96 (Register 96, No. 43). A Certificate of Compliance must be transmitted to OAL by 2-26-97 or emergency language will be repealed by operation of law on the following day.
5. Amendment of section and Note refiled 2-11-97 as an emergency; operative 2-24-97 (Register 97, No. 7). A Certificate of Compliance must be transmitted to OAL by 6-24-97 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 2-11-97 order transmitted to OAL 3-4-97; disapproved by OAL and order of repeal as to 2-11-97 order filed 4-15-97 (Register 97, No. 16).
7. Amendment of section and Note filed 4-15-97 as an emergency; operative 4-15-97 (Register 97, No. 16). A Certificate of Compliance must be transmitted to OAL by 8-13-97 or emergency language will be repealed by operation of law on the following day.
8. Certificate of Compliance as to 4-15-97 order, including amendment, transmitted to OAL 6-2-97 and filed 6-13-97 (Register 97, No. 24).
9. Change without regulatory effect amending Note filed 4-19-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 16).
§10020. Licensure of Medication Units.
Note     •     History

(a) In order to lawfully operate a medication unit in California for patients in maintenance treatment, the sponsoring program shall first receive approval of the FDA and licensure by the Department.
(b) The Department may license the operation of a medication unit when the Department determines that the sponsoring program has satisfactorily demonstrated in its protocol that the following conditions and requirements have been met:
(1) The proposed location of the medication unit and the area to be served by the proposed medication unit are geographically isolated to such an extent that regular patient travel to the sponsoring program facility is impractical and would cause the patient great hardship.
(2) Treatment services are limited to the administering and dispensing of medications and the collection of patient body specimens for testing or analysis of samples for illicit drug use.
(3) The program's protocol describes how every patient in maintenance treatment that is assigned to the medication unit will participate in the regular treatment provided by the sponsoring program.
(4) Patient enrollment is of reasonable size in relation to the space available for treatment and the size of the staff at the facility.
(5) Maximum enrollment in a medication unit does not exceed 30 patients.
NOTE

Authority cited: Sections 11755, 11835, 11839.3 and 11839.20, Health and Safety Code. Reference: Sections 11217, 11839.3 and 11839.5, Health and Safety Code.
HISTORY

1. Change without regulatory effect renumbering and amending former sections 10020 and 10022 to 10020 filed 6-3-91 pursuant to section 100, title 1, California Code of Regulations (Register 91, No. 34).
2. Amendment of section filed 3-15-96 as an emergency; operative 3-15-96 (Register 96, No. 11). A Certificate of Compliance must be transmitted to OAL by 7-13-96 or emergency language will be repealed by operation of law on the following day.
3. Amendment of section refiled 7-8-96 as an emergency; operative 7-12-96 (Register 96, No. 28). A Certificate of Compliance must be transmitted to OAL by 11-12-96 or emergency language will be repealed by operation of law on the following day.
4. Amendment of section refiled 10-23-96 as an emergency; operative 10-29-96 (Register 96, No. 43). A Certificate of Compliance must be transmitted to OAL by 2-26-97 or emergency language will be repealed by operation of law on the following day.
5. Amendment of section refiled 2-11-97 as an emergency; operative 2-24-97 (Register 97, No. 7). A Certificate of Compliance must be transmitted to OAL by 6-24-97 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 2-11-97 order transmitted to OAL 3-4-97; disapproved by OAL and order of repeal as to 2-11-97 order filed 4-15-97 (Register 97, No. 16).
7. Amendment filed 4-15-97 as an emergency; operative 4-15-97 (Register 97, No. 16). A Certificate of Compliance must be transmitted to OAL by 8-13-97 or emergency language will be repealed by operation of law on the following day.
8. Certificate of Compliance as to 4-15-97 order, including amendment of section heading and section, transmitted to OAL 6-2-97 and filed 6-13-97 (Register 97, No. 24).
9. Change without regulatory effect amending Note filed 4-19-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 16).
§10022. Conditions for License. [Renumbered]
Note     •     History

NOTE

Authority cited: Sections 11864 and 11876(a), Health and Safety Code. Reference: Section 11876(a), Health and Safety Code.
HISTORY

1. Change without  regulatory effect  renumbering former section 10022 to new subsection 10020(b) filed 6-3-91 pursuant to title 1, section 100, California Code of Regulations (Register 91, No. 34).
2. Change without  regulatory effect deleting text and adding History 1 as editorial corrections of printing errors filed 9-24-93 pursuant to title 1, section 100, California Code of Regulations (Register 93, No. 39).
§10025. Place to Obtain Forms and Submit Protocols.
Note     •     History

All Department forms for narcotic treatment programs may be obtained from, and completed protocols and other forms shall be sent to:
Department of Alcohol and Drug Programs
1700 K Street
Sacramento, CA 95811-4037
NOTE

Authority cited: Sections 11755, 11835, 11839.3 and 11839.20, Health and Safety Code. Reference: Section 11839.3, Health and Safety Code.
HISTORY

1. Change without regulatory effect renumbering and amending former section 10034 to 10025 filed 6-3-91 pursuant to section 100, title 1, California Code of Regulations (Register 91, No. 34).
2. Amendment of section filed 3-15-96 as an emergency; operative 3-15-96 (Register 96, No. 11). A Certificate of Compliance must be transmitted to OAL by 7-13-96 or emergency language will be repealed by operation of law on the following day.
3. Amendment of section refiled 7-8-96 as an emergency; operative 7-12-96 (Register 96, No. 28). A Certificate of Compliance must be transmitted to OAL by 11-12-96 or emergency language will be repealed by operation of law on the following day.
4. Amendment of section refiled 10-23-96 as an emergency; operative 10-29-96 (Register 96, No. 43). A Certificate of Compliance must be transmitted to OAL by 2-26-97 or emergency language will be repealed by operation of law on the following day.
5. Amendment of section refiled 2-11-97 as an emergency; operative 2-24-97 (Register 97, No. 7). A Certificate of Compliance must be transmitted to OAL by 6-24-97 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 2-11-97 order transmitted to OAL 3-4-97; disapproved by OAL and order of repeal as to 2-11-97 order filed 4-15-97 (Register 97, No. 16).
7. Amendment filed 4-15-97 as an emergency; operative 4-15-97 (Register 97, No. 16). A Certificate of Compliance must be transmitted to OAL by 8-13-97 or emergency language will be repealed by operation of law on the following day.
8. Certificate of Compliance as to 4-15-97 order transmitted to OAL 6-2-97 and filed 6-13-97 (Register 97, No. 24).
9. Change without regulatory effect amending Note filed 4-19-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 16).
10. Change without regulatory effect amending section filed 3-6-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 10).
§10026. Program License Procedures--Original License. [Renumbered]
Note     •     History

NOTE

Authority cited: Sections 11864 and 11876(a), Health and Safety Code; and Section 15376, Government Code. Reference: Sections 11876(a), 11877 and 11878, Health and Safety Code; and Section 15376(a), (b) and (c), Government Code.
HISTORY

1. Amendment filed 12-13-84; effective thirtieth day thereafter (Register 84, No. 50).
2. Change without regulatory effect renumbering former subsection 10026(a) to new section 10010, former subsections 10026(b)-(c) to new subsection 10055(a), former subsection 10026(d) to new subsection 10040(a), former subsection 10026(e) to new subsection 10045(a), former subsection 10026(f) to new section 10015, former subsections 10026(g)-(g)(3) to new subsection 10040(b), former subsection 10026(h) to new subsection 10030(b), former  subsections 10026(i)-(i)(2) to new subsection 10045(b), former subsection 10026(j) to new subsection 10045(c), and former subsections 10026(k)-(k)(3) to new subsection 10045(d) filed 6-3-91 pursuant to title 1, section 100, California Code of Regulations (Register 91, No. 34).
3. Change without  regulatory effect deleting text and adding History 2 as editorial corrections of printing errors filed 9-24-93 pursuant to title 1, section 100, California Code of Regulations (Register 93, No. 39).
§10028. Program License--Annual Renewal. [Renumbered]
Note     •     History

NOTE

Authority cited: Sections 11864 and 11876(a), Health and Safety Code; and Section 15376, Government Code. Reference: Sections 11876(a), 11877 and 11878, Health and Safety Code; and Section 15376(a), (b) and (c), Government Code.
HISTORY

1. Amendment filed 12-13-84; effective thirtieth day thereafter (Register 84, No. 50).
2. Change without  regulatory effect  renumbering former  section 10028 to new section 10055(b)-(e) filed 6-3-91 pursuant to title 1, section 100, California Code of Regulations (Register 91, No. 34).
3. Change without  regulatory effect deleting text and adding History 2 as editorial corrections of printing errors filed 9-24-93 pursuant to title 1, section 100, California Code of Regulations (Register 93, No. 39).
§10030. Protocol for Proposed Programs.
Note     •     History

(a) The program sponsor shall submit or cause to be submitted on its behalf to the Department a written protocol which shall serve as an application for licensure by the Department. The protocol shall include, but not be shall not be limited to, the following information:
(1) Plan of operation.
(2) A description of the geographical area to be served by the program.
(3) Population and area to be served.
(4) The estimated number of persons in the described area having an addiction to opiates and an explanation of the basis of such estimate.
(5) The estimated number of persons in the described area having an addiction to opiates that are presently in a narcotic treatment program and other treatment programs.
(6) The number of patients in regular treatment, projected rate of intake, and factors controlling projected intake.
(7) Program goals.
(8) Research goals.
(9) Plan for evaluation.
(10) County Drug Program Administrator's certification.
(11) Letters of community support.
(12) Patient identification system.
(13) Control and security of identification cards.
(14) System to prevent patient's multiple program registration.
(15) Organizational responsibility.
(16) Persons responsible for program.
(17) First-year budget, listing available, pending, or projected funds. Copies of letters verifying funding shall also be submitted with the protocol. Subsequent years' budgets may be submitted as amendments to the original, approved protocol.
(18) Schedule of patient fees.
(19) Duties and responsibilities of each staff member and the relationship between the staffing pattern and the treatment goals.
(20) Each staff member's profile and resume of educational and professional experience.
(21) Duties and responsibilities of the medical director.
(22) Plan for delegation of the medical director's duties, if appropriate.
(23) Training and experience of counselors.
(24) Counselor caseload.
(25) Procedures and criteria for patient selection.
(26) Program rules and instructions.
(27) Facility description.
(28) Initial, medically determined dosage levels.
(29) Decreasing, medically determined dosage levels for patients in detoxification treatment and stable, medically determined dosage levels for patients in maintenance treatment.
(30) Operational procedures.
(31) Procedures, which provide for cooperation with local jails for either detoxification or maintenance treatment while in custody, in the event of patient hospitalization or incarceration.
(32) Procedures in the event of emergency or disaster.
(33) Testing or analysis procedures for illicit drug use which utilize random selection or unannounced collection.
(34) Procedures for scheduled termination, voluntary termination, and involuntary termination for cause, including reasons for termination for cause.
(35) Fair hearings.
(36) Copies of all forms developed and to be used by the proposed program.
(37) Facility address and dimensions.
(38) Amount of space devoted to narcotic treatment, including waiting, counseling, dispensing, and storage areas.
(39) Days and hours of medication program dispensing.
(40) Days and hours for other narcotic treatment program services.
(41) Type of services provided and the hours of use, if the facility is also used for purposes other than a narcotic treatment program.
(42) Diagram of the facility housing the narcotic treatment program and an accompanying narrative which describes patient flow. The diagram and narrative shall specify:
(A) Waiting areas.
(B) Office space.
(C) Medication administration area.
(D) Patient body specimen collection locations for testing or analysis of samples for illicit drug use.
(E) Record storage area.
(F) Parking or transportation access.
(G) The relation of the narcotic treatment program to the total facility.
(b) There shall be attached to the protocol a letter of cooperation from each agency which the protocol indicates will provide services or financial support to the program. Such letters shall be listed in the text of the protocol.
(c) A protocol proposing a new program or a complete revision of the protocol of an approved and licensed program shall be submitted to the Department on a form furnished by the Department.
(d) A protocol shall be current, detailed, specific, and complete to permit evaluation by the Department and to provide a basis for compliance inspections or surveys.
NOTE

Authority cited: Sections 11755, 11835, 11839.3 and 11839.20, Health and Safety Code. Reference: Sections 11215, 11217, 11839.2, 11839.3, 11839.20 and 11839.22, Health and Safety Code.
HISTORY

1. Change without regulatory effect renumbering and amending former section 10042 to 10030 filed 6-3-91 pursuant to section 100, title 1, California Code of Regulations (Register 91, No. 34).
2. Amendment of section and Note filed 3-15-96 as an emergency; operative 3-15-96 (Register 96, No. 11). A Certificate of Compliance must be transmitted to OAL by 7-13-96 or emergency language will be repealed by operation of law on the following day.
3. Amendment of section and Note refiled 7-8-96 as an emergency; operative 7-12-96 (Register 96, No. 28). A Certificate of Compliance must be transmitted to OAL by 11-12-96 or emergency language will be repealed by operation of law on the following day.
4. Amendment of section and Note refiled 10-23-96 as an emergency; operative 10-29-96 (Register 96, No. 43). A Certificate of Compliance must be transmitted to OAL by 2-26-97 or emergency language will be repealed by operation of law on the following day.
5. Amendment of section and Note refiled 2-11-97 as an emergency; operative 2-24-97 (Register 97, No. 7). A Certificate of Compliance must be transmitted to OAL by 6-24-97 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 2-11-97 order transmitted to OAL 3-4-97; disapproved by OAL and order of repeal as to 2-11-97 order filed 4-15-97 (Register 97, No. 16).
7. Amendment of section and Note filed 4-15-97 as an emergency; operative 4-15-97 (Register 97, No. 16). A Certificate of Compliance must be transmitted to OAL by 8-13-97 or emergency language will be repealed by operation of law on the following day.
8. Certificate of Compliance as to 4-15-97 order, including amendment of subsections (a)(29) and (a)(42)(D), transmitted to OAL 6-2-97 and filed 6-13-97 (Register 97, No. 24).
9. Change without regulatory effect amending Note filed 4-19-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 16).
§10032. Commencing Program Operation. [Renumbered]
Note     •     History

NOTE

Authority cited: Sections 11864 and 11876(a), Health and Safety Code. Reference: Sections 11876(a), 11877, 11877.5 and 11878, Health and Safety Code.
HISTORY

1. Change without  regulatory effect  renumbering former  section 10032 to new section 10050 filed 6-3-91 pursuant to title 1, section 100, California Code of Regulations (Register 91, No. 34).
2. Change without  regulatory effect deleting text and adding History 1 as editorial corrections of printing errors filed 9-24-93 pursuant to title 1, section 100, California Code of Regulations (Register 93, No. 39).
§10034. Place to Obtain Forms and Submit Protocols. [Renumbered]
Note     •     History

NOTE

Authority cited: Sections 11864 and 11876(a), Health and Safety Code. Reference: Section 11876(a), Health and Safety Code.
HISTORY

1. Change without  regulatory effect  renumbering former  section 10034 to new section 10025 filed 6-3-91 pursuant to title 1, section 100, California Code of Regulations (Register 91, No. 34).
2. Change without  regulatory effect deleting text and adding History 1 as editorial corrections of printing errors filed 9-24-93 pursuant to title 1, section 100, California Code of Regulations (Register 93, No. 39).
§10035. Protocol Amendments and Changes.
Note     •     History

(a) The following changes in a program's protocol require the prior approval of the Department and shall be submitted to the Department as an amendment to the protocol:
(1) Any change of location of the program, or of any portion of the program, including any dispensing facility or other unit.
(2) Any change in the number of authorized patients or facilities.
(3) Any reduction or termination of services.
(4) Any change in program sponsor.
(b) All other significant changes in the protocol shall be reported to the Department in writing within 30 days after the date such change becomes effective.
(c) Each proposed amendment shall be accompanied by a written statement of the estimated impact of the proposed amendment or significant change upon the population and area served, funding and budget, staff, and facilities, and upon any other portion of the approved protocol affected by the proposed amendment or significant change. The effective date of implementation of the proposed amendment or significant change shall be included. Amendments or significant changes shall consist of a series of dated page revisions for insertion into the approved protocol.
(d) An amendment proposing multiple locations for administering medications shall contain a description of safeguards to prevent multiple administering to one patient from different facilities, a description of the security arrangements to be used in the transfer of medications to and from facilities, and a description of security arrangements to be used at the administering facility.
(e) An amendment proposing an increase in the licensed capacity for detoxification or maintenance treatment at a program shall be subject to the Department's determination that the program is currently in compliance with applicable state and federal laws and regulations.
NOTE

Authority cited: Sections 11755, 11835, 11839.3 and 11839.20, Health and Safety Code. Reference: Sections 11215, 11217, 11839.2, 11839.3 and 11839.22, Health and Safety Code.
HISTORY

1. Change without regulatory effect renumbering and amending former section 10048 to 10035 filed 6-3-91 pursuant to section 100, title 1, California Code of Regulations (Register 91, No. 34).
2. Amendment of subsection (d), new subsection (e) and amendment of Note filed 3-15-96 as an emergency; operative 3-15-96 (Register 96, No. 11). A Certificate of Compliance must be transmitted to OAL by 7-13-96 or emergency language will be repealed by operation of law on the following day.
3. Amendment of subsection (d), new subsection (e) and amendment of Note refiled 7-8-96 as an emergency; operative 7-12-96 (Register 96, No. 28). A Certificate of Compliance must be transmitted to OAL by 11-12-96 or emergency language will be repealed by operation of law on the following day.
4. Amendment of subsection (d), new subsection (e) and amendment of Note refiled 10-23-96 as an emergency; operative 10-29-96 (Register 96, No. 43). A Certificate of Compliance must be transmitted to OAL by 2-26-97 or emergency language will be repealed by operation of law on the following day.
5. Amendment of section and Note refiled 2-11-97 as an emergency; operative 2-24-97 (Register 97, No. 7). A Certificate of Compliance must be transmitted to OAL by 6-24-97 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 2-11-97 order transmitted to OAL 3-4-97; disapproved by OAL and order of repeal as to 2-11-97 order filed 4-15-97 (Register 97, No. 16).
7. Amendment of subsection (d), new subsection (e) and amendment of Note filed 4-15-97 as an emergency; operative 4-15-97 (Register 97, No. 16). A Certificate of Compliance must be transmitted to OAL by 8-13-97 or emergency language will be repealed by operation of law on the following day.
8. Certificate of Compliance as to 4-15-97 order transmitted to OAL 6-2-97 and filed 6-13-97 (Register 97, No. 24).
9. Change without regulatory effect amending Note filed 4-19-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 16).
§10040. Certification by County Drug Program Administrator.
Note     •     History

(a) A completed, original protocol shall be filed with the County Drug Program Administrator, as the narcotic treatment program's application for original licensure.
(b) There shall be attached to the protocol a certification from the County Drug Program Administrator which shall include:
(1) A certification of need for the proposed narcotic treatment program services.
(2) A certification that all local ordinances, fire regulations, and local planning agency requirements have been complied with.
(3) A recommendation for program licensure.
NOTE

Authority cited: Sections 11755, 11835, 11839.3 and 11839.20, Health and Safety Code. Reference: Sections 11839.3 and 11839.5, Health and Safety Code.
HISTORY

1. Change without regulatory effect renumbering and amending former section 10026(d) and (g) to 10040 filed 6-3-91 pursuant to section 100, title 1, California Code of Regulations (Register 91, No. 34).
2. Amendment of subsections (a) and (b)(1) filed 3-15-96 as an emergency; operative 3-15-96 (Register 96, No. 11). A Certificate of Compliance must be transmitted to OAL by 7-13-96 or emergency language will be repealed by operation of law on the following day.
3. Amendment of subsections (a) and (b)(1) refiled 7-8-96 as an emergency; operative 7-12-96 (Register 96, No. 28). A Certificate of Compliance must be transmitted to OAL by 11-12-96 or emergency language will be repealed by operation of law on the following day.
4. Amendment of subsections (a) and (b)(1) refiled 10-23-96 as an emergency; operative 10-29-96 (Register 96, No. 43). A Certificate of Compliance must be transmitted to OAL by 2-26-97 or emergency language will be repealed by operation of law on the following day.
5. Amendment of subsections (a) and (b)(1) refiled 2-11-97 as an emergency; operative 2-24-97 (Register 97, No. 7). A Certificate of Compliance must be transmitted to OAL by 6-24-97 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 2-11-97 order transmitted to OAL 3-4-97; disapproved by OAL and order of repeal as to 2-11-97 order filed 4-15-97 (Register 97, No. 16).
7. Amendment of subsections (a) and (b)(1) filed 4-15-97 as an emergency; operative 4-15-97 (Register 97, No. 16). A Certificate of Compliance must be transmitted to OAL by 8-13-97 or emergency language will be repealed by operation of law on the following day.
8. Certificate of Compliance as to 4-15-97 order transmitted to OAL 6-2-97 and filed 6-13-97 (Register 97, No. 24).
9. Change without regulatory effect amending Note filed 4-19-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 16).
§10042. Protocol for Proposed Programs. [Renumbered]
Note     •     History

NOTE

Authority cited: Sections 11864 and 11876(a), Health and Safety Code. Reference: Sections 11215, 11216, 11217, 11876(a), (c), and (e), 11879, 11880 and 11882, Health and Safety Code.
HISTORY

1. Change without  regulatory effect  renumbering former  section 10042 to new section 10030 filed 6-3-91 pursuant to title 1, section 100, California Code of Regulations (Register 91, No. 34).
2. Change without  regulatory effect deleting text and adding History 1 as editorial corrections of printing errors filed 9-24-93 pursuant to title 1, section 100, California Code of Regulations (Register 93, No. 39).
§10044. Additional Protocol Requirements for Methadone Maintenance Treatment Programs. [Renumbered]
Note     •     History

NOTE

Authority cited: Sections 11864 and 11876(a), Health and Safety Code. Reference: Sections 11215, 11216, 11217(a), 11876(a), (c), and (e), 11879, 11880 and 11882, Health and Safety Code.
HISTORY

1. Change without  regulatory effect  renumbering former  section 10044 to new subsections 10030(a)(33)-(34) filed 6-3-91 pursuant to title 1, section 100, California Code of Regulations (Register 91, No. 34).
2. Change without  regulatory effect deleting text and adding History 1 as editorial corrections of printing errors filed 9-24-93 pursuant to title 1, section 100, California Code of Regulations (Register 93, No. 39).
§10045. Approval of License Application.
Note     •     History

(a) The Department may license a program if such program is determined by the Department to have submitted a satisfactory protocol and to be able to conform to all applicable statutory requirements and regulations, and has demonstrated need and support of the County Drug Program Administrator.
(b) The Department shall notify the applicant, in writing, within 45 days of receipt of the application whether such application is either:
(1) Complete, and accepted for filing; or
(2) Incomplete, and the licensing process shall cease unless and until the applicant provides the specific material outlined in the notification.
(c) The Department shall either approve or disapprove, in writing, an application for licensure of a narcotic treatment program within 45 days after filing of a completed application.
(d) The Department shall process applications in a timely manner, consistent with the Department's responsibility to protect the health and safety of the patient and the public. As of April 1, 1983, the Department's experience in processing an application from initial submission of the application to the final determination is as follows:
(1) median time is 96 days.
(2) minimum time is 27 days.
(3) maximum time is 388 days.
NOTE

Authority cited: Sections 11755, 11835, 11839.3 and 11839.20, Health and Safety Code; and Section 15376, Government Code. Reference: Sections 11839.3, 11839.5 and 11839.19, Health and Safety Code; and Section 15376, Government Code.
HISTORY

1. Change without regulatory effect renumbering and amending parts of former section 10026 to 10045 filed 6-3-91 pursuant to section 100, title 1, California Code of Regulations (Register 91, No. 34).
2. Amendment of subsection (c) filed 3-15-96 as an emergency; operative 3-15-96 (Register 96, No. 11). A Certificate of Compliance must be transmitted to OAL by 7-13-96 or emergency language will be repealed by operation of law on the following day.
3. Amendment of subsection (c) refiled 7-8-96 as an emergency; operative 7-12-96 (Register 96, No. 28). A Certificate of Compliance must be transmitted to OAL by 11-12-96 or emergency language will be repealed by operation of law on the following day.
4. Amendment of subsection (c) refiled 10-23-96 as an emergency; operative 10-29-96 (Register 96, No. 43). A Certificate of Compliance must be transmitted to OAL by 2-26-97 or emergency language will be repealed by operation of law on the following day.
5. Amendment of subsection (c) refiled 2-11-97 as an emergency; operative 2-24-97 (Register 97, No. 7). A Certificate of Compliance must be transmitted to OAL by 6-24-97 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 2-11-97 order transmitted to OAL 3-4-97; disapproved by OAL and order of repeal as to 2-11-97 order filed 4-15-97 (Register 97, No. 16).
7. Amendment of subsection (c) filed 4-15-97 as an emergency; operative 4-15-97 (Register 97, No. 16). A Certificate of Compliance must be transmitted to OAL by 8-13-97 or emergency language will be repealed by operation of law on the following day.
8. Certificate of Compliance as to 4-15-97 order transmitted to OAL 6-2-97 and filed 6-13-97 (Register 97, No. 24).
9. Change without regulatory effect amending Note filed 4-19-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 16).
§10046. Program Procedure Manual. [Renumbered]
Note     •     History

NOTE

Authority cited: Sections 11864 and 11876(a), Health and Safety Code. Reference: Sections 11215, 11216, 11217, 11876(a), (c), and (e), 11879, 11880 and 11882, Health and Safety Code.
HISTORY

1. Change without  regulatory effect  renumbering former  section 10046 to new section 10175 filed 6-3-91 pursuant to title 1, section 100, California Code of Regulations (Register 91, No. 34).
2. Change without  regulatory effect deleting text and adding History 1 as editorial corrections of printing errors filed 9-24-93 pursuant to title 1, section 100, California Code of Regulations (Register 93, No. 39).
§10048. Protocol Amendments and Changes. [Renumbered]
Note     •     History

NOTE

Authority cited: Sections 11864 and 11876(a), Health and Safety Code. Reference: Sections 11215, 11216, 11217, 11876(a), (c), and (e), 11879, 11880 and 11882, Health and Safety Code.
HISTORY

1. Change without  regulatory effect  renumbering former  section 10048 to new section 10035 filed 6-3-91 pursuant to title 1, section 100, California Code of Regulations (Register 91, No. 34).
2. Change without  regulatory effect deleting text and adding History 1 as editorial corrections of printing errors filed 9-24-93 pursuant to title 1, section 100, California Code of Regulations (Register 93, No. 39).
§10050. Commencing Program Operation.
Note     •     History

(a) Each program licensed by the Department shall become operational within six months after the date of licensure. Programs which fail to meet this time limit may reapply for a license by submitting to the Department a letter of explanation or a new protocol.
(b) Each program shall notify the Department in advance of the date the program plans to begin its operations. Each program shall also notify the Department of the date such operations actually commence.
NOTE

Authority cited: Sections 11755, 11835, 11839.3 and 11839.20, Health and Safety Code. Reference: Sections 11839.3, 11839.5, 11839.7 and 11839.19, Health and Safety Code.
HISTORY

1. Change without regulatory effect renumbering and amending parts of former section 10032 to 10050 filed 6-3-91 pursuant to section 100, title 1, California Code of Regulations (Register 91, No. 34).
2. Change without regulatory effect amending Note filed 4-19-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 16).
§10055. Period of Licensure and Annual License Renewal.
Note     •     History

(a) Narcotic treatment programs shall not be licensed for more than one year.
(b) The Department shall renew a program's license annually if:
(1) The Department determines that the program is in satisfactory compliance with the requirements of article 1, chapter 10, part 2, division 10.5, of the Health and Safety Code, and this article.
(2) The County Drug Program Administrator submits to the Department:
(A) A certification of need for continued services of the narcotic treatment program.
(B) A recommendation for renewal of the license.
(c) Within 30 days of receipt of a renewal application, the Department shall notify the licensee, in writing, whether the application is:
(1) Complete, and the renewal licensing process shall continue; or
(2) Incomplete, and specified materials must be submitted to complete the application.
(d) Within 60 days of receipt of a completed renewal application the Department shall either relicense the program or deny licensure.
(e) As of April 1, 1983, the Department's experience in processing a renewal application from initial submission of the application to the final determination is as follows:
(1) Median time is 60 days.
(2) Minimum time is 5 days.
(3) Maximum time is 90 days.
NOTE

Authority cited: Sections 11755, 11835, 11839.3 and 11839.20, Health and Safety Code. Reference: Section 15376, Government Code; and Sections 11839.3, 11839.5 and 11839.19, Health and Safety Code.
HISTORY

1. Change without regulatory effect renumbering and amending parts of former section 10028 to 10055 filed 6-3-91 pursuant to section 100, title 1, California Code of Regulations (Register 91, No. 34).
2. Amendment of subsections (a) and (b)(2)(A) filed 3-15-96 as an emergency; operative 3-15-96 (Register 96, No. 11). A Certificate of Compliance must be transmitted to OAL by 7-13-96 or emergency language will be repealed by operation of law on the following day.
3. Amendment of subsections (a) and (b)(2)(A) refiled 7-8-96 as an emergency; operative 7-12-96 (Register 96, No. 28). A Certificate of Compliance must be transmitted to OAL by 11-12-96 or emergency language will be repealed by operation of law on the following day.
4. Amendment of subsections (a) and (b)(2)(A) refiled 10-23-96 as an emergency; operative 10-29-96 (Register 96, No. 43). A Certificate of Compliance must be transmitted to OAL by 2-26-97 or emergency language will be repealed by operation of law on the following day.
5. Amendment of subsections (a) and (b)(2)(A) refiled 2-11-97 as an emergency; operative 2-24-97 (Register 97, No. 7). A Certificate of Compliance must be transmitted to OAL by 6-24-97 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 2-11-97 order transmitted to OAL 3-4-97; disapproved by OAL and order of repeal as to 2-11-97 order filed 4-15-97 (Register 97, No. 16).
7. Amendment of subsections (a) and (b)(2)(A) filed 4-15-97 as an emergency; operative 4-15-97 (Register 97, No. 16). A Certificate of Compliance must be transmitted to OAL by 8-13-97 or emergency language will be repealed by operation of law on the following day.
8. Certificate of Compliance as to 4-15-97 order transmitted to OAL 6-2-97 and filed 6-13-97 (Register 97, No. 24).
9. Change without regulatory effect amending subsection (b)(1) and Note filed 4-19-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 16).
§10056. License Fees.
Note     •     History

(a) The Department shall assess a license fee to cover the cost of licensing narcotic treatment programs required to pay a licensing fee pursuant to Section 11839.7 of the Health and Safety Code. 
As used in this regulation, “license fee” means: 
(1) A fee for initial application for licensure (including licensure of components such as medication units); and 
(2) An annual license fee, which shall include: 
(A) A base annual license fee; 
(B) A patient slot fee, based on the narcotic treatment program's authorized patient capacity; and 
(3) A relocation fee, to be paid when the narcotic treatment program requests approval to move to another location, pursuant to Section 10035. 
(b) The Department calculated license fees for FY 2006-2007 by multiplying the prior year's (FY 2004-2005) license fees by the annual increase (3.3%) in the Consumer Price Index (CPI), as published by the California Department of Finance and adding that amount to the prior year's fees. 
License fees for fiscal year 2006-07 are shown below: 

View Graphic
(c) For future years the Department shall calculate license fees by multiplying the prior year's license fees by the most recent annual increase in the Consumer Price Index and adding that amount to the prior year's fees. 
For example, if the most recent CPI were four percent (4%) and costs were $1,889,000, license fees for the future fiscal year would be as shown below: 

View Graphic
(d) No later than April 30 of each year, the Department shall calculate the annual license fee for the future fiscal year (July 1st through June 30th) 
(e) No later than April 30 of each year, following the effective date of this regulation, the Department shall give written notice to narcotic treatment program licensees of the license fees for the future fiscal year and the manner in which they were calculated, including data used in making the calculation. 
(f) Applicants for initial licensure or relocation shall include the required fee with their application for licensure or relocation. 
(1) The Department shall terminate review of the application if the applicant fails to include the required fee. 
(2) The Department shall not refund the fee if the Department denies the application. 
(3) Upon approval of the application for initial licensure, the Department shall send the licensee an invoice stating the amount of the prorated base annual license fee and the slot fees due for the remainder of the fiscal year. 
(g) In August of each year the Department shall send license renewal invoices to all licensees, stating the amount of the base annual license fee and slot fees due for the fiscal year. 
(h) The licensee may pay annual license fees once annually or quarterly in arrears. 
(1) If the licensee pays the total annual license fees once annually, he/she shall submit the amount of the total annual license fees in time to be received by the Department by September 30th of the same year. 
(2) If the licensee pays the annual license fees quarterly in arrears, he/she shall submit one quarter of the total annual license fees in time to be received by the Department by September 30th, December 31st, March 31st, and May 31st of the same fiscal year. 
(3) If the licensee fails to timely submit the annual license fees in accordance with the requirements of this subsection, the Department shall issue a written notice of deficiency within seven (7) calendar days of the date payment was due. The notice of deficiency shall: 
(A) Notify the licensee that he/she has failed to pay license fees in accordance with the requirements of this regulation; 
(B) Specify the amount of the license fees due; 
(C) State the date by which the license fees were due; 
(D) Notify the licensee that his/her license shall not be renewed unless all license fees have been paid by May 31st of the same fiscal year; 
(E) Notify the licensee that the Department shall assess a civil penalty in the amount of $100 per day for each day from the date the license fees were due until the date the licensee pays the license fees; and 
(F) Notify the licensee that he/she may appeal civil penalties in accordance with Section 10057. 
(4) If the Department fails to issue a written notice of deficiency within seven (7) calendar days, the Department shall not assess the civil penalty until the date of the notice. Failure to issue a written notice of deficiency within seven (7) calendar days shall not relieve the licensee of his/her obligation to pay license fees and shall not entitle the licensee to renewal of his/her license. 
NOTE

Authority cited: Sections 11755, 11835, 11839.3 and 11839.20, Health and Safety Code. Reference: Sections 11839.3 and 11839.7, Health and Safety Code. 
HISTORY

1. New section filed 6-7-2006; operative 6-7-2006 pursuant to Government Code section 11343.4 (Register 2006, No. 23).
§10057. Administrative Review of Licensing Actions.
Note     •     History

(a) “Licensing action” means any administrative action taken by the Department which would adversely affect the license of a Narcotic Treatment Program (NTP), including, but not limited to: 
(1) Denial of an application for a license; 
(2) Denial of a request for renewal or relocation; 
(3) Assessment of a civil penalty; or 
(4) Suspension or revocation of a license. 
(b) Applicants and licensees may appeal a notice of licensing action by submitting a written request for administrative review to: Director, Department of Alcohol and Drug Programs, 1700 K Street, Sacramento, CA 95811-4037.
(1) The request for administrative review shall be received by the Department no later than 15 calendar days from the date of service of the notice of licensing action. The request for administrative review shall: 
(A) Identify the statute(s) or regulation(s) at issue and the legal basis for the applicant's or licensee's appeal; 
(B) State the facts supporting the applicant's or licensee's position; and 
(C) State whether the applicant or licensee waives an informal conference and requests to proceed with an administrative hearing conducted pursuant to Chapter 5 (commencing with Section 11500) of Part 1, Division 3, Title 2 of the Government Code. 
(2) Failure to submit a written request for administrative review pursuant to this subsection shall be deemed a waiver of administrative hearing and the licensing action shall be final. 
(c) The first level of review for a licensing action shall be an informal conference. The Department need not conduct the informal conference in the manner of a judicial hearing pursuant to the Administrative Procedure Act (Chapter 5 (commencing with Section 11500), Part 1, Division 3, Title 2 of the Government Code). The Department need not conduct the informal conference according to the technical rules relating to evidence and witnesses. 
(1) Within 15 calendar days of receipt of the request for administrative review, the Deputy Director in charge of the Licensing and Certification Division or the Deputy Director's designee shall schedule an informal conference with the applicant or licensee, and the informal conference shall be held within 45 working days of receipt of the request for administrative review, unless: 
(A) The Department and the applicant or licensee agree to settle the matter; or 
(B) The applicant or licensee waives the15- or 45-day requirements for setting and holding the informal conference; or 
(C) The applicant or licensee, waives the informal conference; or 
(D) The Department or the applicant or licensee provides to the other party written substantiation of the cause for a delay. 
(3) Failure of the applicant or licensee to appear at the informal conference constitutes a withdrawal of the appeal and the licensing action shall be final, unless the informal conference is waived in writing pursuant to (c)(1)(B) or (C). 
(4) The representative(s) of the Department who issued the notice of licensing action may attend the informal conference and present oral or written information in substantiation of the alleged violation or the Department's position may be presented in the notice of licensing action. 
(5) At the informal conference the applicant or licensee shall have the right to: 
(A) Representation by legal counsel. 
(B) Present oral and written information. 
(C) Explain any mitigating circumstances. 
(6) No party to the action shall have the right to discovery at the informal conference. However, witness(es) shall be allowed to attend and present testimony under oath. 
(7) Either party may record the proceedings of the informal conference on audio tape. 
(8) At the applicant or licensee's request, the informal conference may be held in person, at a location specified by the Department, by telephone, by submission of the applicant or licensee's written position statement, or in any other manner agreed to by both parties. 
(d) No later than 15 calendar days from the date of the informal conference, the Department shall mail the decision to affirm, modify, or dismiss the notice of licensing action to the applicant or licensee. 
(1) The decision shall give notice to the applicant or licensee of his/her right to an administrative hearing and the time period in which to make such a request. 
(2) A copy of the decision shall be transmitted to each party. 
(e) The second level of review for a licensing action shall be an administrative hearing conducted pursuant to Chapter 5 (commencing with Section 11500), Part 1, Division 3, Title 2 of the Government Code. 
(1) An applicant or licensee may request an administrative hearing only if: 
(A) The applicant or licensee waives the informal conference and requests an administrative hearing pursuant to the provisions set forth in subsection (b) of this regulation, or 
(B) The applicant or licensee timely requests an administrative hearing as specified in subsection (e)(2)(A) of this regulation. 
(2) The applicant or licensee may request an administrative hearing by submitting a request in writing to: Director, Department of Alcohol and Drug Programs, 1700 K Street, Sacramento, CA 95811-4037. 
(A) The request for administrative hearing shall be received by the Department no later than 15 calendar days from the date of service of the: 
1. Decision of the informal conference or 
2. Notice of licensing action if the applicant or licensee waives the informal conference. 
(B) Failure of the applicant or licensee to request an administrative hearing pursuant to subsection (e)(2)(A) of this regulation shall be a waiver of the right to a hearing and the licensing action shall be final. 
(3) Upon receipt of the request for administrative hearing, the Department shall issue an Accusation or Statement of Issues and request that the matter be set for hearing. 
(f) A licensing action shall be final when: 
(1) The applicant or licensee fails to appeal the licensing action in a timely manner, pursuant to subsections (b) and (e) of this regulation; or 
(2) A final determination is made in accordance with Section 11517 of the Government Code; or 
(3) The parties have agreed in writing to a resolution of the matter. 
(g) In the event an applicant or licensee appeals the Department's assessment of a civil penalty, collection of any civil penalty shall be stayed until the final action on the licensing appeal. When the licensing action is final, the applicant or licensee shall pay all civil penalties to the Department within 60 calendar days of receipt of mailing of final adjudication. The civil penalties shall bear interest at the legal rate of interest from the date of notice of final adjudication until paid in full. Failure to pay the civil penalty and accrued interest within 60 calendar days of the notice of final adjudication shall result in one or more of the following sanctions: 
(1) Denial of an application for a license; 
(2) Denial of an application for renewal of a license; 
(3) Suspension or revocation of a license. 
NOTE

Authority cited: Sections 11755, 11835, 11839.3 and 11839.20, Health and Safety Code. Reference: Section 11839.3 and 11839.12, Health and Safety Code; and Chapter 5 (commencing with Section 11500), Part 1, Division 3, Title 2, Government Code.
HISTORY

1. New section filed 6-7-2006; operative 6-7-2006 pursuant to Government Code section 11343.4 (Register 2006, No. 23).
2. Change without regulatory effect amending subsections (b) and (e)(2) filed 3-6-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 10).
Article 2. Program Evaluation
§10060. Departmental Study and Evaluation of Programs.
Note     •     History

The Department may study and evaluate all programs on an ongoing basis to determine the effectiveness of each program's effort to aid patients in altering their life styles and eventually to eliminate their opiate addiction. Each program shall furnish to the Department information and reports the Department may request to facilitate such study and evaluation.
NOTE

Authority cited: Sections 11755, 11835, 11839.3 and 11839.20, Health and Safety Code. Reference: Section 11839.3, Health and Safety Code.
HISTORY

1. Change without regulatory effect renumbering and amending parts of former section 10088 to 10060 filed 6-3-91 pursuant to section 100, title 1, California Code of Regulations (Register 91, No. 34).
2. Amendment of section filed 3-15-96 as an emergency; operative 3-15-96 (Register 96, No. 11). A Certificate of Compliance must be transmitted to OAL by 7-13-96 or emergency language will be repealed by operation of law on the following day.
3. Amendment refiled 7-8-96 as an emergency; operative 7-12-96 (Register 96, No. 28). A Certificate of Compliance must be transmitted to OAL by 11-12-96 or emergency language will be repealed by operation of law on the following day.
4. Amendment  refiled 10-23-96 as an emergency; operative 10-29-96 (Register 96, No. 43). A Certificate of Compliance must be transmitted to OAL by 2-26-97 or emergency language will be repealed by operation of law on the following day.
5. Amendment refiled 2-11-97 as an emergency; operative 2-24-97 (Register 97, No. 7). A Certificate of Compliance must be transmitted to OAL by 6-24-97 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 2-11-97 order transmitted to OAL 3-4-97; disapproved by OAL and order of repeal as to 2-11-97 order filed 4-15-97 (Register 97, No. 16).
7. Amendment filed 4-15-97 as an emergency; operative 4-15-97 (Register 97, No. 16). A Certificate of Compliance must be transmitted to OAL by 8-13-97 or emergency language will be repealed by operation of law on the following day.
8. Certificate of Compliance as to 4-15-97 order transmitted to OAL 6-2-97 and filed 6-13-97 (Register 97, No. 24).
9. Change without regulatory effect amending Note filed 4-19-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 16).
§10065. Factors to Be Included in Evaluation of Programs.
Note     •     History

(a) Each program shall measure progress by comparing before and after treatment changes including, but not limited to:
(1) Adherence to program rules.
(2) Illicit drug use.
(3) Other drug use including alcohol, prescribed medications, and over-the-counter medications used in accordance with related instructions.
(4) Employment status.
(5) Criminal activity.
(6) The continued active participation in ongoing treatment by patients no longer receiving replacement narcotic therapy.
(b) Such comparisons shall be made for each type of treatment or treatment combination that is to be evaluated.
NOTE

Authority cited: Sections 11755, 11835, 11839.3 and 11839.20, Health and Safety Code. Reference: Section 11839.3, Health and Safety Code.
HISTORY

1. Change without regulatory effect renumbering and amending parts of former section 10084 to 10065 filed 6-3-91 pursuant to section 100, title 1, California Code of Regulations (Register 91, No. 34).
2. Amendment of subsections (a)(2), (a)(3), and (a)(6) filed 3-15-96 as an emergency; operative 3-15-96 (Register 96, No. 11). A Certificate of Compliance must be transmitted to OAL by 7-13-96 or emergency language will be repealed by operation of law on the following day.
3. Amendment of subsections (a)(2)-(3) and (a)(6)  refiled 7-8-96 as an emergency; operative 7-12-96 (Register 96, No. 28). A Certificate of Compliance must be transmitted to OAL by 11-12-96 or emergency language will be repealed by operation of law on the following day.
4. Amendment  of subsections (a)(2)-(3) and (a)(6) refiled 10-23-96 as an emergency; operative 10-29-96 (Register 96, No. 43). A Certificate of Compliance must be transmitted to OAL by 2-26-97 or emergency language will be repealed by operation of law on the following day.
5. Amendment of subsections (a)(2)-(3) and (a)(6) refiled 2-11-97 as an emergency; operative 2-24-97 (Register 97, No. 7). A Certificate of Compliance must be transmitted to OAL by 6-24-97 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 2-11-97 order transmitted to OAL 3-4-97; disapproved by OAL and order of repeal as to 2-11-97 order filed 4-15-97 (Register 97, No. 16).
7. Amendment of subsections (a)(2)-(3) and (a)(6) filed 4-15-97 as an emergency; operative 4-15-97 (Register 97, No. 16). A Certificate of Compliance must be transmitted to OAL by 8-13-97 or emergency language will be repealed by operation of law on the following day.
8. Certificate of Compliance as to 4-15-97 order transmitted to OAL 6-2-97 and filed 6-13-97 (Register 97, No. 24).
9. Change without regulatory effect amending Note filed 4-19-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 16).
§10066. Methadone Maintenance Program Treatment and Termination Goals. [Renumbered]
Note     •     History

NOTE

Authority cited: Sections 11864 and 11876(a), Health and Safety Code. Reference: Section 11876(a) and (c), Health and Safety Code.
HISTORY

1. Change without  regulatory effect  renumbering former  section 10066 to new section 10410 filed 6-3-91 pursuant to title 1, section 100, California Code of Regulations (Register 91, No. 34).
2. Change without  regulatory effect deleting text and adding History 1 as editorial corrections of printing errors filed 9-24-93 pursuant to title 1, section 100, California Code of Regulations (Register 93, No. 39).
§10068. Methadone Detoxification Program Treatment Goals. [Renumbered]
Note     •     History

NOTE

Authority cited: Sections 11864 and 11876(a), Health and Safety Code. Reference: Section 11876(a) and (c), Health and Safety Code.
HISTORY

1. Change without  regulatory effect  renumbering former  section 10068 to new subsection 10005(a) filed 6-3-91 pursuant to title 1, section 100, California Code of Regulations (Register 91, No. 34).
2. Change without  regulatory effect deleting text and adding History 1 as editorial corrections of printing errors filed 9-24-93 pursuant to title 1, section 100, California Code of Regulations (Register 93, No. 39).
§10070. Program Evaluation Procedures.
Note     •     History

(a) Each program shall submit in its protocol a plan for evaluating the effectiveness of the program which:
(1) States realistic and clearly defined objectives.
(2) Shall outline in detail the methodology to be employed.
(3) Specifies all data to be collected.
(b) Each program shall insure that the necessary information is collected and recorded in a uniform manner before initiation of treatment and at predetermined intervals during and after termination of treatment.
(c) Each program shall verify required information supplied by the patient, when it is possible to do so.
NOTE

Authority cited: Sections 11755, 11835, 11839.3 and 11839.20, Health and Safety Code. Reference: Section 11839.3, Health and Safety Code.
HISTORY

1. Change without regulatory effect renumbering and amending parts of former section 10082 to 10070 filed 6-3-91 pursuant to section 100, title 1, California Code of Regulations (Register 91, No. 34).
2. Change without regulatory effect amending Note filed 4-19-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 16).
§10072. Maintenance Treatment Plan Requirements. [Renumbered]
Note     •     History

NOTE

Authority cited: Sections 11864 and 11876(a), Health and Safety Code. Reference: Sections 11876(a) and 11880, Health and Safety Code.
HISTORY

1. Change without  regulatory effect  renumbering former  section 10072 to new subsection 10305(b) filed 6-3-91 pursuant to title 1, section 100, California Code of Regulations (Register 91, No. 34).
2. Change without  regulatory effect deleting text and adding History 1 as editorial corrections of printing errors filed 9-24-93 pursuant to title 1, section 100, California Code of Regulations (Register 93, No. 39).
§10074. Detoxification Treatment Plan Requirements. [Renumbered]
Note     •     History

NOTE

Authority cited: Sections 11864 and 11876(a), Health and Safety Code. Reference: Sections 11876(a) and 11880, Health and Safety Code.
HISTORY

1. Change without  regulatory effect  renumbering former  section 10074 to new subsection 10305(a) filed 6-3-91 pursuant to title 1, section 100, California Code of Regulations (Register 91, No. 34).
2. Change without  regulatory effect deleting text and adding History 1 as editorial corrections of printing errors filed 9-24-93 pursuant to title 1, section 100, California Code of Regulations (Register 93, No. 39).
§10075. [Repealed.]
History

HISTORY

1. Change without regulatory effect renumbering and amending parts of former section 10090 to 10075 filed 6-3-91 pursuant to section 100, title 1, California Code of Regulations (Register 91, No. 34).
2. Repealer filed 3-15-96 as an emergency; operative 3-15-96 (Register 96, No. 11). A Certificate of Compliance must be transmitted to OAL by 7-13-96 or emergency language will be repealed by operation of law on the following day.
3. Repealer refiled 7-8-96 as an emergency; operative 7-12-96 (Register 96, No. 28). A Certificate of Compliance must be transmitted to OAL by 11-12-96 or emergency language will be repealed by operation of law on the following day.
4. Repealer refiled 10-23-96 as an emergency; operative 10-29-96 (Register 96, No. 43). A Certificate of Compliance must be transmitted to OAL by 2-26-97 or emergency language will be repealed by operation of law on the following day.
5. Repealer refiled 2-11-97 as an emergency; operative 2-24-97 (Register 97, No. 7). A Certificate of Compliance must be transmitted to OAL by 6-24-97 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 2-11-97 order transmitted to OAL 3-4-97; disapproved by OAL and order of repeal as to 2-11-97 order filed 4-15-97 (Register 97, No. 16).
7. Repealer filed 4-15-97 as an emergency; operative 4-15-97 (Register 97, No. 16). A Certificate of Compliance must be transmitted to OAL by 8-13-97 or emergency language will be repealed by operation of law on the following day.
8. Certificate of Compliance as to 4-15-97 order transmitted to OAL 6-2-97 and filed 6-13-97 (Register 97, No. 24).
§10076. Research Goals. [Renumbered]
Note     •     History

NOTE

Authority cited: Sections 11864 and 11876(a), Health and Safety Code. Reference: Sections 11876(a) and 11880, Health and Safety Code.
HISTORY

1. Change without  regulatory effect  renumbering former  section 10076 to new subsection 10005(b) filed 6-3-91 pursuant to title 1, section 100, California Code of Regulations (Register 91, No. 34).
2. Change without  regulatory effect deleting text and adding History 1 as editorial corrections of printing errors filed 9-24-93 pursuant to title 1, section 100, California Code of Regulations (Register 93, No. 39).
§10080. Inspections.
Note     •     History

(a) Each program shall be subject to inspection not less than annually by the Department or its authorized representatives with or without prior notice. Inspections may include:
(1) An examination of all records of the program which pertain to patient care and program management.
(2) Observation of the program's treatment procedures, interviews with staff and voluntary interviews with patients.
(3) Any other aspect of the program which is subject to Department regulations and upon which the Department's licensure is based.
(b) When possible, all inspections shall take place in such a way as not to interfere with delivery of treatment services.
NOTE

Authority cited: Sections 11755, 11835, 11839.3 and 11839.20, Health and Safety Code. Reference: Section 11839.3, Health and Safety Code.
HISTORY

1. Change without regulatory effect renumbering and amending parts of former section 10008 to 10080 filed 6-3-91 pursuant to section 100, title 1, California Code of Regulations (Register 91, No. 34).
2. Amendment of subsections (a)(1) and (b) filed 3-15-96 as an emergency; operative 3-15-96 (Register 96, No. 11). A Certificate of Compliance must be transmitted to OAL by 7-13-96 or emergency language will be repealed by operation of law on the following day.
3. Amendment of subsections (a)(1) and (b) refiled 7-8-96 as an emergency; operative 7-12-96 (Register 96, No. 28). A Certificate of Compliance must be transmitted to OAL by 11-12-96 or emergency language will be repealed by operation of law on the following day.
4. Amendment of subsections (a)(1) and (b) refiled 10-23-96 as an emergency; operative 10-29-96 (Register 96, No. 43). A Certificate of Compliance must be transmitted to OAL by 2-26-97 or emergency language will be repealed by operation of law on the following day.
5. Amendment of subsections (a)(1) and (b) refiled 2-11-97 as an emergency; operative 2-24-97 (Register 97, No. 7). A Certificate of Compliance must be transmitted to OAL by 6-24-97 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 2-11-97 order transmitted to OAL 3-4-97; disapproved by OAL and order of repeal as to 2-11-97 order filed 4-15-97 (Register 97, No. 16).
7. Amendment of subsections (a)(1) and (b) filed 4-15-97 as an emergency; operative 4-15-97 (Register 97, No. 16). A Certificate of Compliance must be transmitted to OAL by 8-13-97 or emergency language will be repealed by operation of law on the following day.
8. Certificate of Compliance as to 4-15-97 order transmitted to OAL 6-2-97 and filed 6-13-97 (Register 97, No. 24).
9. Change without regulatory effect amending Note filed 4-19-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 16).
§10082. Program Evaluation Procedures. [Renumbered]
Note     •     History

NOTE

Authority cited: Sections 11864 and 11876(a), Health and Safety Code. Reference: Section 11876(c), Health and Safety Code.
HISTORY

1. Change without  regulatory effect  renumbering former  section 10082 to new section 10070 filed 6-3-91 pursuant to title 1, section 100, California Code of Regulations (Register 91, No. 34).
2. Change without  regulatory effect deleting text and adding History 1 as editorial corrections of printing errors filed 9-24-93 pursuant to title 1, section 100, California Code of Regulations (Register 93, No. 39).
§10084. Factors to Be Included in Evaluation of Programs. [Renumbered]
Note     •     History

NOTE

Authority cited: Sections 11864 and 11876(a), Health and Safety Code. Reference: Section 11876(c), Health and Safety Code.
HISTORY

1. Change without  regulatory effect  renumbering former  section 10084 to new section 10065 filed 6-3-91 pursuant to title 1, section 100, California Code of Regulations (Register 91, No. 34).
2. Change without  regulatory effect deleting text and adding History 1 as editorial corrections of printing errors filed 9-24-93 pursuant to title 1, section 100, California Code of Regulations (Register 93, No. 39).
§10085. Site Visits.
Note     •     History

(a) The Department shall conduct site visits:
(1) Prior to the licensure of new programs.
(2) Prior to the approval of program facility relocation.
(3) At least annually and in such other cases as the Department deems necessary or desirable.
NOTE

Authority cited: Sections 11755, 11835, 11839.3 and 11839.20, Health and Safety Code. Reference: Section 11839.3 and 11839.7, Health and Safety Code.
HISTORY

1. Change without regulatory effect renumbering and amending parts of former section 10006 to 10085 filed 6-3-91 pursuant to section 100, title 1, California Code of Regulations (Register 91, No. 34).
2. Amendment of subsection (a)(2) and Note filed 3-15-96 as an emergency; operative 3-15-96 (Register 96, No. 11). A Certificate of Compliance must be transmitted to OAL by 7-13-96 or emergency language will be repealed by operation of law on the following day.
3. Amendment of subsection (a)(2) and Note refiled 7-8-96 as an emergency; operative 7-12-96 (Register 96, No. 28). A Certificate of Compliance must be transmitted to OAL by 11-12-96 or emergency language will be repealed by operation of law on the following day.
4. Amendment of subsection (a)(2) and Note refiled 10-23-96 as an emergency; operative 10-29-96 (Register 96, No. 43). A Certificate of Compliance must be transmitted to OAL by 2-26-97 or emergency language will be repealed by operation of law on the following day.
5. Amendment of subsection (a)(2) and Note refiled 2-11-97 as an emergency; operative 2-24-97 (Register 97, No. 7). A Certificate of Compliance must be transmitted to OAL by 6-24-97 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 2-11-97 order transmitted to OAL 3-4-97; disapproved by OAL and order of repeal as to 2-11-97 order filed 4-15-97 (Register 97, No. 16).
7. Amendment of subsection (a)(2) and Note filed 4-15-97 as an emergency; operative 4-15-97 (Register 97, No. 16). A Certificate of Compliance must be transmitted to OAL by 8-13-97 or emergency language will be repealed by operation of law on the following day.
8. Certificate of Compliance as to 4-15-97 order transmitted to OAL 6-2-97 and filed 6-13-97 (Register 97, No. 24).
9. Change without regulatory effect amending Note filed 4-19-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 16).
§10088. Departmental Study and Evaluation of Programs. [Renumbered]
Note     •     History

NOTE

Authority cited: Sections 11864 and 11876(a), Health and Safety Code. Reference: Section 11876(b) and (c), Health and Safety Code.
HISTORY

1. Change without  regulatory effect  renumbering former  section 10088 to new section 10060 filed 6-3-91 pursuant to title 1, section 100, California Code of Regulations (Register 91, No. 34).
2. Change without  regulatory effect deleting text and adding History 1 as editorial corrections of printing errors filed 9-24-93 pursuant to title 1, section 100, California Code of Regulations (Register 93, No. 39).
Article 3. Corrective Action
§10090. Revocation of Program License.
Note     •     History

The Department may revoke the license of any program which fails to comply with any statutory requirement or regulation of the Department.
NOTE

Authority cited: Sections 11755, 11835, 11839.3 and 11839.20, Health and Safety Code. Reference: Sections 11839.3, 11839.5, 11839.7 and 11839.19, Health and Safety Code.
HISTORY

1. Change without regulatory effect renumbering and amending parts of former section 10030 to 10090 filed 6-3-91 pursuant to section 100, title 1, California Code of Regulations (Register 91, No. 34).
2. Amendment filed 3-15-96 as an emergency; operative 3-15-96 (Register 96, No. 11). A Certificate of Compliance must be transmitted to OAL by 7-13-96 or emergency language will be repealed by operation of law on the following day.
3. Amendment refiled 7-8-96 as an emergency; operative 7-12-96 (Register 96, No. 28). A Certificate of Compliance must be transmitted to OAL by 11-12-96 or emergency language will be repealed by operation of law on the following day.
4. Amendment refiled 10-23-96 as an emergency; operative 10-29-96 (Register 96, No. 43). A Certificate of Compliance must be transmitted to OAL by 2-26-97 or emergency language will be repealed by operation of law on the following day.
5. Amendment refiled 2-11-97 as an emergency; operative 2-24-97 (Register 97, No. 7). A Certificate of Compliance must be transmitted to OAL by 6-24-97 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 2-11-97 order transmitted to OAL 3-4-97; disapproved by OAL and order of repeal as to 2-11-97 order filed 4-15-97 (Register 97, No. 16).
7. Amendment filed 4-15-97 as an emergency; operative 4-15-97 (Register 97, No. 16). A Certificate of Compliance must be transmitted to OAL by 8-13-97 or emergency language will be repealed by operation of law on the following day.
8. Certificate of Compliance as to 4-15-97 order transmitted to OAL 6-2-97 and filed 6-13-97 (Register 97, No. 24).
9. Change without regulatory effect amending Note filed 4-19-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 16).
§10094. Report of Patient Death. [Renumbered]
Note     •     History

NOTE

Authority cited: Sections 11864 and 11876(a), Health and Safety Code. Reference: Section 11876(b) and (c), Health and Safety Code.
HISTORY

1. Change without  regulatory effect  renumbering former  section 10094 to new section 10195 filed 6-3-91 pursuant to title 1, section 100, California Code of Regulations (Register 91, No. 34).
2. Change without  regulatory effect deleting text and adding History 1 as editorial corrections of printing errors filed 9-24-93 pursuant to title 1, section 100, California Code of Regulations (Register 93, No. 39).
Subchapter 3. Program Administration
Article 1. Organizational Structure of Program and Staffing Requirements
§10095. Program Administration.
Note     •     History

The protocol shall contain detailed information about the person(s), association(s), or other organization(s) administering or sponsoring the program. For profit making entities this shall include the owners' names, titles, addresses, telephone numbers, and percentages of ownership. For non-profit entities this shall include the board of directors' names, titles, addresses, and telephone numbers. The Department may require supplemental documentation demonstrating organizational stability and responsibility as it relates to continuity of program operation, including a description and documentation of the type of legal entity which administers or sponsors the program. 
(a) Program Sponsors.
(1) The program shall submit to the Department the name of the program sponsor and any other individuals responsible to the Department or other governmental agencies for the operations of the program.
(2) The program sponsor or an authorized representative, if the program sponsor is other than an individual, shall sign the protocol.
(b) Guarantors of Continuity of Maintenance Treatment.
(1) Programs offering maintenance treatment shall provide a guarantee that program operation will continue at the license program location for up to 90 days following receipt by the Department of the program's notice of intent to close the program.
(2) The Department may require the program to provide a guarantor who will guarantee, in writing, the continued operation of the program as required by this section.
(c) Change of Entity.
The program's protocol shall be amended in the event of a change of the public or private entity responsible for administering or funding the program. The amendment shall contain a plan which ensures continuity of patient care.
NOTE

Authority cited: Sections 11755, 11835, 11839.3 and 11839.20, Health and Safety Code. Reference: Section 11839.3, Health and Safety Code.
HISTORY

1. Change without regulatory effect renumbering and amending parts of former sections 10132-10138 to 10095 filed 6-3-91 pursuant to section 100, title 1, California Code of Regulations (Register 91, No. 34).
2. Amendment of subsections (b) and (b)(1) and Note filed 3-15-96 as an emergency; operative 3-15-96 (Register 96, No. 11). A Certificate of Compliance must be transmitted to OAL by 7-13-96 or emergency language will be repealed by operation of law on the following day.
3. Amendment of subsections (b) and (b)(1) and Note refiled 7-8-96 as an emergency; operative 7-12-96 (Register 96, No. 28). A Certificate of Compliance must be transmitted to OAL by 11-12-96 or emergency language will be repealed by operation of law on the following day.
4. Amendment of subsections (b) and (b)(1) and Note refiled 10-23-96 as an emergency; operative 10-29-96 (Register 96, No. 43). A Certificate of Compliance must be transmitted to OAL by 2-26-97 or emergency language will be repealed by operation of law on the following day.
5. Amendment of subsections (b) and (b)(1) and Note refiled 2-11-97 as an emergency; operative 2-24-97 (Register 97, No. 7). A Certificate of Compliance must be transmitted to OAL by 6-24-97 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 2-11-97 order transmitted to OAL 3-4-97; disapproved by OAL and order of repeal as to 2-11-97 order filed 4-15-97 (Register 97, No. 16).
7. Amendment of subsections (b) and (b)(1) and Note filed 4-15-97 as an emergency; operative 4-15-97 (Register 97, No. 16). A Certificate of Compliance must be transmitted to OAL by 8-13-97 or emergency language will be repealed by operation of law on the following day.
8. Certificate of Compliance as to 4-15-97 order, including amendment of first paragraph, transmitted to OAL 6-2-97 and filed 6-13-97 (Register 97, No. 24).
9. Change without regulatory effect amending Note filed 4-19-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 16).
§10100. Required Minimum Program Staffing. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 11755, 11864 and 11876, Health and Safety Code. Reference: Sections 11875.1, 11876(a) and 11880, Health and Safety Code.
HISTORY

1. Change without regulatory effect renumbering and amending parts of former sections 10152-10154 to 10100 filed 6-3-91 pursuant to section 100, title 1, California Code of Regulations (Register 91, No. 34).
2. Amendment of section heading, section and Note filed 3-15-96 as an emergency; operative 3-15-96 (Register 96, No. 11). A Certificate of Compliance must be transmitted to OAL by 7-13-96 or emergency language will be repealed by operation of law on the following day.
3. Amendment of section heading, section and Note refiled 7-8-96 as an emergency; operative 7-12-96 (Register 96, No. 28). A Certificate of Compliance must be transmitted to OAL by 11-12-96 or emergency language will be repealed by operation of law on the following day.
4. Amendment of section heading, section and Note refiled 10-23-96 as an emergency; operative 10-29-96 (Register 96, No. 43). A Certificate of Compliance must be transmitted to OAL by 2-26-97 or emergency language will be repealed by operation of law on the following day.
5. Amendment of section heading, section and Note refiled 2-11-97 as an emergency; operative 2-24-97 (Register 97, No. 7). A Certificate of Compliance must be transmitted to OAL by 6-24-97 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 2-11-97 order transmitted to OAL 3-4-97; disapproved by OAL and order of repeal as to 2-11-97 order filed 4-15-97 (Register 97, No. 16).
7. Amendment of section heading, section and Note filed 4-15-97 as an emergency; operative 4-15-97 (Register 97, No. 16). A Certificate of Compliance must be transmitted to OAL by 8-13-97 or emergency language will be repealed by operation of law on the following day.
8. Certificate of Compliance as to 4-15-97 order, including amendment of subsection (a)(4), transmitted to OAL 6-2-97 and filed 6-13-97 (Register 97, No. 24).
9. Repealer filed 6-23-97 as an emergency; operative 7-1-97 (Register 97, No. 26). Pursuant to Health and Safety Code section 11758.42, a Certificate of Compliance must be transmitted to OAL by 12-28-97 or emergency language will be repealed by operation of law on the following day.
10. Editorial correction of History 9 (Register 98, No. 1).
11. Reinstatement of section as it existed prior to 6-23-97 emergency repeal by operation of Government Code section 11346.1(f) (Register 98, No. 1).
12. Repealer filed 12-31-97 as an emergency; operative 12-31-97 (Register 98, No. 1). A Certificate of Compliance must be transmitted to OAL by 4-30-98 or emergency language will be repealed by operation of law on the following day.
13. Repealer refiled 4-27-98 as an emergency; operative 4-30-98 (Register 98, No. 18). A Certificate of Compliance must be transmitted to OAL by 8-28-98 or emergency language will be repealed by operation of law on the following day.
14. Certificate of Compliance as to 4-27-98 order transmitted to OAL 6-1-98 and filed 6-29-98 (Register 98, No. 27).
§10102. Identification Card. [Renumbered]
Note     •     History

NOTE

Authority cited: Sections 11864 and 11876(a), Health and Safety Code. Reference: Section 11882, Health and Safety Code.
HISTORY

1. Change without  regulatory effect  renumbering former  section 10102 to new section 10240 filed 6-3-91 pursuant to title 1, section 100, California Code of Regulations (Register 91, No. 34).
2. Change without  regulatory effect deleting text and adding History 1 as editorial corrections of printing errors filed 9-24-93 pursuant to title 1, section 100, California Code of Regulations (Register 93, No. 39).
§10104. Duties of Program in Issuing Identification Card. [Renumbered]
Note     •     History

NOTE

Authority cited: Sections 11864 and 11876(a), Health and Safety Code. Reference: Section 11882, Health and Safety Code.
HISTORY

1. Change without  regulatory effect  renumbering former  section 10104 to new section 10245 filed 6-3-91 pursuant to title 1, section 100, California Code of Regulations (Register 91, No. 34).
2. Change without  regulatory effect deleting text and adding History 1 as editorial corrections of printing errors filed 9-24-93 pursuant to title 1, section 100, California Code of Regulations (Register 93, No. 39).
§10105. Program Director.
Note     •     History

Each program shall have a program director who shall be responsible for:
(a) Submitting protocols, protocol amendments, and reports to the Department.
(b) Operating the program.
(c) Integrating staff services as described in the program protocol.
(d) Complying with all regulations and responsibility for compliance and adjustments after inspections by the Department.
(e) Training and supervising of all staff.
(f) Notifying all patients of their obligations to safeguard take-home medications.
(g) Security of both medications and patient records.
NOTE

Authority cited: Sections 11755, 11835, 11839.3 and 11839.20, Health and Safety Code. Reference: Sections 11839.2, 11839.3, 11839.20 and 11875, Health and Safety Code.
HISTORY

1. Change without regulatory effect renumbering and amending parts of former section 10164 to 10105 filed 6-3-91 pursuant to section 100, title 1, California Code of Regulations (Register 91, No. 34).
2. Repealer of subsection (a) designator and redesignation of subsections (a)(1)-(7) as (a)-(g), amendment of newly designated subsections (f) and (g) and Note filed 3-15-96 as an emergency; operative 3-15-96 (Register 96, No. 11). A Certificate of Compliance must be transmitted to OAL by 7-13-96 or emergency language will be repealed by operation of law on the following day.
3. Repealer of subsection (a) designator and redesignation of subsections (a)(1)-(7) as (a)-(g), and amendment of newly designated subsections (f) and (g) and Note refiled 7-8-96 as an emergency; operative 7-12-96 (Register 96, No. 28). A Certificate of Compliance must be transmitted to OAL by 11-12-96 or emergency language will be repealed by operation of law on the following day.
4. Repealer of subsection (a) designator and redesignation of subsections (a)(1)-(7) as (a)-(g), and amendment of newly designated subsections (f) and (g) and Note refiled 10-23-96 as an emergency; operative 10-29-96 (Register 96, No. 43). A Certificate of Compliance must be transmitted to OAL by 2-26-97 or emergency language will be repealed by operation of law on the following day.
5. Repealer of subsection (a) designator and redesignation of subsections (a)(1)-(7) as (a)-(g), and amendment of newly designated subsections (f) and (g)  and Note refiled 2-11-97 as an emergency; operative 2-24-97 (Register 97, No. 7). A Certificate of Compliance must be transmitted to OAL by 6-24-97 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 2-11-97 order transmitted to OAL 3-4-97; disapproved by OAL and order of repeal as to 2-11-97 order filed 4-15-97 (Register 97, No. 16).
7. Repealer of subsection (a) designator and redesignation of subsections (a)(1)-(7) as (a)-(g), and amendment of newly designated subsections (f) and (g) and Note filed 4-15-97 as an emergency; operative 4-15-97 (Register 97, No. 16). A Certificate of Compliance must be transmitted to OAL by 8-13-97 or emergency language will be repealed by operation of law on the following day.
8. Certificate of Compliance as to 4-15-97 order transmitted to OAL 6-2-97 and filed 6-13-97 (Register 97, No. 24).
9. Change without regulatory effect amending Note filed 4-19-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 16).
§10106. Control and Security of Identification Cards. [Renumbered]
Note     •     History

NOTE

Authority cited: Sections 11864 and 11876(a), Health and Safety Code. Reference: Section 11882, Health and Safety Code.
HISTORY

1. Change without  regulatory effect  renumbering former  section 10106 to new section 10250 filed 6-3-91 pursuant to title 1, section 100, California Code of Regulations (Register 91, No. 34).
2. Change without  regulatory effect deleting text and adding History 1 as editorial corrections of printing errors filed 9-24-93 pursuant to title 1, section 100, California Code of Regulations (Register 93, No. 39).
§10108. Patient Registration. [Renumbered]
Note     •     History

NOTE

Authority cited: Sections 11864 and 11876(a), Health and Safety Code. Reference: Section 11882, Health and Safety Code.
HISTORY

1. Change without  regulatory effect  renumbering former  section 10108 to new section 10200 filed 6-3-91 pursuant to title 1, section 100, California Code of Regulations (Register 91, No. 34).
2. Change without  regulatory effect deleting text and adding History 1 as editorial corrections of printing errors filed 9-24-93 pursuant to title 1, section 100, California Code of Regulations (Register 93, No. 39).
§10109. Multiple Program Registration System. [Renumbered]
Note     •     History

NOTE

Authority cited: Sections 11864 and 11876(a), Health and Safety Code. Reference: Section 11882, Health and Safety Code.
HISTORY

1. Change without  regulatory effect  renumbering former  section 10109 to new section 10205 filed 6-3-91 pursuant to title 1, section 100, California Code of Regulations (Register 91, No. 34).
2. Change without  regulatory effect deleting text and adding History 1 as editorial corrections of printing errors filed 9-24-93 pursuant to title 1, section 100, California Code of Regulations (Register 93, No. 39).
§10110. Medical Director.
Note     •     History

(a) Each program shall have a medical director who is a licensed physician in the State of California. The medical director may also serve as the program director. The medical director shall assume the medical responsibility for all program patients by:
(1) Signing patient record notes.
(2) Placing patients in treatment.
(3) Initiating, altering and terminating replacement narcotic therapy medications and dosage amounts.
(4) Supervising the administration and dispensing of medications.
(5) Planning and supervising provision of treatment including regular review and notes in the patients' records.
(b) Other duties and responsibilities of the medical director shall be set forth in the protocol.
(c) The medical director may delegate duties as prescribed in the program protocol to another licensed program physician(s) but may not delegate his/her responsibility in (a) above to physician extenders.
NOTE

Authority cited: Sections 11755, 11835, 11839.3 and 11839.20, Health and Safety Code. Reference: Sections 11839.2, 11839.3, 11839.20 and 11875, Health and Safety Code.
HISTORY

1. Change without regulatory effect renumbering and amending parts of former section 10166 to 10110 filed 6-3-91 pursuant to section 100, title 1, California Code of Regulations (Register 91, No. 34).
2. Amendment of subsections (a)(1)-(5) and Note filed  3-15-96 as an emergency; operative 3-15-96 (Register 96, No. 11). A Certificate of Compliance must be transmitted to OAL by 7-13-96 or emergency language will be repealed by operation of law on the following day.
3. Amendment of section heading, section and Note  refiled 7-8-96 as an emergency; operative 7-12-96 (Register 96, No. 28). A Certificate of Compliance must be transmitted to OAL by 11-12-96 or emergency language will be repealed by operation of law on the following day.
4. Amendment of section heading, section and Note refiled 10-23-96 as an emergency; operative 10-29-96 (Register 96, No. 43). A Certificate of Compliance must be transmitted to OAL by 2-26-97 or emergency language will be repealed by operation of law on the following day.
5. Amendment of section heading, section and Note refiled 2-11-97 as an emergency; operative 2-24-97 (Register 97, No. 7). A Certificate of Compliance must be transmitted to OAL by 6-24-97 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 2-11-97 order transmitted to OAL 3-4-97; disapproved by OAL and order of repeal as to 2-11-97 order filed 4-15-97 (Register 97, No. 16).
7. Amendment of section heading, section and Note filed 4-15-97 as an emergency; operative 4-15-97 (Register 97, No. 16). A Certificate of Compliance must be transmitted to OAL by 8-13-97 or emergency language will be repealed by operation of law on the following day.
8. Certificate of Compliance as to 4-15-97 order transmitted to OAL 6-2-97 and filed 6-13-97 (Register 97, No. 24).
9. Change without regulatory effect amending Note filed 4-19-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 16).
§10112. Cooperatively Developed System to Detect Multiple Program Registration. [Renumbered]
Note     •     History

NOTE

Authority cited: Sections 11864 and 11876(a), Health and Safety Code. Reference: Section 11882, Health and Safety Code.
HISTORY

1. Change without  regulatory effect  renumbering former  section 10112 to new section 10210 filed 6-3-91 pursuant to title 1, section 100, California Code of Regulations (Register 91, No. 34).
2. Change without  regulatory effect deleting text and adding History 1 as editorial corrections of printing errors filed 9-24-93 pursuant to title 1, section 100, California Code of Regulations (Register 93, No. 39).
§10114. Alternative System for Maintenance Treatment Programs to Detect Multiple Program Registration. [Renumbered]
Note     •     History

NOTE

Authority cited: Sections 11864 and 11876(a), Health and Safety Code. Reference: Section 11882, Health and Safety Code.
HISTORY

1. Change without  regulatory effect  renumbering former  section 10114 to new section 10215 filed 6-3-91 pursuant to title 1, section 100, California Code of Regulations (Register 91, No. 34).
2. Change without  regulatory effect deleting text and adding History 1 as editorial corrections of printing errors filed 9-24-93 pursuant to title 1, section 100, California Code of Regulations (Register 93, No. 39).
§10115. Program Physicians.
Note     •     History

A program physician may delegate his/her duties under this subchapter to other appropriately licensed personnel who are members of the program staff. The nature and extent of such delegation of duties shall be set forth in the protocol.
NOTE

Authority cited: Sections 11755, 11835, 11839.3 and 11839.20, Health and Safety Code. Reference: Sections 11839.3 and 11839.20, Health and Safety Code.
HISTORY

1. Change without regulatory effect renumbering and amending parts of former section 10168 to 10115 filed 6-3-91 pursuant to section 100, title 1, California Code of Regulations (Register 91, No. 34).
2. Change without regulatory effect amending Note filed 4-19-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 16).
§10118. Procedures in the Event of Apparent Multiple Application or Multiple Registration. [Renumbered]
Note     •     History

NOTE

Authority cited: Sections 11864 and 11876(a), Health and Safety Code. Reference: Section 11882, Health and Safety Code.
HISTORY

1. Change without  regulatory effect  renumbering former  section 10118 to new section 10225 filed 6-3-91 pursuant to title 1, section 100, California Code of Regulations (Register 91, No. 34).
2. Change without  regulatory effect deleting text and adding History 1 as editorial corrections of printing errors filed 9-24-93 pursuant to title 1, section 100, California Code of Regulations (Register 93, No. 39).
§10120. Physician Extenders.
Note     •     History

(a) The term “physician extender” refers to registered nurse practitioners and physicians' assistants only.
(b) The protocol shall contain documentation satisfactory to the Department verifying that:
(1) Nurse practitioners are used as physician extenders in compliance with the licensing and scope of practice requirements listed in article 8 (commencing with section 2834), chapter 6, division 2, of the Business and Professions Code and corresponding regulations adopted by the Board of Registered Nurses, and
(2) Physicians' assistants are used as physician extenders in compliance with the licensing and scope of practice requirements listed in chapter 7.7 (commencing with section 3500), division 2, of the Business and Professions Code and corresponding regulations adopted by the Medical Board of California.
NOTE

Authority cited: Sections 11755, 11835, 11839.3 and 11839.20, Health and Safety Code. Reference: Sections 11839.3 and 11839.20, Health and Safety Code.
HISTORY

1. Change without regulatory effect renumbering and amending parts of former section 10156 to 10120 filed 6-3-91 pursuant to section 100, title 1, California Code of Regulations (Register 91, No. 34).
2. Repealer of subsection (b) and subsection relettering filed 6-29-98; operative 6-29-98 pursuant to Government Code section 11343.4(d) (Register 98, No. 27).
3. Change without regulatory effect amending Note filed 4-19-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 16).
§10122. Intervention by the Department. [Renumbered]
Note     •     History

NOTE

Authority cited: Sections 11864 and 11876(a), Health and Safety Code. Reference: Section 11882, Health and Safety Code.
HISTORY

1. Change without  regulatory effect  renumbering former  section 10122 to new section 10230 filed 6-3-91 pursuant to title 1, section 100, California Code of Regulations (Register 91, No. 34).
2. Change without  regulatory effect deleting text and adding History 1 as editorial corrections of printing errors filed 9-24-93 pursuant to title 1, section 100, California Code of Regulations (Register 93, No. 39).
§10124. Confidentiality of Information--Patient Identification and Registration System. [Renumbered]
Note     •     History

NOTE

Authority cited: Sections 11864 and 11876(a), Health and Safety Code. Reference: Section 11882, Health and Safety Code.
HISTORY

1. Change without  regulatory effect  renumbering former  section 10124 to new section 10155 filed 6-3-91 pursuant to title 1, section 100, California Code of Regulations (Register 91, No. 34).
2. Change without  regulatory effect deleting text and adding History 1 as editorial corrections of printing errors filed 9-24-93 pursuant to title 1, section 100, California Code of Regulations (Register 93, No. 39).
§10125. Counselors.
Note     •     History

(a) Counselors may be nurses, psychologists, social workers, psychiatric technicians, trained counselors, or others as long as they have training or experience in treating persons with an opiate addiction.
(b) Program staff who provide counseling services (as defined in Section 13005) shall be licensed, certified, or registered to obtain certification or licensure pursuant to Chapter 8 (commencing with Section 13000). 
(c) Program staff who provide counseling services (as defined in Section 13005) shall comply with the code of conduct, pursuant to Section 13060, developed by the organization or entity by which they were registered, licensed, or certified. 
(d) The licensee shall maintain personnel records for all staff containing: 
(1) Name, address, telephone number, position, duties, and date of employment; and 
(2) Resumes, applications, and/or transcripts documenting work experience and/or education used to meet the requirements of this regulation. 
(3) Personnel records for staff who provide counseling services (as defined in Section 13005) shall also contain: 
(A) Written documentation of licensure, certification, or registration to obtain certification pursuant to Chapter 8 (commencing with Section 13000); and 
(B) A copy of the code of conduct of the registrant's or certified AOD counselor's certifying organization pursuant to Section 13060. 
NOTE

Authority cited: Sections 11755, 11835, 11839.3 and 11839.20, Health and Safety Code. Reference: Sections 11839.3 and 11839.20, Health and Safety Code.
HISTORY

1. Change without regulatory effect renumbering and amending parts of former section 10170 to 10125 filed 6-3-91 pursuant to section 100, title 1, California Code of Regulations (Register 91, No. 34).
2. Amendment of section heading, section and Note filed  3-15-96 as an emergency; operative 3-15-96 (Register 96, No. 11). A Certificate of Compliance must be transmitted to OAL by 7-13-96 or emergency language will be repealed by operation of law on the following day.
3. Amendment of section heading, section and Note  refiled 7-8-96 as an emergency; operative 7-12-96 (Register 96, No. 28). A Certificate of Compliance must be transmitted to OAL by 11-12-96 or emergency language will be repealed by operation of law on the following day.
4. Amendment of section heading, section and Note refiled 10-23-96 as an emergency; operative 10-29-96 (Register 96, No. 43). A Certificate of Compliance must be transmitted to OAL by 2-26-97 or emergency language will be repealed by operation of law on the following day.
5. Amendment of section heading, section and Note refiled 2-11-97 as an emergency; operative 2-24-97 (Register 97, No. 7). A Certificate of Compliance must be transmitted to OAL by 6-24-97 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 2-11-97 order transmitted to OAL 3-4-97; disapproved by OAL and order of repeal as to 2-11-97 order filed 4-15-97 (Register 97, No. 16).
7. Amendment of section heading, section and Note filed 4-15-97 as an emergency; operative 4-15-97 (Register 97, No. 16). A Certificate of Compliance must be transmitted to OAL by 8-13-97 or emergency language will be repealed by operation of law on the following day.
8. Certificate of Compliance as to 4-15-97 order transmitted to OAL 6-2-97 and filed 6-13-97 (Register 97, No. 24).
9. Amendment of section and Note filed 3-25-2005; operative 4-1-2005 pursuant to Government Code section 11343.4 (Register 2005, No. 12). 
10. Change without regulatory effect amending Note filed 4-19-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 16).
§10130. Staff Member Profile.
Note     •     History

(a) For each program director and medical director, the following information shall be submitted to the Department by the program sponsor:
(1) Professional or license status or vocational aptitude.
(2) Hours that the staff member will provide to the program.
(3) Resume showing professional education and practical experience, and training or experience in treating persons with an opiate addiction.
(4) The procedure for replacement of such staff member in the event of death, retirement, or prolonged sickness.
(5) The procedure to assure that appropriate staff time will be provided to the program in the event of short-term emergency, vacation, or sickness.
(b) For each physician (other than the medical director), nurse practitioner, physician's assistant, registered nurse, licensed vocational nurse, psychiatric technician, counselor, and pharmacist participating in the program, the information required in subsections (a)(1), (2), (3), (4), and (5) above shall be on file at the program facility and available for the Department's review.
NOTE

Authority cited: Sections 11755, 11835, 11839.3 and 11839.20, Health and Safety Code. Reference: Sections 11839.3 and 11839.20, Health and Safety Code.
HISTORY

1. Change without regulatory effect renumbering and amending parts of former section 10162 to 10130 filed 6-3-91 pursuant to section 100, title 1, California Code of Regulations (Register 91, No. 34).
2. Amendment of subsections (a)(3) and (b) filed  3-15-96 as an emergency; operative 3-15-96 (Register 96, No. 11). A Certificate of Compliance must be transmitted to OAL by 7-13-96 or emergency language will be repealed by operation of law on the following day.
3. Amendment of subsections (a)(3) and (b) refiled 7-8-96 as an emergency; operative 7-12-96 (Register 96, No. 28). A Certificate of Compliance must be transmitted to OAL by 11-12-96 or emergency language will be repealed by operation of law on the following day.
4. Amendment of subsections (a)(3) and (b) refiled 10-23-96 as an emergency; operative 10-29-96 (Register 96, No. 43). A Certificate of Compliance must be transmitted to OAL by 2-26-97 or emergency language will be repealed by operation of law on the following day.
5. Amendment of subsections (a)(3) and (b) refiled 2-11-97 as an emergency; operative 2-24-97 (Register 97, No. 7). A Certificate of Compliance must be transmitted to OAL by 6-24-97 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 2-11-97 order transmitted to OAL 3-4-97; disapproved by OAL and order of repeal as to 2-11-97 order filed 4-15-97 (Register 97, No. 16).
7. Amendment of subsections (a)(3) and (b) filed 4-15-97 as an emergency; operative 4-15-97 (Register 97, No. 16). A Certificate of Compliance must be transmitted to OAL by 8-13-97 or emergency language will be repealed by operation of law on the following day.
8. Certificate of Compliance as to 4-15-97 order transmitted to OAL 6-2-97 and filed 6-13-97 (Register 97, No. 24).
9. Change without regulatory effect amending Note filed 4-19-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 16).
§10132. Organizational Responsibility. [Renumbered]
Note     •     History

NOTE

Authority cited: Sections 11864 and 11876(a), Health and Safety Code. Reference: Section 11876(a), Health and Safety Code.
HISTORY

1. Change without  regulatory effect  renumbering former  section 10132 to new section 10095 filed 6-3-91 pursuant to title 1, section 100, California Code of Regulations (Register 91, No. 34).
2. Change without  regulatory effect deleting text and adding History 1 as editorial corrections of printing errors filed 9-24-93 pursuant to title 1, section 100, California Code of Regulations (Register 93, No. 39).
§10134. Guarantor of Continuity of Maintenance Treatment Program. [Renumbered]
Note     •     History

NOTE

Authority cited: Sections 11864 and 11876(a), Health and Safety Code. Reference: Section 11876(a), Health and Safety Code.
HISTORY

1. Change without  regulatory effect  renumbering former  section 10134 to new subsection 10095(b) filed 6-3-91 pursuant to title 1, section 100, California Code of Regulations (Register 91, No. 34).
2. Change without  regulatory effect deleting text and adding History 1 as editorial corrections of printing errors filed 9-24-93 pursuant to title 1, section 100, California Code of Regulations (Register 93, No. 39).
§10135. Integration of Staff Services. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 11755, 11864 and 11876(a), Health and Safety Code. Reference: Sections 11876(a) and 11880, Health and Safety Code.
HISTORY

1. Change without regulatory effect renumbering and amending parts of former section 10160 to 10135 filed 6-3-91 pursuant to section 100, title 1, California Code of Regulations (Register 91, No. 34).
2. Repealer filed 6-23-97 as an emergency; operative 7-1-97 (Register 97, No. 26). Pursuant to Health and Safety Code section 11758.42, a Certificate of Compliance must be transmitted to OAL by 12-28-97 or emergency language will be repealed by operation of law on the following day.
3. Editorial correction of History 3 (Register 98, No. 1).
4. Reinstatement of section as it existed prior to 6-23-97 emergency repeal by operation of Government Code section 11346.1(f) (Register 98, No. 1).
5. Repealer filed 12-31-97 as an emergency; operative 12-31-97 (Register 98, No. 1). A Certificate of Compliance must be transmitted to OAL by 4-30-98 or emergency language will be repealed by operation of law on the following day.
6. Repealer refiled 4-27-98 as an emergency; operative 4-30-98 (Register 98, No. 18). A Certificate of Compliance must be transmitted to OAL by 8-28-98 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 4-27-98 order transmitted to OAL 6-1-98 and filed 6-29-98 (Register 98, No. 27).
§10136. Persons Responsible for Program. [Renumbered]
Note     •     History

NOTE

Authority cited: Sections 11864 and 11876(a), Health and Safety Code. Reference: Section 11876(a), Health and Safety Code.
HISTORY

1. Change without  regulatory effect  renumbering former  section 10136 to new subsection 10095(a) filed 6-3-91 pursuant to title 1, section 100, California Code of Regulations (Register 91, No. 34).
2. Change without  regulatory effect deleting text and adding History 1 as editorial corrections of printing errors filed 9-24-93 pursuant to title 1, section 100, California Code of Regulations (Register 93, No. 39).
§10138. Change of Entity. [Renumbered]
Note     •     History

NOTE

Authority cited: Sections 11864 and 11876(a), Health and Safety Code. Reference: Section 11876(a), Health and Safety Code.
HISTORY

1. Change without  regulatory effect  renumbering former  section 10138 to new subsection 10095(c) filed 6-3-91 pursuant to title 1, section 100, California Code of Regulations (Register 91, No. 34).
2. Change without  regulatory effect deleting text and adding History 1 as editorial corrections of printing errors filed 9-24-93 pursuant to title 1, section 100, California Code of Regulations (Register 93, No. 39).
§10140. Staff Training.
Note     •     History

Each program shall inform staff members of the purpose of testing or analysis for illicit drug use, the meaning of the results, and the importance of reliable procedures and reports.
NOTE

Authority cited: Sections 11755, 11835, 11839.3 and 11839.20, Health and Safety Code. Reference: Sections 11839.3, 11839.20 and 11839.21, Health and Safety Code.
HISTORY

1. Change without regulatory effect renumbering and amending parts of former section 10294 to 10140 filed 6-3-91 pursuant to section 100, title 1, California Code of Regulations (Register 91, No. 34).
2. Amendment filed  3-15-96 as an emergency; operative 3-15-96 (Register 96, No. 11). A Certificate of Compliance must be transmitted to OAL by 7-13-96 or emergency language will be repealed by operation of law on the following day.
3. Amendment refiled 7-8-96 as an emergency; operative 7-12-96 (Register 96, No. 28). A Certificate of Compliance must be transmitted to OAL by 11-12-96 or emergency language will be repealed by operation of law on the following day.
4. Amendment refiled 10-23-96 as an emergency; operative 10-29-96 (Register 96, No. 43). A Certificate of Compliance must be transmitted to OAL by 2-26-97 or emergency language will be repealed by operation of law on the following day.
5. Amendment refiled 2-11-97 as an emergency; operative 2-24-97 (Register 97, No. 7). A Certificate of Compliance must be transmitted to OAL by 6-24-97 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 2-11-97 order transmitted to OAL 3-4-97; disapproved by OAL and order of repeal as to 2-11-97 order filed 4-15-97 (Register 97, No. 16).
7. Amendment filed 4-15-97 as an emergency; operative 4-15-97 (Register 97, No. 16). A Certificate of Compliance must be transmitted to OAL by 8-13-97 or emergency language will be repealed by operation of law on the following day.
8. Certificate of Compliance as to 4-15-97 order transmitted to OAL 6-2-97 and filed 6-13-97 (Register 97, No. 24).
9. Change without regulatory effect amending Note filed 4-19-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 16).
Article 2. Patient Capacity and Caseload
§10145. Licensed Patient Capacity.
Note     •     History

(a) A single program shall be licensed to provide treatment services to a maximum of 750 patients.
(b) The Department shall determine a program's maximum patient capacity based on its review of the licensee's application or written request for either an increase or decrease.
(1) The Department shall specify on the license the patient capacity in licensed slots.
(2) The Department shall not increase the licensed patient capacity of a program with outstanding deficiencies where the Department has not accepted the program's corrective action plan.
(c) The maximum patient capacity shall apply to a combined total of patients in all treatment modalities (e.g., detoxification and maintenance), except for those patients from another program that are receiving dosing services on a temporary basis as specified in Section 10295.
(d) The program may adjust the ratio of patients in each treatment modality in response to need, but shall not treat more patients at any one time than the maximum patient capacity specified on the license.
(e) The Department may issue a temporary suspension order that prohibits the program from admitting new patients if the program is over its maximum licensed capacity.
(1) The Department shall deliver to the licensee, in person or by certified mail, a notice of temporary suspension, which shall:
(A) Inform the licensee that the program has been prohibited from admitting any new patients, effective as of the date of receipt of the order; and
(B) Inform the licensee that as soon as the program is within its licensed patient capacity, the program shall submit a written notification to the Department.
(2) The temporary suspension order shall be automatically vacated as soon as the Department receives the program's written notification that it is within its licensed patient capacity.
(3) The Department shall assess a civil penalty of five hundred dollars ($500) a day for each day a program violates a temporary suspension order.
NOTE

Authority cited: Sections 11755, 11835, 11839.3 and 11839.20, Health and Safety Code. Reference: Sections 11839.3, 11839.16 and 11839.20, Health and Safety Code.
HISTORY

1. Change without regulatory effect renumbering and amending parts of former sections 10200 and 10206 to 10145 filed 6-3-91 pursuant to section 100, title 1, California Code of Regulations (Register 91, No. 34).
2. Amendment filed  3-15-96 as an emergency; operative 3-15-96 (Register 96, No. 11). A Certificate of Compliance must be transmitted to OAL by 7-13-96 or emergency language will be repealed by operation of law on the following day.
3. Amendment refiled 7-8-96 as an emergency; operative 7-12-96 (Register 96, No. 28). A Certificate of Compliance must be transmitted to OAL by 11-12-96 or emergency language will be repealed by operation of law on the following day.
4. Amendment refiled 10-23-96 as an emergency; operative 10-29-96 (Register 96, No. 43). A Certificate of Compliance must be transmitted to OAL by 2-26-97 or emergency language will be repealed by operation of law on the following day.
5. Amendment refiled 2-11-97 as an emergency; operative 2-24-97 (Register 97, No. 7). A Certificate of Compliance must be transmitted to OAL by 6-24-97 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 2-11-97 order transmitted to OAL 3-4-97; disapproved by OAL and order of repeal as to 2-11-97 order filed 4-15-97 (Register 97, No. 16).
7. Amendment filed 4-15-97 as an emergency; operative 4-15-97 (Register 97, No. 16). A Certificate of Compliance must be transmitted to OAL by 8-13-97 or emergency language will be repealed by operation of law on the following day.
8. Certificate of Compliance as to 4-15-97 order, including amendment of subsection (b), transmitted to OAL 6-2-97 and filed 6-13-97 (Register 97, No. 24).
9. Amendment of section heading, section and Note filed 6-23-97 as an emergency; operative 7-1-97 (Register 97, No. 26). Pursuant to Health and Safety Code section 11758.42, a Certificate of Compliance must be transmitted to OAL by 12-28-97 or emergency language will be repealed by operation of law on the following day.
10. Editorial correction of History 9 (Register 98, No. 1).
11. Reinstatement of section as it existed prior to 6-23-97 emergency amendment by operation of Government Code section 11346.1(f) (Register 98, No. 1).
12. Amendment of section heading, section and Note filed 12-31-97 as an emergency; operative 12-31-97 (Register 98, No. 1). A Certificate of Compliance must be transmitted to OAL by 4-30-98 or emergency language will be repealed by operation of law on the following day.
13. Amendment of section heading, section and Note  refiled 4-27-98 as an emergency; operative 4-30-98 (Register 98, No. 18). A Certificate of Compliance must be transmitted to OAL by 8-28-98 or emergency language will be repealed by operation of law on the following day.
14. Certificate of Compliance as to 4-27-98 order transmitted to OAL 6-1-98 and filed 6-29-98 (Register 98, No. 27).
15. Change without regulatory effect amending Note filed 4-19-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 16).
§10148. Funding and Budget. [Renumbered]
Note     •     History

NOTE

Authority cited: Sections 11864 and 11876(a), Health and Safety Code. Reference: Section 11876(a), Health and Safety Code.
HISTORY

1. Change without  regulatory effect  renumbering former  section 10148 to new subsection 10030(a)(17) filed 6-3-91 pursuant to title 1, section 100, California Code of Regulations (Register 91, No. 34).
2. Change without  regulatory effect deleting text and adding History 1 as editorial corrections of printing errors filed 9-24-93 pursuant to title 1, section 100, California Code of Regulations (Register 93, No. 39).
§10150. Counseling Caseloads.
Note     •     History

(a) Each patient shall be assigned to a counselor.
(b) Patient caseloads may vary according to the particular problems of patients and the amount of supportive services used.
(c) The protocol shall set forth the patient caseload per counselor.
NOTE

Authority cited: Sections 11755, 11835, 11839.3 and 11839.20, Health and Safety Code. Reference: Sections 11839.3 and 11839.20, Health and Safety Code.
HISTORY

1. Change without regulatory effect renumbering and amending parts of former section 10170 to 10150 filed 6-3-91 pursuant to section 100, title 1, California Code of Regulations (Register 91, No. 34).
2. Amendment of subsections (a) and (c) filed  3-15-96 as an emergency; operative 3-15-96 (Register 96, No. 11). A Certificate of Compliance must be transmitted to OAL by 7-13-96 or emergency language will be repealed by operation of law on the following day.
3. Amendment of subsections (a) and (c) refiled 7-8-96 as an emergency; operative 7-12-96 (Register 96, No. 28). A Certificate of Compliance must be transmitted to OAL by 11-12-96 or emergency language will be repealed by operation of law on the following day.
4. Amendment of subsections (a) and (c) refiled 10-23-96 as an emergency; operative 10-29-96 (Register 96, No. 43). A Certificate of Compliance must be transmitted to OAL by 2-26-97 or emergency language will be repealed by operation of law on the following day.
5. Amendment of subsections (a) and (c) refiled 2-11-97 as an emergency; operative 2-24-97 (Register 97, No. 7). A Certificate of Compliance must be transmitted to OAL by 6-24-97 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 2-11-97 order transmitted to OAL 3-4-97; disapproved by OAL and order of repeal as to 2-11-97 order filed 4-15-97 (Register 97, No. 16).
7. Amendment of subsections (a) and (c) filed 4-15-97 as an emergency; operative 4-15-97 (Register 97, No. 16). A Certificate of Compliance must be transmitted to OAL by 8-13-97 or emergency language will be repealed by operation of law on the following day.
8. Certificate of Compliance as to 4-15-97 order transmitted to OAL 6-2-97 and filed 6-13-97 (Register 97, No. 24).
9. Change without regulatory effect amending Note filed 4-19-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 16).
§10152. Maintenance Treatment Program Staff. [Renumbered]
Note     •     History

NOTE

Authority cited: Sections 11864 and 11876(a), Health and Safety Code. Reference: Sections 11876(a) and 11880, Health and Safety Code.
HISTORY

1. Change without  regulatory effect  renumbering former  section 10152 to new subsection 10100(b) filed 6-3-91 pursuant to title 1, section 100, California Code of Regulations (Register 91, No. 34).
2. Change without  regulatory effect deleting text and adding History 1 as editorial corrections of printing errors filed 9-24-93 pursuant to title 1, section 100, California Code of Regulations (Register 93, No. 39).
§10154. Detoxification Treatment Program Staff. [Renumbered]
Note     •     History

NOTE

Authority cited: Sections 11864 and 11876(a), Health and Safety Code. Reference: Sections 11876(a) and 11880, Health and Safety Code.
HISTORY

1. New subsection (b)(2) filed 11-10-83; effective thirtieth day thereafter (Register 83, No. 46).
2. Change without  regulatory effect  renumbering former  section 10154 to new subsection 10100(a) filed 6-3-91 pursuant to title 1, section 100, California Code of Regulations (Register 91, No. 34).
3. Change without  regulatory effect deleting text and adding History 2 as editorial corrections of printing errors filed 9-24-93 pursuant to title 1, section 100, California Code of Regulations (Register 93, No. 39).
Article 3. Patient Records
§10155. Confidentiality of Patient Records.
Note     •     History

(a) All information and records obtained in the course of providing services to patients in a program shall be subject to the confidentiality and disclosure provisions contained in article 7 (commencing with section 5325), chapter 2, part 1, division 5, Welfare and Institutions Code and Title 42 (commencing with section 2.1), Code of Federal Regulations.
Each program and the Department, and all officers and employees of each program or of the Department, shall keep strictly confidential all information, records, and any individual patient data which may be obtained or compiled in the operation of a system to detect multiple registration and shall be subject to the confidentiality and disclosure provisions contained in article 7 (commencing with section 5325) chapter 2, part 1, division 5, Welfare and Institutions Code.
(b) Each program shall train all staff members in the confidentiality requirements of subsection (a) of this section.
NOTE

Authority cited: Sections 11755, 11835, 11839.3 and 11839.20, Health and Safety Code. Reference: Section 11839.3, Health and Safety Code.
HISTORY

1. Change without regulatory effect renumbering and amending parts of former section 10322 to 10155 filed 6-3-91 pursuant to section 100, title 1, California Code of Regulations (Register 91, No. 34).
2. Change without regulatory effect amending Note filed 4-19-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 16).
§10156. Physician Extender. [Renumbered]
Note     •     History

NOTE

Authority cited: Sections 11864 and 11876(a), Health and Safety Code. Reference: Sections 11876(a) and 11880, Health and Safety Code.
HISTORY

1. Change without  regulatory effect  renumbering former  section 10156 to new section 10120 filed 6-3-91 pursuant to title 1, section 100, California Code of Regulations (Register 91, No. 34).
2. Change without  regulatory effect deleting text and adding History 1 as editorial corrections of printing errors filed 9-24-93 pursuant to title 1, section 100, California Code of Regulations (Register 93, No. 39).
§10158. Staff Responsibility and Duties. [Renumbered]
Note     •     History

NOTE

Authority cited: Sections 11864 and 11876(a), Health and Safety Code. Reference: Sections 11876(a) and 11880, Health and Safety Code.
HISTORY

1. Change without  regulatory effect  renumbering former  section 10158 to new subsection 10130(a)(19) filed 6-3-91 pursuant to title 1, section 100, California Code of Regulations (Register 91, No. 34).
2. Change without  regulatory effect deleting text and adding History 1 as editorial corrections of printing errors filed 9-24-93 pursuant to title 1, section 100, California Code of Regulations (Register 93, No. 39).
§10160. Procedures for Patient Records.
Note     •     History

(a) Programs shall assign consecutive numbers to patients as admitted, and shall maintain an individual record for each patient.
(1) Programs shall keep patient records in a secure location within the facility.
(b) If the program keeps a separate record of the type and amount of medication administered or dispensed to a patient on a day-to-day basis, the program shall transfer this data to the patient's record at least monthly.
(c) Each program shall submit a sample patient record to the Department with its protocol.
NOTE

Authority cited: Sections 11755, 11835, 11839.3 and 11839.20, Health and Safety Code. Reference: Sections 11839.2, 11839.3, 11839.20 and 11875, Health and Safety Code.
HISTORY

1. Change without regulatory effect renumbering and amending parts of former section 10314 to 10160 filed 6-3-91 pursuant to section 100, title 1, California Code of Regulations (Register 91, No. 34).
2. Amendment of subsection (b) and Note filed  3-15-96 as an emergency; operative 3-15-96 (Register 96, No. 11). A Certificate of Compliance must be transmitted to OAL by 7-13-96 or emergency language will be repealed by operation of law on the following day.
3. Amendment of subsection (b) and Note refiled 7-8-96 as an emergency; operative 7-12-96 (Register 96, No. 28). A Certificate of Compliance must be transmitted to OAL by 11-12-96 or emergency language will be repealed by operation of law on the following day.
4. Amendment of subsection (b) and Note refiled 10-23-96 as an emergency; operative 10-29-96 (Register 96, No. 43). A Certificate of Compliance must be transmitted to OAL by 2-26-97 or emergency language will be repealed by operation of law on the following day.
5. Amendment of subsection (b) and Note refiled 2-11-97 as an emergency; operative 2-24-97 (Register 97, No. 7). A Certificate of Compliance must be transmitted to OAL by 6-24-97 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 2-11-97 order transmitted to OAL 3-4-97; disapproved by OAL and order of repeal as to 2-11-97 order filed 4-15-97 (Register 97, No. 16).
7. Amendment of subsection (b) and Note filed 4-15-97 as an emergency; operative 4-15-97 (Register 97, No. 16). A Certificate of Compliance must be transmitted to OAL by 8-13-97 or emergency language will be repealed by operation of law on the following day.
8. Certificate of Compliance as to 4-15-97 order transmitted to OAL 6-2-97 and filed 6-13-97 (Register 97, No. 24).
9. Change without regulatory effect amending Note filed 4-19-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 16).
§10162. Staff Member Profile. [Renumbered]
Note     •     History

NOTE

Authority cited: Sections 11864 and 11876(a), Health and Safety Code. Reference: Sections 11876(a) and 11880, Health and Safety Code.
HISTORY

1. Change without  regulatory effect  renumbering former  section 10162 to new section 10130 filed 6-3-91 pursuant to title 1, section 100, California Code of Regulations (Register 91, No. 34).
2. Change without  regulatory effect deleting text and adding History 1 as editorial corrections of printing errors filed 9-24-93 pursuant to title 1, section 100, California Code of Regulations (Register 93, No. 39).
§10164. Program Director Responsibilities and Duties. [Renumbered]
Note     •     History

NOTE

Authority cited: Sections 11864 and 11876(a), Health and Safety Code. Reference: Sections 11876(a) and 11880, Health and Safety Code.
HISTORY

1. Change without  regulatory effect  renumbering former  section 10164 to new section 10105 filed 6-3-91 pursuant to title 1, section 100, California Code of Regulations (Register 91, No. 34).
2. Change without  regulatory effect deleting text and adding History 1 as editorial corrections of printing errors filed 9-24-93 pursuant to title 1, section 100, California Code of Regulations (Register 93, No. 39).
§10165. Content of Patient Records.
Note     •     History

(a) Each program shall document the following information in the individual patient's records:
(1) The patient's birth date.
(2) Physical examination data, including laboratory results for required tests and analyses.
(3) Evidence of current use of heroin or other opiates.
(4) Date of admission to the program, plan of treatment, and medication orders signed by the physician.
(5) The program's response to a test or analysis for illicit drug use which discloses the absence of both methadone and its primary metabolite (when prescribed by the medical director and program physician), the presence of any illicit drugs, or abuse of other substances, including alcohol.
(6) Incidence of arrest and conviction or any other signs of retrogression.
(7) Any other patient information which the program finds useful in treating the patient.
(b) In addition to the requirements set forth in (a) above, records for patients in detoxification shall contain the following:
(1) Documentation of services and treatment provided, as well as  progress notes signed by the physician, nurse, or counselor, test or analysis results for illicit drug use; and periodic review or evaluation by the medical director.
(2) For patients who have completed the program, a discharge summary and follow-up notations to allow determination of success or failure of treatment and follow-up.
(c) In addition to the requirements set forth in (a) above, for patients in maintenance treatment records shall contain the following:
(1) Documentation of prior addiction and prior treatment failure.
(2) Documentation of services and treatment provided, as well as progress notes, signed by the physician, nurse, or counselor; test or analysis results for illicit drug use and periodic review or evaluation by the medical director. Such review shall be made not less than annually.
(3) For any patient who is to be continued on maintenance treatment beyond two years, the circumstances justifying such continued treatment as set forth in section 10410.
(4) Reasons for changes in dosage of levels and medications.
(5) For patients who have terminated the program, a discharge summary and follow-up notations to allow determination of success or failure of treatment.
NOTE

Authority cited: Sections 11755, 11835, 11839.3 and 11839.20, Health and Safety Code. Reference: Sections 11839.2, 11839.3, 11839.20 and 11875, Health and Safety Code.
HISTORY

1. Change without regulatory effect renumbering and amending parts of former sections 10316-10320 to 10165 filed 6-3-91 pursuant to section 100, title 1, California Code of Regulations (Register 91, No. 34).
2. Amendment of section and Note filed  3-15-96 as an emergency; operative 3-15-96 (Register 96, No. 11). A Certificate of Compliance must be transmitted to OAL by 7-13-96 or emergency language will be repealed by operation of law on the following day.
3. Amendment of section and Note refiled 7-8-96 as an emergency; operative 7-12-96 (Register 96, No. 28). A Certificate of Compliance must be transmitted to OAL by 11-12-96 or emergency language will be repealed by operation of law on the following day.
4. Amendment of section and Note refiled 10-23-96 as an emergency; operative 10-29-96 (Register 96, No. 43). A Certificate of Compliance must be transmitted to OAL by 2-26-97 or emergency language will be repealed by operation of law on the following day.
5. Amendment of section and Note refiled 2-11-97 as an emergency; operative 2-24-97 (Register 97, No. 7). A Certificate of Compliance must be transmitted to OAL by 6-24-97 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 2-11-97 order transmitted to OAL 3-4-97; disapproved by OAL and order of repeal as to 2-11-97 order filed 4-15-97 (Register 97, No. 16).
7. Amendment of section and Note filed 4-15-97 as an emergency; operative 4-15-97 (Register 97, No. 16). A Certificate of Compliance must be transmitted to OAL by 8-13-97 or emergency language will be repealed by operation of law on the following day.
8. Certificate of Compliance as to 4-15-97 order, including amendment of subsections (a)(2), (a)(4) and (a)(5), transmitted to OAL 6-2-97 and filed 6-13-97 (Register 97, No. 24).
9. Change without regulatory effect amending Note filed 4-19-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 16).
§10166. Medical Director. [Renumbered]
Note     •     History

NOTE

Authority cited: Sections 11864 and 11876(a), Health and Safety Code. Reference: Sections 11876(a) and 11880, Health and Safety Code.
HISTORY

1. Change without  regulatory effect  renumbering former  section 10166 to new section 10110 filed 6-3-91 pursuant to title 1, section 100, California Code of Regulations (Register 91, No. 34).
2. Change without  regulatory effect deleting text and adding History 1 as editorial corrections of printing errors filed 9-24-93 pursuant to title 1, section 100, California Code of Regulations (Register 93, No. 39).
§10168. Physicians. [Renumbered]
Note     •     History

NOTE

Authority cited: Sections 11864 and 11876(a), Health and Safety Code. Reference: Sections 11876(a) and 11880, Health and Safety Code.
HISTORY

1. Change without  regulatory effect  renumbering former  section 10168 to new section 10115 filed 6-3-91 pursuant to title 1, section 100, California Code of Regulations (Register 91, No. 34).
2. Change without  regulatory effect deleting text and adding History 1 as editorial corrections of printing errors filed 9-24-93 pursuant to title 1, section 100, California Code of Regulations (Register 93, No. 39).
Article 4. Program Rules and Procedures
§10170. Program Rules and Instructions.
Note     •     History

(a) Each program shall develop a set of written rules and instructions which shall be provided to all patients receiving services and to applicants for services prior to the program accepting the applicant as a patient.
(b) Rules and instructions shall include but not be limited to:
(1) Requirements for take-home medication privileges.
(2) Patient body specimen collection requirements for testing or analysis for illicit drug use.
(3) Fees.
(4) Grounds for involuntary termination.
(5) Fair hearing procedures.
(6) Patient rights.
(7) Program hours.
(8) Provision for emergencies.
(9) Other rules and procedures directly affecting the patient.
(c) Provisions shall be made for patients' acknowledgement of having been provided a copy of the program rules and instructions.
(d) The rules and instructions shall be included in the program protocol.
NOTE

Authority cited: Sections 11755, 11835, 11839.3 and 11839.20, Health and Safety Code. Reference: Sections 11839.3 and 11839.20, Health and Safety Code.
HISTORY

1. Change without regulatory effect renumbering and amending parts of former section 10080 to 10170 filed 6-3-91 pursuant to section 100, title 1, California Code of Regulations (Register 91, No. 34). 
2. Amendment of subsections (b)(1), (b)(2) and (b)(7) filed  3-15-96 as an emergency; operative 3-15-96 (Register 96, No. 11). A Certificate of Compliance must be transmitted to OAL by 7-13-96 or emergency language will be repealed by operation of law on the following day.
3. Amendment of subsections (b)(1), (b)(2) and (b)(7) refiled 7-8-96 as an emergency; operative 7-12-96 (Register 96, No. 28). A Certificate of Compliance must be transmitted to OAL by 11-12-96 or emergency language will be repealed by operation of law on the following day.
4. Amendment of subsections (b)(1), (b)(2) and (b)(7) refiled 10-23-96 as an emergency; operative 10-29-96 (Register 96, No. 43). A Certificate of Compliance must be transmitted to OAL by 2-26-97 or emergency language will be repealed by operation of law on the following day.
5. Amendment of subsections (b)(1), (b)(2) and (b)(7) refiled 2-11-97 as an emergency; operative 2-24-97 (Register 97, No. 7). A Certificate of Compliance must be transmitted to OAL by 6-24-97 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 2-11-97 order transmitted to OAL 3-4-97; disapproved by OAL and order of repeal as to 2-11-97 order filed 4-15-97 (Register 97, No. 16).
7. Amendment of subsections (b)(1), (b)(2) and (b)(7) filed 4-15-97 as an emergency; operative 4-15-97 (Register 97, No. 16). A Certificate of Compliance must be transmitted to OAL by 8-13-97 or emergency language will be repealed by operation of law on the following day.
8. Certificate of Compliance as to 4-15-97 order transmitted to OAL 6-2-97 and filed 6-13-97 (Register 97, No. 24).
9. Change without regulatory effect amending subsection (a) and Note filed 4-19-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 16).
§10174. Criteria for Maintenance Treatment Patient Selection. [Renumbered]
Note     •     History

NOTE

Authority cited: Sections 11864 and 11876(a), Health and Safety Code. Reference: Section 11876(a), Health and Safety Code.
HISTORY

1. Change without  regulatory effect  renumbering former  section 10174 to new subsection 10270(b) filed 6-3-91 pursuant to title 1, section 100, California Code of Regulations (Register 91, No. 34).
2. Change without  regulatory effect deleting text and adding History 1 as editorial corrections of printing errors filed 9-24-93 pursuant to title 1, section 100, California Code of Regulations (Register 93, No. 39).
§10175. Program Procedure Manual.
Note     •     History

(a) Each program shall have a current procedure manual.
(1) The protocol which is approved by the Department may serve as the working procedure manual.
(2) Each program may adopt a separate procedure manual.
(b) The procedure manual shall set forth detailed information about all facets of program operation.
(c) Each treatment staff member shall be familiar with the provisions of the program's protocol and procedure manual.
NOTE

Authority cited: Sections 11755, 11835, 11839.3 and 11839.20, Health and Safety Code. Reference: Sections 11215, 11217, 11839.3, 11839.20, 11839.22 and 11845.5, Health and Safety Code.
HISTORY

1. Change without regulatory effect renumbering and amending parts of former section 10046 to 10175 filed 6-3-91 pursuant to section 100, title 1, California Code of Regulations (Register 91, No. 34).
2. Change without regulatory effect amending Note filed 4-19-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 16).
§10176. Criteria for Detoxification Treatment Patient Selection. [Renumbered]
Note     •     History

NOTE

Authority cited: Sections 11864 and 11876(a), Health and Safety Code. Reference: Section 11876(a), Health and Safety Code; and Section 34.10(g), Civil Code.
HISTORY

1. Change without  regulatory effect  renumbering former  section 10176 to new section 10270 filed 6-3-91 pursuant to title 1, section 100, California Code of Regulations (Register 91, No. 34).
2. Change without  regulatory effect deleting text and adding History 1 as editorial corrections of printing errors filed 9-24-93 pursuant to title 1, section 100, California Code of Regulations (Register 93, No. 39).
§10178. Methadone Maintenance Treatment for Pregnant Patients. [Renumbered]
Note     •     History

NOTE

Authority cited: Sections 11864 and 11876(a), Health and Safety Code. Reference: Section 11876(a), Health and Safety Code.
HISTORY

1. Change without  regulatory effect  renumbering former  section 10178 to new section 10275 filed 6-3-91 pursuant to title 1, section 100, California Code of Regulations (Register 91, No. 34).
2. Change without  regulatory effect deleting text and adding History 1 as editorial corrections of printing errors filed 9-24-93 pursuant to title 1, section 100, California Code of Regulations (Register 93, No. 39).
§10180. Procedures in the Event of Emergency or Disaster.
Note     •     History

Each program shall: 
(a) Set forth in its protocol its plan for ensuring the continuity of treatment in the event that an emergency or disaster disrupts the program's normal functions; and
(b) Have an operational telephone number available 24 hours a day for patients to contact a staff member or be directed to an appropriate referral service (e.g., crisis line, hospital emergency room) in the event of an emergency.
NOTE

Authority cited: Sections 11755, 11864 and 11876(a), Health and Safety Code. Reference: Sections 11876(a) and 11880, Health and Safety Code.
HISTORY

1. Change without regulatory effect renumbering and amending parts of former section 10278 to 10180 filed 6-3-91 pursuant to section 100, title 1, California Code of Regulations (Register 91, No. 34).
2. Amendment filed  3-15-96 as an emergency; operative 3-15-96 (Register 96, No. 11). A Certificate of Compliance must be transmitted to OAL by 7-13-96 or emergency language will be repealed by operation of law on the following day.
3. Amendment refiled 7-8-96 as an emergency; operative 7-12-96 (Register 96, No. 28). A Certificate of Compliance must be transmitted to OAL by 11-12-96 or emergency language will be repealed by operation of law on the following day.
4. Amendment refiled 10-23-96 as an emergency; operative 10-29-96 (Register 96, No. 43). A Certificate of Compliance must be transmitted to OAL by 2-26-97 or emergency language will be repealed by operation of law on the following day.
5. Amendment refiled 2-11-97 as an emergency; operative 2-24-97 (Register 97, No. 7). A Certificate of Compliance must be transmitted to OAL by 6-24-97 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 2-11-97 order transmitted to OAL 3-4-97; disapproved by OAL and order of repeal as to 2-11-97 order filed 4-15-97 (Register 97, No. 16).
7. Amendment filed 4-15-97 as an emergency; operative 4-15-97 (Register 97, No. 16). A Certificate of Compliance must be transmitted to OAL by 8-13-97 or emergency language will be repealed by operation of law on the following day.
8. Certificate of Compliance as to 4-15-97 order transmitted to OAL 6-2-97 and filed 6-13-97 (Register 97, No. 24).
§10182. Patient Orientation. [Renumbered]
Note     •     History

NOTE

Authority cited: Sections 11864 and 11876(a), Health and Safety Code. Reference: Sections 11217, 11876(a) and (f), 11880 and 11882, Health and Safety Code.
HISTORY

1. Change without  regulatory effect  renumbering former  section 10182 to new section 10280 filed 6-3-91 pursuant to title 1, section 100, California Code of Regulations (Register 91, No. 34).
2. Change without  regulatory effect deleting text and adding History 1 as editorial corrections of printing errors filed 9-24-93 pursuant to title 1, section 100, California Code of Regulations (Register 93, No. 39).
§10184. Patient Orientation for Female Patients of Childbearing Age. [Renumbered]
Note     •     History

NOTE

Authority cited: Sections 11864 and 11876(a), Health and Safety Code. Reference: Sections 11876(a) and 11880, Health and Safety Code.
HISTORY

1. Change without  regulatory effect  renumbering former  section 10184 to new section 10285 filed 6-3-91 pursuant to title 1, section 100, California Code of Regulations (Register 91, No. 34).
2. Change without  regulatory effect deleting text and adding History 1 as editorial corrections of printing errors filed 9-24-93 pursuant to title 1, section 100, California Code of Regulations (Register 93, No. 39).
§10185. Procedures in the Event of a Patient's Hospitalization.
Note     •     History

(a) If the program is aware that a patient has been hospitalized, the program physician shall attempt to cooperate with the attending physician and the hospital staff in order for the hospital to continue a patient's replacement narcotic therapy.
(b) The patient's record shall contain documentation of:
(1) The program physician's coordination efforts with the attending physician and the hospital staff; and
(2) The date(s) of hospitalization, reason(s), and circumstances involved.
NOTE

Authority cited: Sections 11755, 11835, 11839.3 and 11839.20, Health and Safety Code. Reference: Sections 11215, 11839.2, 11839.3, 11839.20 and 11875, Health and Safety Code.
HISTORY

1. Change without regulatory effect renumbering and amending parts of former section 10276(b) to 10185 filed 6-3-91 pursuant to section 100, title 1, California Code of Regulations (Register 91, No. 34).
2. Amendment of section heading, section and Note filed  3-15-96 as an emergency; operative 3-15-96 (Register 96, No. 11). A Certificate of Compliance must be transmitted to OAL by 7-13-96 or emergency language will be repealed by operation of law on the following day.
3. Amendment of section heading, section and Note refiled 7-8-96 as an emergency; operative 7-12-96 (Register 96, No. 28). A Certificate of Compliance must be transmitted to OAL by 11-12-96 or emergency language will be repealed by operation of law on the following day.
4. Amendment of section heading, section and Note refiled 10-23-96 as an emergency; operative 10-29-96 (Register 96, No. 43). A Certificate of Compliance must be transmitted to OAL by 2-26-97 or emergency language will be repealed by operation of law on the following day.
5. Amendment of section heading, section and Note refiled 2-11-97 as an emergency; operative 2-24-97 (Register 97, No. 7). A Certificate of Compliance must be transmitted to OAL by 6-24-97 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 2-11-97 order transmitted to OAL 3-4-97; disapproved by OAL and order of repeal as to 2-11-97 order filed 4-15-97 (Register 97, No. 16).
7. Amendment of section heading, section and Note filed 4-15-97 as an emergency; operative 4-15-97 (Register 97, No. 16). A Certificate of Compliance must be transmitted to OAL by 8-13-97 or emergency language will be repealed by operation of law on the following day.
8. Certificate of Compliance as to 4-15-97 order, including amendment of section heading and section, transmitted to OAL 6-2-97 and filed 6-13-97 (Register 97, No. 24).
9. Change without regulatory effect amending Note filed 4-19-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 16).
§10186. Patient Consent Form. [Renumbered]
Note     •     History

NOTE

Authority cited: Sections 11864 and 11876(a), Health and Safety Code. Reference: Sections 11876(a) and 11880, Health and Safety Code.
HISTORY

1. Change without  regulatory effect  renumbering former  section 10186 to new section 10290 filed 6-3-91 pursuant to title 1, section 100, California Code of Regulations (Register 91, No. 34).
2. Change without  regulatory effect deleting text and adding History 1 as editorial corrections of printing errors filed 9-24-93 pursuant to title 1, section 100, California Code of Regulations (Register 93, No. 39).
§10188. Patient Attendance Requirements. [Renumbered]
Note     •     History

NOTE

Authority cited: Sections 11864 and 11876(a), Health and Safety Code. Reference: Sections 11876(a) and 11880, Health and Safety Code.
HISTORY

1. Change without  regulatory effect  renumbering former  section 10188 to new section 10295 filed 6-3-91 pursuant to title 1, section 100, California Code of Regulations (Register 91, No. 34).
2. Change without  regulatory effect deleting text and adding History 1 as editorial corrections of printing errors filed 9-24-93 pursuant to title 1, section 100, California Code of Regulations (Register 93, No. 39).
§10190. Procedures in the Event of a Patient's Incarceration.
Note     •     History

(a) If the program is aware that a patient has been incarcerated, the program physician shall attempt to cooperate with the jail's medical officer in order to ensure the necessary treatment for opiate withdrawal symptoms, whenever it is possible to do so.
(b) The patient's record shall contain documentation of:
(1) The program physician's coordination efforts with the jail; and
(2) The date(s) of incarceration, reason(s), and circumstances involved.
NOTE

Authority cited: Sections 11755, 11835, 11839.3 and 11839.20, Health and Safety Code. Reference: Sections 11215, 11839.3 and 11839.20, Health and Safety Code.
HISTORY

1. Change without regulatory effect renumbering and amending parts of former sections 10274 and 10276 to 10190 filed 6-3-91 pursuant to section 100, title 1, California Code of Regulations (Register 91, No. 34).
2. Amendment of section heading and section filed  3-15-96 as an emergency; operative 3-15-96 (Register 96, No. 11). A Certificate of Compliance must be transmitted to OAL by 7-13-96 or emergency language will be repealed by operation of law on the following day.
3. Amendment of section heading and section refiled 7-8-96 as an emergency; operative 7-12-96 (Register 96, No. 28). A Certificate of Compliance must be transmitted to OAL by 11-12-96 or emergency language will be repealed by operation of law on the following day.
4. Amendment of section heading and section refiled 10-23-96 as an emergency; operative 10-29-96 (Register 96, No. 43). A Certificate of Compliance must be transmitted to OAL by 2-26-97 or emergency language will be repealed by operation of law on the following day.
5. Amendment of section heading and section refiled 2-11-97 as an emergency; operative 2-24-97 (Register 97, No. 7). A Certificate of Compliance must be transmitted to OAL by 6-24-97 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 2-11-97 order transmitted to OAL 3-4-97; disapproved by OAL and order of repeal as to 2-11-97 order filed 4-15-97 (Register 97, No. 16).
7. Amendment of section heading and section filed 4-15-97 as an emergency; operative 4-15-97 (Register 97, No. 16). A Certificate of Compliance must be transmitted to OAL by 8-13-97 or emergency language will be repealed by operation of law on the following day.
8. Certificate of Compliance as to 4-15-97 order, including amendment of section heading and section, transmitted to OAL 6-2-97 and filed 6-13-97 (Register 97, No. 24).
9. Change without regulatory effect amending Note filed 4-19-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 16).
§10192. Effect of Methadone Detoxification Patient's Absence. [Renumbered]
Note     •     History

NOTE

Authority cited: Sections 11864 and 11876(a), Health and Safety Code. Reference: Sections 11876(a) and 11880, Health and Safety Code.
HISTORY

1. Change without  regulatory effect  renumbering former  section 10192 to new subsection 10300(a) filed 6-3-91 pursuant to title 1, section 100, California Code of Regulations (Register 91, No. 34).
2. Change without  regulatory effect deleting text and adding History 1 as editorial corrections of printing errors filed 9-24-93 pursuant to title 1, section 100, California Code of Regulations (Register 93, No. 39).
§10195. Report of Patient Death.
Note     •     History

(a) The program shall notify the Department within one (1) working day if:
(1) A patient of the program dies at the program site; or
(2) Ingestion of the medication used in replacement narcotic therapy may have been the cause of the patient's death.
(b) For all other patient deaths the program shall submit to the Department, within 90 calendar days from the date of the death, the following:
(1) A death report which is signed and dated by the medical director to signify concurrence with the findings; and
(2) Any other documentation of the death.
NOTE

Authority cited: Sections 11755, 11835, 11839.3 and 11839.20, Health and Safety Code. Reference: Section 11839.3, Health and Safety Code.
HISTORY

1. Change without regulatory effect renumbering and amending parts of former section 10094 to 10195 filed 6-3-91 pursuant to section 100, title 1, California Code of Regulations (Register 91, No. 34).
2. Repealer of subsection (a) designator and subsection (b) filed  3-15-96 as an emergency; operative 3-15-96 (Register 96, No. 11). A Certificate of Compliance must be transmitted to OAL by 7-13-96 or emergency language will be repealed by operation of law on the following day.
3. Repealer of subsection (a) designator and subsection (b) refiled 7-8-96 as an emergency; operative 7-12-96 (Register 96, No. 28). A Certificate of Compliance must be transmitted to OAL by 11-12-96 or emergency language will be repealed by operation of law on the following day.
4. Repealer of subsection (a) designator and subsection (b) refiled 10-23-96 as an emergency; operative 10-29-96 (Register 96, No. 43). A Certificate of Compliance must be transmitted to OAL by 2-26-97 or emergency language will be repealed by operation of law on the following day.
5. Repealer of subsection (a) designator and subsection (b) refiled 2-11-97 as an emergency; operative 2-24-97 (Register 97, No. 7). A Certificate of Compliance must be transmitted to OAL by 6-24-97 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 2-11-97 order transmitted to OAL 3-4-97; disapproved by OAL and order of repeal as to 2-11-97 order filed 4-15-97 (Register 97, No. 16).
7. Repealer of subsection (a) designator and subsection (b) filed 4-15-97 as an emergency; operative 4-15-97 (Register 97, No. 16). A Certificate of Compliance must be transmitted to OAL by 8-13-97 or emergency language will be repealed by operation of law on the following day.
8. Certificate of Compliance as to 4-15-97 order transmitted to OAL 6-2-97 and filed 6-13-97 (Register 97, No. 24).
9. Repealer and new section and amendment of Note filed 6-23-97 as an emergency; operative 7-1-97 (Register 97, No. 26). Pursuant to Health and Safety Code section 11758.42, a Certificate of Compliance must be transmitted to OAL by 12-28-97 or emergency language will be repealed by operation of law on the following day.
10. Editorial correction of History 9 (Register 98, No. 1).
11. Reinstatement of section as it existed prior to 6-23-97 emergency amendment by operation of Government Code section 11346.1(f) (Register 98, No. 1).
12. Repealer and new section and amendment of Note filed 12-31-97 as an emergency; operative 12-31-97 (Register 98, No. 1). A Certificate of Compliance must be transmitted to OAL by 4-30-98 or emergency language will be repealed by operation of law on the following day.
13. Repealer and new section and amendment of Note refiled 4-27-98 as an emergency; operative 4-30-98 (Register 98, No. 18). A Certificate of Compliance must be transmitted to OAL by 8-28-98 or emergency language will be repealed by operation of law on the following day.
14. Certificate of Compliance as to 4-27-98 order transmitted to OAL 6-1-98 and filed 6-29-98 (Register 98, No. 27).
15. Change without regulatory effect amending Note filed 4-19-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 16).
Subchapter 4. Medication Security and Diversion Prevention
Article 1. Detection of Multiple Registration
§10200. Patient Registration. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 11755, 11864 and 11876(a), Health and Safety Code. Reference: Section 11822, Health and Safety Code.
HISTORY

1. Change without regulatory effect renumbering and amending parts of former section 10108 to 10200 filed 6-3-91 pursuant to section 100, title 1, California Code of Regulations (Register 91, No. 34).
2. Repealer filed 5-6-93 as an emergency; operative 5-6-93 (Register 93, No. 19).  No Certificate of Compliance is required pursuant to the provisions of section 17, Chapter 709, Statutes of 1992.
3. Editorial correction of printing error in History 2 (Register 93, No. 24).
4. Repealer filed 11-2-93; operative 11-2-93. Submitted to OAL for printing only pursuant to Government Code section 11343.8 (Register 93, No. 45).
5. Amendment of subchapter 4 heading and article 1 heading filed 3-15-96 as an emergency; operative 3-15-96 (Register 96, No. 11). A Certificate of Compliance must be transmitted to OAL by 7-13-96 or emergency language will be repealed by operation of law on the following day.
6. Amendment of subchapter 4 heading and article 1 heading refiled 7-8-96 as an emergency; operative 7-12-96 (Register 96, No. 28). A Certificate of Compliance must be transmitted to OAL by 11-12-96 or emergency language will be repealed by operation of law on the following day.
7. Amendment of subchapter 4 heading and article 1 heading refiled 10-23-96 as an emergency; operative 10-29-96 (Register 96, No. 43). A Certificate of Compliance must be transmitted to OAL by 2-26-97 or emergency language will be repealed by operation of law on the following day.
8. Amendment of subchapter 4 heading and article 1 heading refiled 2-11-97 as an emergency; operative 2-24-97 (Register 97, No. 7). A Certificate of Compliance must be transmitted to OAL by 6-24-97 or emergency language will be repealed by operation of law on the following day.
9. Certificate of Compliance as to 2-11-97 order transmitted to OAL 3-4-97; disapproved by OAL and order of repeal as to 2-11-97 order filed 4-15-97 (Register 97, No. 16).
10. Amendment of subchapter 4 heading and article 1 heading filed 4-15-97 as an emergency; operative 4-15-97 (Register 97, No. 16). A Certificate of Compliance must be transmitted to OAL by 8-13-97 or emergency language will be repealed by operation of law on the following day.
11. Certificate of Compliance as to 4-15-97 order transmitted to OAL 6-2-97 and filed 6-13-97 (Register 97, No. 24).
§10204. Methadone Maintenance Patient Capacity and Intake. [Renumbered]
Note     •     History

NOTE

Authority cited: Sections 11864 and 11876(a), Health and Safety Code. Reference: Sections 11876(a) and 11880, Health and Safety Code.
HISTORY

1. Change without  regulatory effect  renumbering former  section 10204 to new subsection 10030(a) filed 6-3-91 pursuant to title 1, section 100, California Code of Regulations (Register 91, No. 34).
2. Change without  regulatory effect deleting text and adding History 1 as editorial corrections of printing errors filed 9-24-93 pursuant to title 1, section 100, California Code of Regulations (Register 93, No. 39).
§10205. Prohibition Against Multiple Registration.
Note     •     History

(a) Except as specified in Subsection (b) of this regulation, narcotic treatment programs shall not accept a patient for treatment if the patient is registered in another narcotic treatment program at the same time.
(b) Programs may provide replacement narcotic therapy to short term (less than 30 days) visiting patients approved to receive services on a temporary basis, in accordance with Section 10295, so long as the program complies with the requirements of Section 10210(d).
NOTE

Authority cited: Sections 11755, 11835, 11839.3 and 11839.20, Health and Safety Code. Reference: Section 11839.22, Health and Safety Code.
HISTORY

1. Change without regulatory effect renumbering and amending parts of former section 10109 to 10205 filed 6-3-91 pursuant to section 100, title 1, California Code of Regulations (Register 91, No. 34).
2. Repealer and new section filed 5-6-93 as an emergency; operative 5-6-93 (Register 93, No. 19).  No Certificate of Compliance is required pursuant to the provisions of section 17, Chapter 709, Statutes of 1992.
3. Editorial correction of printing error in History 2 (Register 93, No. 24).
4. Repealer and new section refiled 11-2-93; operative 11-2-93. Submitted to OAL for printing only pursuant to Government Code section 11343.8 (Register 93, No. 45).
5. Amendment filed 3-15-96 as an emergency; operative 3-15-96 (Register 96, No. 11). A Certificate of Compliance must be transmitted to OAL by 7-13-96 or emergency language will be repealed by operation of law on the following day.
6. Amendment refiled 7-8-96 as an emergency; operative 7-12-96 (Register 96, No. 28). A Certificate of Compliance must be transmitted to OAL by 11-12-96 or emergency language will be repealed by operation of law on the following day.
7. Amendment refiled 10-23-96 as an emergency; operative 10-29-96 (Register 96, No. 43). A Certificate of Compliance must be transmitted to OAL by 2-26-97 or emergency language will be repealed by operation of law on the following day.
8. Amendment refiled 2-11-97 as an emergency; operative 2-24-97 (Register 97, No. 7). A Certificate of Compliance must be transmitted to OAL by 6-24-97 or emergency language will be repealed by operation of law on the following day.
9. Certificate of Compliance as to 2-11-97 order transmitted to OAL 3-4-97; disapproved by OAL and order of repeal as to 2-11-97 order filed 4-15-97 (Register 97, No. 16).
10. Amendment filed 4-15-97 as an emergency; operative 4-15-97 (Register 97, No. 16). A Certificate of Compliance must be transmitted to OAL by 8-13-97 or emergency language will be repealed by operation of law on the following day.
11. Certificate of Compliance as to 4-15-97 order, including amendment of subsection (b), transmitted to OAL 6-2-97 and filed 6-13-97 (Register 97, No. 24).
12. Change without regulatory effect amending Note filed 4-19-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 16).
§10206. Methadone Detoxification Patient Capacity and Intake. [Renumbered]
Note     •     History

NOTE

Authority cited: Sections 11864 and 11876(a), Health and Safety Code. Reference: Sections 11876(a) and 11880, Health and Safety Code.
HISTORY

1. Change without  regulatory effect  renumbering former  section 10206 to new sections 10030 and 10145 filed 6-3-91 pursuant to title 1, section 100, California Code of Regulations (Register 91, No. 34).
2. Change without  regulatory effect deleting text and adding History 1 as editorial corrections of printing errors filed 9-24-93 pursuant to title 1, section 100, California Code of Regulations (Register 93, No. 39).
§10210. Detection of Multiple Registration at Time of Application for Admission.
Note     •     History

(a) Before a program admits a patient for treatment, the program shall:
(1) Notify the patient that it cannot provide replacement narcotic therapy to a patient who is simultaneously receiving this therapy from another program.
(2) Require the patient to sign a written statement documenting whether he/she is currently receiving replacement narcotic therapy from another program and retain the statement in the patient record. If the patient refuses to sign this statement, the program shall not admit the patient for treatment.
(3) Require the patient to provide the following information:
(A) Full name and any aliases,
(B) Month, day, and year of birth,
(C) Mother's maiden name,
(D) Sex,
(E) Race,
(F) Height,
(G) Weight,
(H) Color of hair,
(I) Color of eyes, 
(J) Distinguishing markings, such as scars or tattoos.
(4) Request the patient to voluntarily provide his/her Social Security number,
(5) Request the patient to sign an authorization for disclosure of confidential information, pursuant to Section 2.34, Part 2, Chapter 1, Title 42 of the Code of Federal Regulations for the limited purpose of authorizing the program to contact each narcotic treatment program within a radius of 50 statute miles to determine if the patient, as identified at Subsection (a)(3) and (a)(4) of this regulation, is simultaneously receiving replacement narcotic therapy from another program.
(6) Document in the patient record, in accordance with Section 10165, all information provided and authorizations of release of information signed pursuant to this subsection.
(b) Upon completion of the requirements of Subsection (a) of this regulation, the program shall proceed in accordance with Subsection (c) or Subsection (d) of this regulation, as appropriate.
(c) If the patient states that he/she is currently receiving replacement narcotic therapy from another program and the patient is not approved to receive services on a temporary basis in accordance with Sections 10205(b) and 10295, before admitting the patient for treatment, the program shall:
(1) Request the patient to sign an authorization of disclosure of confidential information, pursuant to Section 2.34, Part 2, Chapter 1, Title 42 of the Code of Federal Regulations for the limited purpose of authorizing the program to contact the previous program to notify it that the patient has applied for admission for replacement narcotic therapy;
(2) Contact the previous program by telephone and notify the program that the individual has applied for admission for replacement narcotic therapy;
(3) Request the program to cease providing replacement narcotic therapy if it has not already done so;
(4) Request the previous program to provide the new program with written documentation (letter or discharge summary) that it has discharged the patient; and
(A) The previous program shall provide such information within 72 hours of receiving the request.
(B) If the previous program states that it has already discharged the patient, the new program may admit the patient for treatment.
(5) Document the following information in writing in the patient's record:
(A) The name of the program contacted,
(B) The date and time of the contact,
(C) The name of the program staff member contacted, and
(D) The results of the contact.
(d) If the patient states that he/she is a visiting patient approved to receive services on a temporary basis in accordance with Sections 10205(b) and 10295, before providing replacement narcotic therapy to the patient the program shall:
(1) Contact the other program to determine that it has not already provided the patient with replacement narcotic therapy for the same time period and that it will not do so; and
(2) Document the following information in writing in the patient's medication orders:
(A) The name of the program contacted,
(B) The date and time of the contact,
(C) The name of the program staff member contacted, and
(D) The results of the contact.
(e) If the patient states that he/she is not currently receiving replacement narcotic therapy from another program, the program shall proceed in accordance with Section 10215.
NOTE

Authority cited: Sections 11755, 11835, 11839.3 and 11839.20, Health and Safety Code. Reference: Section 11839.22, Health and Safety Code.
HISTORY

1. Change without regulatory effect renumbering and amending parts of former section 10112 to 10210 filed 6-3-91 pursuant to section 100, title 1, California Code of Regulations (Register 91, No. 34).
2. Repealer and new section filed 5-6-93 as an emergency; operative 5-6-93 (Register 93, No. 19).  No Certificate of Compliance is required pursuant to the provisions of section 17, Chapter 709, Statutes of 1992.
3. Editorial correction of printing error in History 2 (Register 93, No. 24).
4. Repealer and new section refiled 11-2-93 with amendments; operative 11-2-93. Submitted to OAL for printing only pursuant to Government Code section 11343.8 (Register 93, No. 45).
5. Amendment filed 3-15-96 as an emergency; operative 3-15-96 (Register 96, No. 11). A Certificate of Compliance must be transmitted to OAL by 7-13-96 or emergency language will be repealed by operation of law on the following day.
6. Amendment refiled 7-8-96 as an emergency; operative 7-12-96 (Register 96, No. 28). A Certificate of Compliance must be transmitted to OAL by 11-12-96 or emergency language will be repealed by operation of law on the following day.
7. Amendment refiled 10-23-96 as an emergency; operative 10-29-96 (Register 96, No. 43). A Certificate of Compliance must be transmitted to OAL by 2-26-97 or emergency language will be repealed by operation of law on the following day.
8. Amendment refiled 2-11-97 as an emergency; operative 2-24-97 (Register 97, No. 7). A Certificate of Compliance must be transmitted to OAL by 6-24-97 or emergency language will be repealed by operation of law on the following day.
9. Certificate of Compliance as to 2-11-97 order transmitted to OAL 3-4-97; disapproved by OAL and order of repeal as to 2-11-97 order filed 4-15-97 (Register 97, No. 16).
10. Amendment filed 4-15-97 as an emergency; operative 4-15-97 (Register 97, No. 16). A Certificate of Compliance must be transmitted to OAL by 8-13-97 or emergency language will be repealed by operation of law on the following day.
11. Certificate of Compliance as to 4-15-97 order, including amemdnent of subsections (c) and (d), transmitted to OAL 6-2-97 and filed 6-13-97 (Register 97, No. 24).
12. Change without regulatory effect amending subsections (a)(5) and (c)(1) and Note filed 4-19-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 16).
§10214. Methadone Maintenance Daily Dosage Levels. [Renumbered]
Note     •     History

NOTE

Authority cited: Sections 11864 and 11876(a), Health and Safety Code. Reference: Sections 11876(a) and 11880, Health and Safety Code.
HISTORY

1. Change without  regulatory effect  renumbering former  section 10214 to new subsection 10355(c) filed 6-3-91 pursuant to title 1, section 100, California Code of Regulations (Register 91, No. 34).
2. Change without  regulatory effect deleting text and adding History 1 as editorial corrections of printing errors filed 9-24-93 pursuant to title 1, section 100, California Code of Regulations (Register 93, No. 39).
§10215. Detection of Multiple Registration by Reviewing Results from the Initial Test or Analysis for Illicit Drug Use.
Note     •     History

(a) If, at the time of admission, the patient documents that he/she is not currently receiving replacement narcotic therapy from another program, the program shall review the results of the patient's initial test or analysis for illicit drug use to determine the presence of methadone or its primary metabolite. The program may admit the patient prior to receipt of these results.
(b) If the results of the test or analysis for illicit drug use indicate the presence of methadone or its primary metabolite, the program shall ask the patient if, during the preceding 72 hours, he/she received the medication while hospitalized or if he/she was discharged from an inpatient our outpatient narcotic treatment program. If the patient states that he/she was hospitalized or discharged during the preceding 72 hours, the program shall proceed in accordance with Subsection 10210(c). If the patient states that he/she was not hospitalized or discharged during the preceding 72 hours, the program shall proceed in accordance with Subsections (c), (d), and (e) of this regulation.
(c) If the results of the test or analysis for illicit drug use indicate the presence of methadone or its primary metabolite and the patient has signed an authorization for disclosure of confidential information as requested in Subsection 10210(a)(5), the program shall take the following action within 15 days of admitting the patient to the program:
(1) Contact each narcotic treatment program within a radius of 50 statute miles to determine if the patient is simultaneously receiving replacement narcotic therapy from another program, and
(2) Provide to each program the information provided by the patient in Subsection 10210(a)(3) and (a)(4).
(d) Each program receiving information provided in accordance with Subsection (c) of this regulation shall review its records to determine if it has provided replacement narcotic therapy to the patient.
(1) If the program has never provided replacement narcotic therapy to the patient or if it is no longer providing this therapy to the patient, the program shall so notify the inquiring program in writing within 72 hours of receipt of the notification.
(2) If the program is still providing replacement narcotic therapy to the patient, the program shall proceed in accordance with the requirements of Section 10225.
(e) The inquiring program shall document the following information in writing in the patient record:
(1) The name of each program contacted,
(2) The date,
(3) The time of the contact, if made by telephone,
(4) The name of the program staff member contacted, and
(5) The results of the contact.
NOTE

Authority cited: Sections 11755, 11835, 11839.3 and 11839.20, Health and Safety Code. Reference: Sections 11839.2, 11839.22 and 11875, Health and Safety Code.
HISTORY

1. Change without regulatory effect renumbering and amending parts of former section 10114 to 10215 filed 6-3-91 pursuant to section 100, title 1, California Code of Regulations (Register 91, No. 34).
2. Repealer and new section filed 5-6-93 as an emergency; operative 5-6-93 (Register 93, No. 19).  No Certificate of Compliance is required pursuant to the provisions of section 17, Chapter 709, Statutes of 1992.
3. Editorial correction of printing error in History 2 (Register 93, No. 24).
4. Repealer and new section refiled 11-2-93 with amendments; operative 11-2-93. Submitted to OAL for printing only pursuant to Government Code section 11343.8 (Register 93, No. 45).
5. Amendment of section heading, section and Note filed 3-15-96 as an emergency; operative 3-15-96 (Register 96, No. 11). A Certificate of Compliance must be transmitted to OAL by 7-13-96 or emergency language will be repealed by operation of law on the following day.
6. Amendment of section heading, section and Note refiled 7-8-96 as an emergency; operative 7-12-96 (Register 96, No. 28). A Certificate of Compliance must be transmitted to OAL by 11-12-96 or emergency language will be repealed by operation of law on the following day.
7. Amendment of section heading, section and Note refiled 10-23-96 as an emergency; operative 10-29-96 (Register 96, No. 43). A Certificate of Compliance must be transmitted to OAL by 2-26-97 or emergency language will be repealed by operation of law on the following day.
8. Amendment of section heading, section and Note refiled 2-11-97 as an emergency; operative 2-24-97 (Register 97, No. 7). A Certificate of Compliance must be transmitted to OAL by 6-24-97 or emergency language will be repealed by operation of law on the following day.
9. Certificate of Compliance as to 2-11-97 order transmitted to OAL 3-4-97; disapproved by OAL and order of repeal as to 2-11-97 order filed 4-15-97 (Register 97, No. 16).
10. Amendment of section heading, section and Note filed 4-15-97 as an emergency; operative 4-15-97 (Register 97, No. 16). A Certificate of Compliance must be transmitted to OAL by 8-13-97 or emergency language will be repealed by operation of law on the following day.
11. Certificate of Compliance as to 4-15-97 order, including amendment of subsections (a), (b) and (c), transmitted to OAL 6-2-97 and filed 6-13-97 (Register 97, No. 24).
12. Change without regulatory effect amending Note filed 4-19-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 16).
§10216. Methadone Detoxification Dosage Levels. [Renumbered]
Note     •     History

NOTE

Authority cited: Sections 11864 and 11876(a), Health and Safety Code. Reference: Sections 11876(a) and 11880, Health and Safety Code.
HISTORY

1. Change without  regulatory effect  renumbering former  section 10216 to new subsection 10355(a) filed 6-3-91 pursuant to title 1, section 100, California Code of Regulations (Register 91, No. 34).
2. Change without  regulatory effect deleting text and adding History 1 as editorial corrections of printing errors filed 9-24-93 pursuant to title 1, section 100, California Code of Regulations (Register 93, No. 39).
§10218. Initial Dosages of Methadone. [Renumbered]
Note     •     History

NOTE

Authority cited: Sections 11864 and 11876(a), Health and Safety Code. Reference: Sections 11876(a) and 11880, Health and Safety Code.
HISTORY

1. Change without  regulatory effect  renumbering former  section 10218 to new section 10350  filed 6-3-91 pursuant to title 1, section 100, California Code of Regulations (Register 91, No. 34).
2. Change without  regulatory effect deleting text and adding History 1 as editorial corrections of printing errors filed 9-24-93 pursuant to title 1, section 100, California Code of Regulations (Register 93, No. 39).
§10220. Ongoing Detection of Multiple Registration Using Automated Patient Data System.
Note     •     History

(a) Consistent with the provision of Section 2.53, Part 2, Chapter 1, Title 42 of the Code of Federal Regulations, by the sixth working day of the month following  the month in which the program admits or discharges a patient the program shall report to the Department in writing for purposes of evaluation, patient admission and discharge data which shall include:
(1) Provider identification, including program name, county, and address;
(2) Patient identification, including:
(A) Patient name or initials,
(B) Sex,
(C) Month, day, and year of birth;
(D) Race,
(3) The month, day, and year of admission,
(4) The month, day, and year of discharge,
(5) The type of admission (e.g. initial admission, transfer from another program, change in treatment service, etc.)
(6) The type of treatment provided (e.g. detoxification or maintenance), and
(7) The type of medication prescribed.
(b) The Department shall include patient data reported by each program in its automated patient data collection system.
(c) If the Department's analysis of the automated patient data indicates that a patient is registered in more than one program, the Department shall send written notification of multiple registration to each program in which the patient is registered. The notification shall list all narcotic treatment programs in which the patient is simultaneously registered.
(d) When a program receives notification from the Department that a patient is registered in another narcotic treatment program, the notified program shall determine if it is currently providing replacement narcotic therapy to the patient.
(1) If the program is no longer providing this therapy to the patient, the program shall so notify the Department in writing within 72 hours of receipt of the notification.
(2) If the program is still providing this therapy to the patient, the program shall proceed in accordance with the provisions of Section 10225.
NOTE

Authority cited: Sections 11755, 11835, 11839.3 and 11839.20, Health and Safety Code. Reference: Sections 11755 and 11839.22, Health and Safety Code.
HISTORY

1. Change without regulatory effect renumbering and amending parts of former section 10120 to 10220 filed 6-3-91 pursuant to section 100, title 1, California Code of Regulations (Register 91, No. 34).
2. Repealer and new section filed 5-6-93 as an emergency; operative 5-6-93 (Register 93, No. 19).  No Certificate of Compliance is required pursuant to the provisions of section 17, Chapter 709, Statutes of 1992.
3. Editorial correction of printing error in History 2 (Register 93, No. 24).
4. Repealer and new section refiled 11-2-93 with amendment of subsection (a); operative 11-2-93. Submitted to OAL for printing only pursuant to Government Code section 11343.8 (Register 93, No. 45).
5. Amendment of subsections (a)(5)-(6), (c) and (d)-(d)(2) filed 3-15-96 as an emergency; operative 3-15-96 (Register 96, No. 11). A Certificate of Compliance must be transmitted to OAL by 7-13-96 or emergency language will be repealed by operation of law on the following day.
6. Amendment of subsections (a)(5)-(6), (c) and (d)-(d)(2) refiled 7-8-96 as an emergency; operative 7-12-96 (Register 96, No. 28). A Certificate of Compliance must be transmitted to OAL by 11-12-96 or emergency language will be repealed by operation of law on the following day.
7. Amendment of subsections (a)(5)-(6), (c) and (d)-(d)(2) refiled 10-23-96 as an emergency; operative 10-29-96 (Register 96, No. 43). A Certificate of Compliance must be transmitted to OAL by 2-26-97 or emergency language will be repealed by operation of law on the following day.
8. Amendment of subsections (a)(5)-(6), (c) and (d)-(d)(2) refiled 2-11-97 as an emergency; operative 2-24-97 (Register 97, No. 7). A Certificate of Compliance must be transmitted to OAL by 6-24-97 or emergency language will be repealed by operation of law on the following day.
9. Certificate of Compliance as to 2-11-97 order transmitted to OAL 3-4-97; disapproved by OAL and order of repeal as to 2-11-97 order filed 4-15-97 (Register 97, No. 16).
10. Amendment of subsections (a)(5)-(6), (c) and (d)-(d)(2) filed 4-15-97 as an emergency; operative 4-15-97 (Register 97, No. 16). A Certificate of Compliance must be transmitted to OAL by 8-13-97 or emergency language will be repealed by operation of law on the following day.
11. Certificate of Compliance as to 4-15-97 order transmitted to OAL 6-2-97 and filed 6-13-97 (Register 97, No. 24).
12. Change without regulatory effect amending subsection (a) and Note filed 4-19-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 16).
§10222. Methadone Maintenance Dosage Level for Readmitted Patients. [Renumbered]
Note     •     History

NOTE

Authority cited: Sections 11864 and 11876(a), Health and Safety Code. Reference: Sections 11876(a) and 11880, Health and Safety Code.
HISTORY

1. Change without  regulatory effect  renumbering former  section 10222 to new subsection 10355(e) filed 6-3-91 pursuant to title 1, section 100, California Code of Regulations (Register 91, No. 34).
2. Change without  regulatory effect deleting text and adding History 1 as editorial corrections of printing errors filed 9-24-93 pursuant to title 1, section 100, California Code of Regulations (Register 93, No. 39).
§10224. Decrease of Methadone Detoxification Treatment Dosage. [Renumbered]
Note     •     History

NOTE

Authority cited: Sections 11864 and 11876(a), Health and Safety Code. Reference: Sections 11876(a) and 11880, Health and Safety Code.
HISTORY

1. Change without  regulatory effect  renumbering former  section 10224 to new subsection 10355(b) filed 6-3-91 pursuant to title 1, section 100, California Code of Regulations (Register 91, No. 34).
2. Change without  regulatory effect deleting text and adding History 1 as editorial corrections of printing errors filed 9-24-93 pursuant to title 1, section 100, California Code of Regulations (Register 93, No. 39).
§10225. Resolution of Multiple Registration.
Note     •     History

(a) When a program determines that it is providing replacement narcotic therapy to a patient who is simultaneously receiving this therapy from one or more other programs, all of the involved programs shall immediately:
(1) Confer to determine which program will accept sole responsibility for the patient.
(2) Revoke the patient's take-home medication privileges in accordance with the provisions of Section 10390(b) and (c), and
(3) Notify the Department's Narcotic Treatment Program Licensing Branch by telephone within 72 hours of such determination;
(b) The program which agrees to accept sole responsibility for the patient shall continue to provide replacement narcotic therapy.
(c) Each of the other programs involved shall:
(1) Immediately discharge the patient from the program;
(2) Document in the patient's record why the patient was discharged from the program;
(3) Provide to the new program, within 72 hours of the discharge, written documentation (letter or discharge summary) that it has discharged the patient.
(4) Send written notification of the discharge to the Department within 72 hours of the discharge.
(d) If the Department determines that neither program has accepted sole responsibility for the patient, the Department shall:
(1) Designate one program which shall accept sole responsibility for the patient, and
(2) Order the remaining programs to proceed in accordance with the provisions of Subsections (a)(2) and (c) of this regulation.
NOTE

Authority cited: Sections 11755, 11835, 11839.3 and 11839.20, Health and Safety Code. Reference: Sections 11839.2, 11839.22 and 11875, Health and Safety Code.
HISTORY

1. Change without regulatory effect renumbering and amending parts of former section 10118 to 10225 filed 6-3-91 pursuant to section 100, title 1, California Code of Regulations (Register 91, No. 34).
2. Repealer and new section filed 5-6-93 as an emergency; operative 5-6-93 (Register 93, No. 19).  No Certificate of Compliance is required pursuant to the provisions of section 17, Chapter 709, Statutes of 1992.
3. Editorial correction of printing error in History 2 (Register 93, No. 24).
4. Repealer and new section refiled 11-2-93; operative 11-2-93. Submitted to OAL for printing only pursuant to Government Code section 11343.8 (Register 93, No. 45).
5. Amendment of subsections (a)-(b) and Note filed 3-15-96 as an emergency; operative 3-15-96 (Register 96, No. 11). A Certificate of Compliance must be transmitted to OAL by 7-13-96 or emergency language will be repealed by operation of law on the following day.
6. Amendment of subsections (a)-(b) and Note refiled 7-8-96 as an emergency; operative 7-12-96 (Register 96, No. 28). A Certificate of Compliance must be transmitted to OAL by 11-12-96 or emergency language will be repealed by operation of law on the following day.
7. Amendment of subsections (a)-(b) and Note refiled 10-23-96 as an emergency; operative 10-29-96 (Register 96, No. 43). A Certificate of Compliance must be transmitted to OAL by 2-26-97 or emergency language will be repealed by operation of law on the following day.
8. Amendment of subsections (a)-(b) and Note refiled 2-11-97 as an emergency; operative 2-24-97 (Register 97, No. 7). A Certificate of Compliance must be transmitted to OAL by 6-24-97 or emergency language will be repealed by operation of law on the following day.
9. Certificate of Compliance as to 2-11-97 order transmitted to OAL 3-4-97; disapproved by OAL and order of repeal as to 2-11-97 order filed 4-15-97 (Register 97, No. 16).
10. Amendment of subsections (a)-(b) and Note filed 4-15-97 as an emergency; operative 4-15-97 (Register 97, No. 16). A Certificate of Compliance must be transmitted to OAL by 8-13-97 or emergency language will be repealed by operation of law on the following day.
11. Certificate of Compliance as to 4-15-97 order transmitted to OAL 6-2-97 and filed 6-13-97 (Register 97, No. 24).
12. Change without regulatory effect amending subsection (a)(2) and Note filed 4-19-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 16).
§10230. Intervention by the Department. [Renumbered]
Note     •     History

NOTE

Authority cited: Sections 11755, 11864 and 11876(a), Health and Safety Code. Reference: Section 11822, Health and Safety Code.
HISTORY

1. Change without regulatory effect renumbering and amending parts of former section 10122 to 10230 filed 6-3-91 pursuant to section 100, title 1, California Code of Regulations (Register 91, No. 34).
2. Repealer filed 5-6-93 as an emergency; operative 5-6-93 (Register 93, No. 19).  No Certificate of Compliance is required pursuant to the provisions of section 17, Chapter 709, Statutes of 1992.
3. Editorial correction of printing error in History 2 (Register 93, No. 24).
4. Repealer filed 11-2-93; operative 11-2-93. Submitted to OAL for printing only pursuant to Government Code section 11343.8 (Register 93, No. 45).
§10232. Satisfactory Adherence to Methadone Maintenance Program Requirements. [Renumbered]
Note     •     History

NOTE

Authority cited: Sections 11864 and 11876(a), Health and Safety Code. Reference: Sections 11876(a) and (f) and 11880, Health and Safety Code.
HISTORY

1. Change without  regulatory effect  renumbering former  section 10232 to new section 10360 filed 6-3-91 pursuant to title 1, section 100, California Code of Regulations (Register 91, No. 34).
2. Change without  regulatory effect deleting text and adding History 1 as editorial corrections of printing errors filed 9-24-93 pursuant to title 1, section 100, California Code of Regulations (Register 93, No. 39).
§10234. Schedule for Methadone Maintenance Take-Home Dosages. [Renumbered]
Note     •     History

NOTE

Authority cited: Sections 11864 and 11876(a), Health and Safety Code. Reference: Sections 11876(a) and (f) and 11880, Health and Safety Code.
HISTORY

1. Amendment of subsection (a)(5) filed 11-10-83; effective thirtieth day thereafter (Register 83, No. 46).
2. Change without  regulatory effect  renumbering former  section 10234 to new section 10375 filed 6-3-91 pursuant to title 1, section 100, California Code of Regulations (Register 91, No. 34).
3. Change without  regulatory effect deleting text and adding History 2 as editorial corrections of printing errors filed 9-24-93 pursuant to title 1, section 100, California Code of Regulations (Register 93, No. 39).
Article 2. Patient Identification
§10235. Patient Identification.
Note     •     History

Each program shall describe in its protocol and use a system of patient identification which shall insure that each patient is properly identified and that his/her medication dose is not administered or dispensed to another person.
NOTE

Authority cited: Sections 11755, 11835, 11839.3 and 11839.20, Health and Safety Code. Reference: Sections 11839.2, 11839.22 and 11875, Health and Safety Code.
HISTORY

1. Change without regulatory effect renumbering and amending parts of former section 10100 to 10235 filed 6-3-91 pursuant to section 100, title 1, California Code of Regulations (Register 91, No. 34).
2. Amendment of section and Note filed 3-15-96 as an emergency; operative 3-15-96 (Register 96, No. 11). A Certificate of Compliance must be transmitted to OAL by 7-13-96 or emergency language will be repealed by operation of law on the following day.
3. Amendment of section and Note refiled 7-8-96 as an emergency; operative 7-12-96 (Register 96, No. 28). A Certificate of Compliance must be transmitted to OAL by 11-12-96 or emergency language will be repealed by operation of law on the following day.
4. Amendment of section and Note refiled 10-23-96 as an emergency; operative 10-29-96 (Register 96, No. 43). A Certificate of Compliance must be transmitted to OAL by 2-26-97 or emergency language will be repealed by operation of law on the following day.
5. Amendment of section and Note refiled 2-11-97 as an emergency; operative 2-24-97 (Register 97, No. 7). A Certificate of Compliance must be transmitted to OAL by 6-24-97 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 2-11-97 order transmitted to OAL 3-4-97; disapproved by OAL and order of repeal as to 2-11-97 order filed 4-15-97 (Register 97, No. 16).
7. Amendment of subsections (a)-(b) and Note filed 4-15-97 as an emergency; operative 4-15-97 (Register 97, No. 16). A Certificate of Compliance must be transmitted to OAL by 8-13-97 or emergency language will be repealed by operation of law on the following day.
8. Certificate of Compliance as to 4-15-97 order transmitted to OAL 6-2-97 and filed 6-13-97 (Register 97, No. 24).
9. Change without regulatory effect amending Note filed 4-19-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 16).
§10236. Methadone Maintenance Transferred Patient, Satisfying Step Level Requirements. [Renumbered]
Note     •     History

NOTE

Authority cited: Sections 11864 and 11876(a), Health and Safety Code. Reference: Sections 11876(a) and (f), and 11880, Health and Safety Code.
HISTORY

1. Change without  regulatory effect  renumbering former  section 10236 to new subsection 10375(c) filed 6-3-91 pursuant to title 1, section 100, California Code of Regulations (Register 91, No. 34).
2. Change without  regulatory effect deleting text and adding History 1 as editorial corrections of printing errors filed 9-24-93 pursuant to title 1, section 100, California Code of Regulations (Register 93, No. 39).
§10238. Exceptions to Methadone Maintenance Take-Home Criteria. [Renumbered]
Note     •     History

NOTE

Authority cited: Sections 11864 and 11876(a), Health and Safety Code. Reference: Sections 11876(a) and (f), and 11880, Health and Safety Code.
HISTORY

1. Change without  regulatory effect  renumbering former  section 10238 to new section 10385 filed 6-3-91 pursuant to title 1, section 100, California Code of Regulations (Register 91, No. 34).
2. Change without  regulatory effect deleting text and adding History 1 as editorial corrections of printing errors filed 9-24-93 pursuant to title 1, section 100, California Code of Regulations (Register 93, No. 39).
§10240. Patient Identification Card.
Note     •     History

(a) Each program shall make known to each patient the availability of a completed identification card which shall be supplied by the program.
(b) Identification cards shall be numbered consecutively.
(c) Identification cards shall contain the following items:
(1) The patient's name.
(2) The patient's record number.
(3) The patient's physical description.
(4) The patient's signature.
(5) A full-face photograph of the patient.
(6) The program's name, address, 24-hour phone number, and signature of the program director or designee.
(7) The issuance and expiration dates of the card.
(d) Patients shall not be required to carry the identification card when away from the program premises.
(e) Patients may be required by the program to carry the identification card while on the program's premises.
(f) Each program shall set forth in its protocol the system the program will use to insure:
(1) Accurate documentation of the voluntary use of identification cards.
(2) Recovery of the voluntary identification cards.
(3) That a means of identification is used to assure positive identification of the patient and a correct recording of attendance and/or medication.
NOTE

Authority cited: Sections 11755, 11835, 11839.3 and 11839.20, Health and Safety Code. Reference: Section 11839.22, Health and Safety Code.
HISTORY

1. Change without regulatory effect renumbering and amending parts of former section 10102 to 10240 filed 6-3-91 pursuant to section 100, title 1, California Code of Regulations (Register 91, No. 34).
2. Change without regulatory effect amending Note filed 4-19-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 16).
§10242. Methadone Maintenance Take-Home Procedures. [Renumbered]
Note     •     History

NOTE

Authority cited: Sections 11864 and 11876(a), Health and Safety Code. Reference: Sections 11876(a) and (f), and 11880, Health and Safety Code.
HISTORY

1. Change without  regulatory effect  renumbering former  section 10242 to new section 10365 filed 6-3-91 pursuant to title 1, section 100, California Code of Regulations (Register 91, No. 34).
2. Change without  regulatory effect deleting text and adding History 1 as editorial corrections of printing errors filed 9-24-93 pursuant to title 1, section 100, California Code of Regulations (Register 93, No. 39).
§10244. Revoking a Methadone Maintenance Patient's Take-Home Privileges. [Renumbered]
Note     •     History

NOTE

Authority cited: Sections 11864 and 11876(a), Health and Safety Code. Reference: Sections 11876(a) and (f) and 11880, Health and Safety Code.
HISTORY

1. Change without  regulatory effect  renumbering former  section 10244 to new section 10395 filed 6-3-91 pursuant to title 1, section 100, California Code of Regulations (Register 91, No. 34).
2. Change without  regulatory effect deleting text and adding History 1 as editorial corrections of printing errors filed 9-24-93 pursuant to title 1, section 100, California Code of Regulations (Register 93, No. 39).
§10245. Duties of Program in Issuing Identification Card.
Note     •     History

Each program shall complete all the following steps when issuing an identification card to each patient:
(a) Complete the card by entering the required patient and program information on the card.
(b) Determine that the patient information entered on the card is accurate and consistent with the information in the patient's records.
(c) Require the patient to sign the card under the direct observation of a member of the program staff. The staff member shall compare the signature with at least one other document signed by the patient to determine that the signature is valid. A valid driver's license may be used for this purpose.
(d) Attach to the card a full-face photograph of the patient, which provides sufficient detail for clear identification. A second full-face photograph shall be retained by the program for patient identification purposes.
(e) Laminate the card in clear plastic to prevent alteration.
NOTE

Authority cited: Sections 11755, 11835, 11839.3 and 11839.20, Health and Safety Code. Reference: Section 11839.22, Health and Safety Code.
HISTORY

1. Change without regulatory effect renumbering and amending parts of former section 10104 to 10245 filed 6-3-91 pursuant to section 100, title 1, California Code of Regulations (Register 91, No. 34).
2. Change without regulatory effect amending Note filed 4-19-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 16).
§10246. Restricting a Methadone Maintenance Patient's Take-Home Privileges. [Renumbered]
Note     •     History

NOTE

Authority cited: Sections 11864 and 11876(a), Health and Safety Code. Reference: Sections 11876(a) and (f) and 11880, Health and Safety Code.
HISTORY

1. Change without  regulatory effect  renumbering former  section 10246(a) to new section 10390 and former subsection 10246(b) to new subsection 10395(a) filed 6-3-91 pursuant to title 1, section 100, California Code of Regulations (Register 91, No. 34).
2. Change without  regulatory effect deleting text and adding History 1 as editorial corrections of printing errors filed 9-24-93 pursuant to title 1, section 100, California Code of Regulations (Register 93, No. 39).
§10248. Restoring Revoked or Restricted Methadone Maintenance Take-Home Privileges. [Renumbered]
Note     •     History

NOTE

Authority cited: Sections 11864 and 11876(a), Health and Safety Code. Reference: Sections 11876(a) and (f) and 11880, Health and Safety Code.
HISTORY

1. Change without  regulatory effect  renumbering former  section 10248 to new section 10400 filed 6-3-91 pursuant to title 1, section 100, California Code of Regulations (Register 91, No. 34).
2. Change without  regulatory effect deleting text and adding History 1 as editorial corrections of printing errors filed 9-24-93 pursuant to title 1, section 100, California Code of Regulations (Register 93, No. 39).
§10250. Control and Security of Identification Cards.
Note     •     History

Each program shall set forth in its protocol its system of control and security for the maintenance of its supply of identification card forms. Each program shall make an attempt to reclaim and retain a patient's identification card whenever a patient is discharged from a program or whenever he/she receives a replacement card.
NOTE

Authority cited: Sections 11755, 11835, 11839.3 and 11839.20, Health and Safety Code. Reference: Section 11839.22, Health and Safety Code.
HISTORY

1. Change without regulatory effect renumbering and amending parts of former section 10106 to 10250 filed 6-3-91 pursuant to section 100, title 1, California Code of Regulations (Register 91, No. 34).
2. Change without regulatory effect amending Note filed 4-19-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 16).
Article 3. Medication Handling and Security
§10255. Medications Record Keeping.
Note     •     History

(a) Each program shall maintain accurate records of medications used in replacement narcotic therapy traceable to specific patients, showing dates, quantity, and batch code marks of the medications.
(1) These records shall be maintained by a physician, pharmacist, or health professional authorized to compound, administer or dispense medications used in replacement narcotic therapy.
(2) These records shall be retained for a period of three years.
(b) Each program shall describe in its protocol all of the following information for medications used in replacement narcotic therapy:
(1) The records which will be kept to reconcile on a daily basis, the amount of medications received, on hand, and administered or dispensed to patients.
(2) The names of individuals who will actually compound medications used in replacement narcotic therapy and who administer or dispense the patient medication.
(3) The source or supplier of these medications and the form of medications to be purchased for the program.
(4) The name of the person who will purchase these medications and documentation of the federal authorization to do so.
(5) The name and function of anyone, other than a staff member, who handles these medications.
(6) The method used to transfer of these medications within and between facilities.
(7) Security provisions at every location in which these medications will be stored or diluted, and the names of individuals who have access to keys and safe combinations where these medications are stored.
NOTE

Authority cited: Sections 11755, 11835, 11839.3 and 11839.20, Health and Safety Code. Reference: Sections 11215, 11217, 11839.2, 11839.3 and 11875, Health and Safety Code.
HISTORY

1. Change without regulatory effect renumbering and amending parts of former sections 10258 and 10272 to 10255 filed 6-3-91 pursuant to section 100, title 1, California Code of Regulations (Register 91, No. 34).
2. Amendment of article heading, section heading, section and Note filed 3-15-96 as an emergency; operative 3-15-96 (Register 96, No. 11). A Certificate of Compliance must be transmitted to OAL by 7-13-96 or emergency language will be repealed by operation of law on the following day.
3. Amendment of article 3 heading, section heading, section and Note refiled 7-8-96 as an emergency; operative 7-12-96 (Register 96, No. 28). A Certificate of Compliance must be transmitted to OAL by 11-12-96 or emergency language will be repealed by operation of law on the following day.
4. Amendment of article 3 heading, section heading, section and Note refiled 10-23-96 as an emergency; operative 10-29-96 (Register 96, No. 43). A Certificate of Compliance must be transmitted to OAL by 2-26-97 or emergency language will be repealed by operation of law on the following day.
5. Amendment of article 3 heading, section heading, section and Note refiled 2-11-97 as an emergency; operative 2-24-97 (Register 97, No. 7). A Certificate of Compliance must be transmitted to OAL by 6-24-97 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 2-11-97 order transmitted to OAL 3-4-97; disapproved by OAL and order of repeal as to 2-11-97 order filed 4-15-97 (Register 97, No. 16).
7. Amendment of article heading, section heading, section and Note filed 4-15-97 as an emergency; operative 4-15-97 (Register 97, No. 16). A Certificate of Compliance must be transmitted to OAL by 8-13-97 or emergency language will be repealed by operation of law on the following day.
8. Certificate of Compliance as to 4-15-97 order transmitted to OAL 6-2-97 and filed 6-13-97 (Register 97, No. 24).
9. Change without regulatory effect amending Note filed 4-19-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 16).
§10256. Methadone Preparation, Administering or Furnishing. [Renumbered]
Note     •     History

NOTE

Authority cited: Sections 11864 and 11876(a), Health and Safety Code. Reference: Sections 11215, 11216 and 11876(a), Health and Safety Code.
HISTORY

1. Change without  regulatory effect  renumbering former  section 10256 to new subsection 10260(a) filed 6-3-91 pursuant to title 1, section 100, California Code of Regulations (Register 91, No. 34).
2. Change without  regulatory effect deleting text and adding History 1 as editorial corrections of printing errors filed 9-24-93 pursuant to title 1, section 100, California Code of Regulations (Register 93, No. 39).
§10258. Methadone Record Keeping. [Renumbered]
Note     •     History

NOTE

Authority cited: Sections 11864 and 11876(a), Health and Safety Code. Reference: Sections 11215, 11216 and 11876(a), Health and Safety Code.
HISTORY

1. Change without  regulatory effect  renumbering former  section 10258 to new subsection 10255(a) filed 6-3-91 pursuant to title 1, section 100, California Code of Regulations (Register 91, No. 34).
2. Change without  regulatory effect deleting text and adding History 1 as editorial corrections of printing errors filed 9-24-93 pursuant to title 1, section 100, California Code of Regulations (Register 93, No. 39).
§10260. Administration or Dispensing of Medications.
Note     •     History

(a) The program physician shall be responsible for administering or dispensing to patients all medications used in replacement narcotic therapy.
(b) Under the program physician's direction, appropriately licensed program personnel may administer or dispense these medications to patients as authorized by Section 11215 of the Health and Safety Code.
(c) Each program shall use the following procedures when administering or dispensing medications used for replacement narcotic therapy: or furnishing methadone:
(1) These medications shall be administered or dispensed to patients orally in liquid formulation.
(2) Medication doses ingested at the program facility shall be diluted in a solution which has a volume of not less than two ounces. Take-home medication doses given to patients in maintenance treatment shall be diluted in a solution which has a volume of not less than one ounce.
(3) A program staff member shall observe ingestion of each medication dose administered at the program facility.
(4) Each program shall devise precautions to prevent diversion of these medications.
(5) Methadone shall be available seven days a week.
(6) No patient shall be allowed to access a program's supply of medications, act as an observer in the collection of patient body specimens used for testing or analysis of samples for illicit drug use, or handle these specimens.
NOTE

Authority cited: Sections 11755, 11835, 11839.3 and 11839.20, Health and Safety Code. Reference: Sections 11215, 11839.2 and 11839.3, Health and Safety Code.
HISTORY

1. Change without regulatory effect renumbering and amending parts of former sections 10256 and 10270 to 10260 filed 6-3-91 pursuant to section 100, title 1, California Code of Regulations (Register 91, No. 34).
2. Amendment of section heading, section and Note filed 3-15-96 as an emergency; operative 3-15-96 (Register 96, No. 11). A Certificate of Compliance must be transmitted to OAL by 7-13-96 or emergency language will be repealed by operation of law on the following day.
3. Amendment of section heading, section and Note refiled 7-8-96 as an emergency; operative 7-12-96 (Register 96, No. 28). A Certificate of Compliance must be transmitted to OAL by 11-12-96 or emergency language will be repealed by operation of law on the following day.
4. Amendment of section heading, section and Note refiled 10-23-96 as an emergency; operative 10-29-96 (Register 96, No. 43). A Certificate of Compliance must be transmitted to OAL by 2-26-97 or emergency language will be repealed by operation of law on the following day.
5. Amendment of section heading, section and Note refiled 2-11-97 as an emergency; operative 2-24-97 (Register 97, No. 7). A Certificate of Compliance must be transmitted to OAL by 6-24-97 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 2-11-97 order transmitted to OAL 3-4-97; disapproved by OAL and order of repeal as to 2-11-97 order filed 4-15-97 (Register 97, No. 16).
7. Amendment of section heading, section and Note filed 4-15-97 as an emergency; operative 4-15-97 (Register 97, No. 16). A Certificate of Compliance must be transmitted to OAL by 8-13-97 or emergency language will be repealed by operation of law on the following day.
8. Certificate of Compliance as to 4-15-97 order, including amendment of subsections (b) and (c)(6), transmitted to OAL 6-2-97 and filed 6-13-97 (Register 97, No. 24).
9. Change without regulatory effect amending Note filed 4-19-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 16).
§10265. Security of Medication Stocks.
Note     •     History

(a) Each program shall maintain adequate security over stocks of medications used in replacement narcotic therapy, over the manner in which they are administered or dispensed, over the manner in which they are distributed, and over the manner in which they are stored to guard against theft and diversion.
(b) Programs shall ensure compliance with the security standards for the distribution and storage of controlled substances as set forth in sections 1301.71 through 1301.76, Title 21, Code of Federal Regulations.
NOTE

Authority cited: Sections 11755, 11835, 11839.3 and 11839.20, Health and Safety Code. Reference: Sections 11215, 11835, 11839.2, 11839.3, 11839.20 and 11875, Health and Safety Code; and Sections 1301.71-1301.76, Title 21, Code of Federal Regulations.
HISTORY

1. Change without regulatory effect renumbering and amending parts of former section 10260 to 10265 filed 6-3-91 pursuant to section 100, title 1, California Code of Regulations (Register 91, No. 34).
2. Amendment of section heading, subsection  (a) and Note filed 3-15-96 as an emergency; operative 3-15-96 (Register 96, No. 11). A Certificate of Compliance must be transmitted to OAL by 7-13-96 or emergency language will be repealed by operation of law on the following day.
3. Amendmentof section heading, subsection (a) and Note  refiled 7-8-96 as an emergency; operative 7-12-96 (Register 96, No. 28). A Certificate of Compliance must be transmitted to OAL by 11-12-96 or emergency language will be repealed by operation of law on the following day.
4. Amendment of section heading, subsection (a) and Note refiled 10-23-96 as an emergency; operative 10-29-96 (Register 96, No. 43). A Certificate of Compliance must be transmitted to OAL by 2-26-97 or emergency language will be repealed by operation of law on the following day.
5. Amendment of section heading, subsection (a) and Note refiled 2-11-97 as an emergency; operative 2-24-97 (Register 97, No. 7). A Certificate of Compliance must be transmitted to OAL by 6-24-97 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 2-11-97 order transmitted to OAL 3-4-97; disapproved by OAL and order of repeal as to 2-11-97 order filed 4-15-97 (Register 97, No. 16).
7. Amendment of section heading, subsection (a) and Note filed 4-15-97 as an emergency; operative 4-15-97 (Register 97, No. 16). A Certificate of Compliance must be transmitted to OAL by 8-13-97 or emergency language will be repealed by operation of law on the following day.
8. Certificate of Compliance as to 4-15-97 order transmitted to OAL 6-2-97 and filed 6-13-97 (Register 97, No. 24).
9. Change without regulatory effect amending subsection (b) and Note filed 4-19-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 16).
Subchapter 5. Patient Treatment
Article 1. Patient Selection and Orientation
§10270. Criteria for Patient Selection.
Note     •     History

(a) Before admitting an applicant to detoxification or maintenance treatment, the medical director shall either conduct a medical evaluation or document his or her review and concurrence of a medical evaluation conducted by the physician extender. At a minimum this evaluation shall consist of:
(1) A medical history which includes the applicant's history of illicit drug use;
(2) Laboratory tests for determination of narcotic drug use, tuberculosis, and syphilis (unless the medical director has determined the applicant's subcutaneous veins are severely damaged to the extent that a blood specimen cannot be obtained); and
(3) A physical examination which includes:
(A) An evaluation of the applicant's organ systems for possibility of infectious diseases; pulmonary, liver, or cardiac abnormalities; and dermatologic sequelae of addiction;
(B) A record of the applicant's vital signs (temperature, pulse, blood pressure, and respiratory rate);
(C) An examination of the applicant's head, ears, eyes, nose, throat (thyroid), chest (including heart, lungs, and breasts), abdomen, extremities, skin, and general appearance;
(D) An assessment of the applicant's neurological system; and
(E) A record of an overall impression which identifies any medical condition or health problem for which treatment is warranted.
(b) Before admitting an applicant to either detoxification or maintenance treatment, the medical director shall:
(1) Document the evidence, or review and concur with the physician extender's documentation of evidence, used from the medical evaluation to determine physical dependence (except as specified in paragraphs (d)(5)(A) and (d)(5)(B) of this section) and addiction to opiates; and
(2) Document his or her final determination concerning physical dependence (except as specified in paragraphs (d)(5)(A) and (d)(5)(B) of this section) and addiction to opiates.
(c) Detoxification Treatment.
The program shall determine which applicants with an addiction to opiates are accepted as patients for detoxification treatment subject to the following minimum criteria which shall be documented in the patient records:
(1) Certification of fitness for replacement narcotic therapy by a physician.
(2) Determination by a program physician that the patient is currently physically dependent on opiates. Evidence of current physical dependence shall include:
(A) Observed signs of physical dependence, which shall be clearly and specifically noted in the patient's record.
(B) Results of an initial test or analysis for illicit drug use shall be used to aid in determining current physical dependence, and shall be noted in the patient's record. Results of the initial test or analysis may be obtained after commencement of detoxification treatment.
(3) Patients under the age of 18 years shall have the written consent of their parent(s) or guardian prior to the administration of the first medication dose.
(4) At least seven days shall have elapsed since termination of the immediately preceding episode of detoxification treatment. A program may not knowingly admit a patient who does not satisfy this requirement.
(5) The patient's signed statement that at least seven days have elapsed since termination of the immediately preceding episode of detoxification treatment may, if reliable, be acceptable evidence of compliance with the requirements of subsection (c)(4) above.
(6) The applicant is not in the last trimester of pregnancy.
(d) Maintenance Treatment.
The program shall determine which applicants with an addiction to opiates are accepted as patients for maintenance treatment subject to the following minimum criteria which shall be entered in the patient records:
(1) Confirmed documented history of at least two years of addiction to opiates. The method to be used to make confirmations shall be stated in the protocol. The program shall maintain in the patient record documents, such as records of arrest or treatment failures, which are used to confirm two years of addiction to opiates. Statements of personal friends or family shall not be sufficient to establish a history of addiction. With prior Department approval, the program may make an exception to this requirement only if the program physician determines, based on his or her medical training and expertise, that withholding treatment constitutes a life- or health-endangering situation. The program physician shall document the reason for this determination in the patient record.
(2) Confirmed history of two or more unsuccessful attempts in withdrawal treatment with subsequent relapse to illicit opiate use. The methods used to make confirmations and the types of documentation to be maintained in the patient's record shall be stated in the protocol. At least seven days shall have elapsed since completion of the immediately preceding episode of withdrawal treatment if it is to be used to satisfy this subsection.
(3) A minimum age of 18 years.
(4) Certification by a physician of fitness for replacement narcotic therapy based upon physical examination, medical history, and indicated laboratory findings. Plans for correction of existing medical problems should be indicated.
(5) Evidence of observed signs of physical dependence.
(A) An applicant who has resided in a penal or chronic care institution for one month or longer may be admitted to maintenance treatment within one month of release without documented evidence to support findings of physical dependence, provided the person would have been eligible for admission before he or she was incarcerated or institutionalized and, in the clinical judgment of the medical director or program physician, treatment is medically justified.
(B) Previously treated patients who voluntarily detoxified from maintenance treatment may be admitted to maintenance treatment without documentation of current physical dependence within six months after discharge, if the program is able to document prior maintenance treatment of six months or more and, in the clinical judgment of the medical director or program physician, treatment is medically justified. Patients admitted pursuant to this subsection may, at the discretion of the medical director or program physician, be granted the same take-home step level they were on at the time of discharge.
(6) Pregnant patients who are currently physically dependent on opiates and have had a documented history of addition to opiates in the past may be admitted to maintenance treatment without documentation of a two-year addiction history or two prior treatment failures, provided the medical director or program physician, in his or her clinical judgment, finds treatment to be medically justified.
(e) Pregnant patients admitted pursuant to (d)(6) immediately above shall be reevaluated by the program physician not later than 60 days following termination of the pregnancy in order to determine whether continued maintenance treatment is appropriate.
(f) All information used in patient selections shall be documented in the patients' records.
(g) The protocol for each program shall set forth all procedures and criteria used to satisfy the requirements of this section.
NOTE

Authority cited: Sections 11755, 11835, 11839.3 and 11839.20, Health and Safety Code. Reference: Sections 11835, 11839.2, 11839.3, 11839.20 and 11875, Health and Safety Code.
HISTORY

1. Change without regulatory effect renumbering and amending parts of former section 10176 to 10270 filed 6-3-91 pursuant to section 100, title 1, California Code of Regulations (Register 91, No. 34). 
2. Amendment of section and Note filed 3-15-96 as an emergency; operative 3-15-96 (Register 96, No. 11). A Certificate of Compliance must be transmitted to OAL by 7-13-96 or emergency language will be repealed by operation of law on the following day.
3. Amendment of section and Note refiled 7-8-96 as an emergency; operative 7-12-96 (Register 96, No. 28). A Certificate of Compliance must be transmitted to OAL by 11-12-96 or emergency language will be repealed by operation of law on the following day.
4. Amendment of section and Note refiled 10-23-96 as an emergency; operative 10-29-96 (Register 96, No. 43). A Certificate of Compliance must be transmitted to OAL by 2-26-97 or emergency language will be repealed by operation of law on the following day.
5. Amendment of section and Note refiled 2-11-97 as an emergency; operative 2-24-97 (Register 97, No. 7). A Certificate of Compliance must be transmitted to OAL by 6-24-97 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 2-11-97 order transmitted to OAL 3-4-97; disapproved by OAL and order of repeal as to 2-11-97 order filed 4-15-97 (Register 97, No. 16).
7. Amendment of section and Note filed 4-15-97 as an emergency; operative 4-15-97 (Register 97, No. 16). A Certificate of Compliance must be transmitted to OAL by 8-13-97 or emergency language will be repealed by operation of law on the following day.
8. Certificate of Compliance as to 4-15-97 order, including amendment of subsections (a)(4) and (b)(5)(A)-(b)(6), transmitted to OAL 6-2-97 and filed 6-13-97 (Register 97, No. 24).
9. New subsections (a)-(b)(2), subsection relettering, amendment of newly designated subsections (c)(5) and (e) and amendment of Note filed 6-23-97 as an emergency; operative 7-1-97 (Register 97, No. 26). Pursuant to Health and Safety Code section 11758.42, a Certificate of Compliance must be transmitted to OAL by 12-28-97 or emergency language will be repealed by operation of law on the following day.
10. Editorial correction of subsections (c), (c)(4), (d), (d)(1) and (d)(5)(B) and History 9 (Register 98, No. 1).
11. Reinstatement of section as it existed prior to 6-23-97 emergency amendment by operation of Government Code section 11346.1(f) (Register 98, No. 1).
12. New subsections (a)-(b)(2), subsection relettering, amendment of newly designated subsections (c)(5) and (e) and amendment of Note filed 12-31-97 as an emergency; operative 12-31-97 (Register 98, No. 1). A Certificate of Compliance must be transmitted to OAL by 4-30-98 or emergency language will be repealed by operation of law on the following day.
13. New subsections (a)-(b)(2), subsection relettering, amendment of newly designated subsections (c)(5) and (e) and amendment of Note refiled 4-27-98 as an emergency; operative 4-30-98 (Register 98, No. 18). A Certificate of Compliance must be transmitted to OAL by 8-28-98 or emergency language will be repealed by operation of law on the following day.
14. Certificate of Compliance as to 4-27-98 order transmitted to OAL 6-1-98 and filed 6-29-98 (Register 98, No. 27).
15. Change without regulatory effect amending Note filed 4-19-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 16).
§10272. Operational Procedures to Be Set Forth in Protocol. [Renumbered]
Note     •     History

NOTE

Authority cited: Sections 11864 and 11876(a), Health and Safety Code. Reference: Sections 11215, 11216, 11217 and 11876(a), Health and Safety Code.
HISTORY

1. Change without  regulatory effect  renumbering former  section 10272 to new subsection 10255(b) filed 6-3-91 pursuant to title 1, section 100, California Code of Regulations (Register 91, No. 34).
2. Change without  regulatory effect deleting text and adding History 1 as editorial corrections of printing errors filed 9-24-93 pursuant to title 1, section 100, California Code of Regulations (Register 93, No. 39).
§10274. Procedures in the Event of Methadone Maintenance Patient Incarceration or Hospitalization. [Renumbered]
Note     •     History

NOTE

Authority cited: Sections 11864 and 11876(a), Health and Safety Code. Reference: Sections 11215, 11216, 11222, 11876(a) and 11880, Health and Safety Code.
HISTORY

1. Change without  regulatory effect  renumbering former  subsection 10274(a) to new subsection 10030(a)(31) and former subsections 10274(b)-(c) to new subsection 10190(b) filed 6-3-91 pursuant to title 1, section 100, California Code of Regulations (Register 91, No. 34).
2. Change without  regulatory effect deleting text and adding History 1 as editorial corrections of printing errors filed 9-24-93 pursuant to title 1, section 100, California Code of Regulations (Register 93, No. 39).
§10275. Maintenance Treatment for Pregnant Patients. [Renumbered]
Note     •     History

NOTE

Authority cited: Sections 11755, 11864 and 11876(a), Health and Safety Code. Reference: Section 11876(a), Health and Safety Code.
HISTORY

1. Change without regulatory effect renumbering and amending parts of former section 10178 to 10275 filed 6-3-91 pursuant to section 100, title 1, California Code of Regulations (Register 91, No. 34).
2. Amendment of section heading and section filed  3-15-96 as an emergency; operative 3-15-96 (Register 96, No. 11). A Certificate of Compliance must be transmitted to OAL by 7-13-96 or emergency language will be repealed by operation of law on the following day.
3. Amendment of section heading and section refiled 7-8-96 as an emergency; operative 7-12-96 (Register 96, No. 28). A Certificate of Compliance must be transmitted to OAL by 11-12-96 or emergency language will be repealed by operation of law on the following day.
4. Amendment of section heading and section refiled 10-23-96 as an emergency; operative 10-29-96 (Register 96, No. 43). A Certificate of Compliance must be transmitted to OAL by 2-26-97 or emergency language will be repealed by operation of law on the following day.
5. Amendment of section heading and section refiled 2-11-97 as an emergency; operative 2-24-97 (Register 97, No. 7). A Certificate of Compliance must be transmitted to OAL by 6-24-97 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 2-11-97 order transmitted to OAL 3-4-97; disapproved by OAL and order of repeal as to 2-11-97 order filed 4-15-97 (Register 97, No. 16).
7. Amendment of section heading and section filed 4-15-97 as an emergency; operative 4-15-97 (Register 97, No. 16). A Certificate of Compliance must be transmitted to OAL by 8-13-97 or emergency language will be repealed by operation of law on the following day.
8. Certificate of Compliance as to 4-15-97 order, including amendment of subsection (e)(5), transmitted to OAL 6-2-97 and filed 6-13-97 (Register 97, No. 24).
9. Repealer filed 6-23-97 as an emergency; operative 7-1-97 (Register 97, No. 26). Pursuant to Health and Safety Code section 11758.42, a Certificate of Compliance must be transmitted to OAL by 12-28-97 or emergency language will be repealed by operation of law on the following day.
10. Editorial correction of History 9 (Register 98, No. 1).
11. Reinstatement of section as it existed prior to 6-23-97 emergency repeal by operation of Government Code section 11346.1(f) (Register 98, No. 1).
12. Repealer filed 12-31-97 as an emergency; operative 12-31-97 (Register 98, No. 1). A Certificate of Compliance must be transmitted to OAL by 4-30-98 or emergency language will be repealed by operation of law on the following day.
13. Repealer refiled 4-27-98 as an emergency; operative 4-30-98 (Register 98, No. 18). A Certificate of Compliance must be transmitted to OAL by 8-28-98 or emergency language will be repealed by operation of law on the following day.
14. Certificate of Compliance as to 4-27-98 order transmitted to OAL 6-1-98 and filed 6-29-98 (Register 98, No. 27).
§10276. Procedures in the Event of Methadone Detoxification Patient Incarceration or Hospitalization. [Renumbered]
Note     •     History

NOTE

Authority cited: Sections 11864 and 11876(a), Health and Safety Code. Reference: Sections 11215, 11216, 11876(a) and 11880, Health and Safety Code.
HISTORY

1. Change without  regulatory effect  renumbering former  subsection 10276(a) to new subsection 10190(a) and former subsection 10276(b) to new section 10185 filed 6-3-91 pursuant to title 1, section 100, California Code of Regulations (Register 91, No. 34).
2. Change without  regulatory effect deleting text and adding History 1 as editorial corrections of printing errors filed 9-24-93 pursuant to title 1, section 100, California Code of Regulations (Register 93, No. 39).
§10278. Procedures in the Event of Emergency or Disaster. [Renumbered]
Note     •     History

NOTE

Authority cited: Sections 11864 and 11876(a), Health and Safety Code. Reference: Sections 11876(a) and 11880, Health and Safety Code.
HISTORY

1. Change without  regulatory effect  renumbering former  section 10278 to new section 10180 filed 6-3-91 pursuant to title 1, section 100, California Code of Regulations (Register 91, No. 34).
2. Change without  regulatory effect deleting text and adding History 1 as editorial corrections of printing errors filed 9-24-93 pursuant to title 1, section 100, California Code of Regulations (Register 93, No. 39).
§10280. Patient Orientation.
Note     •     History

(a) Programs shall advise patients of the nature and purpose of treatment which shall include but shall not be limited to the following information.
(1) The addicting nature of medications used in replacement narcotic therapy.
(2) The hazards and risks involved in replacement narcotic therapy.
(3) The patient's responsibility to the program.
(4) The program's responsibility to the patient.
(5) The patient's participation in the program is wholly voluntary and the patient may terminate his/her participation in the program at any time without penalty.
(6) The patient will be tested for evidence of use of opiates and other illicit drugs.
(7) The patient's medically determined dosage level may be adjusted without the patient's knowledge, and at some later point the patient's dose may contain no medications used in replacement narcotic therapy.
(8) Take-home medication which may be dispensed to the patient is only for the patient's personal use.
(9) Misuse of medications will result in specified penalties within the program and may also result in criminal prosecution.
(10) The patient has a right to a humane procedure of withdrawal from medications used in replacement narcotic therapy and a procedure for gradual withdrawal is available.
(11) Possible adverse effects of abrupt withdrawal from medications used in replacement narcotic therapy.
(12) Protection under the confidentiality requirements.
(b) Provisions for patient acknowledgement of orientation shall be made in the patient records.
NOTE

Authority cited: Sections 11755, 11835, 11839.3 and 11839.20, Health and Safety Code. Reference: Sections 11217, 11839.2, 11839.3, 11839.20, 11839.22 and 11875, Health and Safety Code.
HISTORY

1. Change without regulatory effect renumbering and amending parts of former section 10182 to 10280 filed 6-3-91 pursuant to section 100, title 1, California Code of Regulations (Register 91, No. 34).
2. Amendment of section and Note filed 3-15-96 as an emergency; operative 3-15-96 (Register 96, No. 11). A Certificate of Compliance must be transmitted to OAL by 7-13-96 or emergency language will be repealed by operation of law on the following day.
3. Amendment of section and Note refiled 7-8-96 as an emergency; operative 7-12-96 (Register 96, No. 28). A Certificate of Compliance must be transmitted to OAL by 11-12-96 or emergency language will be repealed by operation of law on the following day.
4. Amendment of section and Note refiled 10-23-96 as an emergency; operative 10-29-96 (Register 96, No. 43). A Certificate of Compliance must be transmitted to OAL by 2-26-97 or emergency language will be repealed by operation of law on the following day.
5. Amendment of section and Note refiled 2-11-97 as an emergency; operative 2-24-97 (Register 97, No. 7). A Certificate of Compliance must be transmitted to OAL by 6-24-97 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 2-11-97 order transmitted to OAL 3-4-97; disapproved by OAL and order of repeal as to 2-11-97 order filed 4-15-97 (Register 97, No. 16).
7. Amendment of section and Note filed 4-15-97 as an emergency; operative 4-15-97 (Register 97, No. 16). A Certificate of Compliance must be transmitted to OAL by 8-13-97 or emergency language will be repealed by operation of law on the following day.
8. Certificate of Compliance as to 4-15-97 order transmitted to OAL 6-2-97 and filed 6-13-97 (Register 97, No. 24).
9. Change without regulatory effect amending subsection (a)(7) and Note filed 4-19-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 16).
§10284. Body Fluid Testing by Approved Laboratories. [Renumbered]
Note     •     History

NOTE

Authority cited: Section 11864 and 11876(a), Health and Safety Code. Reference: Sections 11876(a), 11880 and 11881, Health and Safety Code.
HISTORY

1. Change without  regulatory effect  renumbering former  section 10284 to new section 10320 filed 6-3-91 pursuant to title 1, section 100, California Code of Regulations (Register 91, No. 34).
2. Change without  regulatory effect deleting text and adding History 1 as editorial corrections of printing errors filed 9-24-93 pursuant to title 1, section 100, California Code of Regulations (Register 93, No. 39).
§10285. Patient Orientation for Female Patients of Childbearing Age.
Note     •     History

(a) Each program shall provide the following orientation to female patients of childbearing age:
(1) Knowledge of the effects of medications used in replacement narcotic therapy on pregnant women and their unborn children is presently inadequate to guarantee that these medications may not produce significant or serious side effects.
(2) These medications are transmitted to the unborn child and may cause physical dependence.
(3) Abrupt withdrawal from these medications may adversely affect the unborn child.
(4) The use of other medications or illicit drugs in addition to medications used in replacement narcotic therapy may harm the patient and/or unborn child.
(5) The patient should consult with a physician before nursing.
(6) The child may show irritability or other ill effects from the patient's use of  these medications for a brief period following birth.
(b) Provisions for patient acknowledgement of orientation shall be a part of the patient records.
NOTE

Authority cited: Sections 11755, 11835, 11839.3 and 11839.20, Health and Safety Code. Reference: Sections 11839.2, 11839.3, 11839.20 and 11875, Health and Safety Code.
HISTORY

1. Change without regulatory effect renumbering and amending parts of former section 10184 to 10285 filed 6-3-91 pursuant to section 100, title 1, California Code of Regulations (Register 91, No. 34).
2. Amendment of section and Note filed 3-15-96 as an emergency; operative 3-15-96 (Register 96, No. 11). A Certificate of Compliance must be transmitted to OAL by 7-13-96 or emergency language will be repealed by operation of law on the following day.
3. Amendment of section and Note refiled 7-8-96 as an emergency; operative 7-12-96 (Register 96, No. 28). A Certificate of Compliance must be transmitted to OAL by 11-12-96 or emergency language will be repealed by operation of law on the following day.
4. Amendment of section and Note refiled 10-23-96 as an emergency; operative 10-29-96 (Register 96, No. 43). A Certificate of Compliance must be transmitted to OAL by 2-26-97 or emergency language will be repealed by operation of law on the following day.
5. Amendment of section and Note refiled 2-11-97 as an emergency; operative 2-24-97 (Register 97, No. 7). A Certificate of Compliance must be transmitted to OAL by 6-24-97 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 2-11-97 order transmitted to OAL 3-4-97; disapproved by OAL and order of repeal as to 2-11-97 order filed 4-15-97 (Register 97, No. 16).
7. Amendment of section and Note filed 4-15-97 as an emergency; operative 4-15-97 (Register 97, No. 16). A Certificate of Compliance must be transmitted to OAL by 8-13-97 or emergency language will be repealed by operation of law on the following day.
8. Certificate of Compliance as to 4-15-97 order transmitted to OAL 6-2-97 and filed 6-13-97 (Register 97, No. 24).
9. Change without regulatory effect amending Note filed 4-19-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 16).
§10286. Procedures for Urinalysis. [Renumbered]
Note     •     History

NOTE

Authority cited: Sections 11864 and 11876(a), Health and Safety Code. Reference: Sections 11876(a), 11880 and 11881, Health and Safety Code.
HISTORY

1. Change without  regulatory effect  renumbering former  section 10286 to new section 10310 filed 6-3-91 pursuant to title 1, section 100, California Code of Regulations (Register 91, No. 34).
2. Change without  regulatory effect deleting text and adding History 1 as editorial corrections of printing errors filed 9-24-93 pursuant to title 1, section 100, California Code of Regulations (Register 93, No. 39).
§10288. Urinalysis, Substances Tested for. [Renumbered]
Note     •     History

NOTE

Authority cited: Sections 11864 and 11876(a), Health and Safety Code. Reference: Sections 11876(a), 11880 and 11881, Health and Safety Code.
HISTORY

1. Change without  regulatory effect  renumbering former  section 10288 to new section 10315 filed 6-3-91 pursuant to title 1, section 100, California Code of Regulations (Register 91, No. 34).
2. Change without  regulatory effect deleting text and adding History 1 as editorial corrections of printing errors filed 9-24-93 pursuant to title 1, section 100, California Code of Regulations (Register 93, No. 39).
§10290. Patient Consent Form.
Note     •     History

(a) Each patient shall attest to voluntary participation in a program by providing written documentation of his/her informed consent.
(b) The program shall ensure that the patient reads and understands the consent form, explain program rules, and supply the patient with copies of the consent form and program rules.
(c) If a patient is admitted to a new treatment episode after a previous episode of treatment was terminated by the program physician and the discharge was noted in the patient's record, the program shall reissue rules and instructions to the patient and require that the patient resign the consent form.
NOTE

Authority cited: Sections 11755, 11835, 11839.3 and 11839.20, Health and Safety Code. Reference: Sections 11839.3 and 11839.20, Health and Safety Code.
HISTORY

1. Change without regulatory effect renumbering and amending parts of former section 10186 to 10290 filed 6-3-91 pursuant to section 100, title 1, California Code of Regulations (Register 91, No. 34).
2. Amendment of subsections (a) and (c) filed 3-15-96 as an emergency; operative 3-15-96 (Register 96, No. 11). A Certificate of Compliance must be transmitted to OAL by 7-13-96 or emergency language will be repealed by operation of law on the following day.
3. Amendment of subsections (a) and (c) refiled 7-8-96 as an emergency; operative 7-12-96 (Register 96, No. 28). A Certificate of Compliance must be transmitted to OAL by 11-12-96 or emergency language will be repealed by operation of law on the following day.
4. Amendment of subsections (a) and (c) refiled 10-23-96 as an emergency; operative 10-29-96 (Register 96, No. 43). A Certificate of Compliance must be transmitted to OAL by 2-26-97 or emergency language will be repealed by operation of law on the following day.
5. Amendment of subsections (a) and (c) refiled 2-11-97 as an emergency; operative 2-24-97 (Register 97, No. 7). A Certificate of Compliance must be transmitted to OAL by 6-24-97 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 2-11-97 order transmitted to OAL 3-4-97; disapproved by OAL and order of repeal as to 2-11-97 order filed 4-15-97 (Register 97, No. 16).
7. Amendment of subsections (a) and (c) filed 4-15-97 as an emergency; operative 4-15-97 (Register 97, No. 16). A Certificate of Compliance must be transmitted to OAL by 8-13-97 or emergency language will be repealed by operation of law on the following day.
8. Certificate of Compliance as to 4-15-97 order, including amendment of subsections (a) and (c), transmitted to OAL 6-2-97 and filed 6-13-97 (Register 97, No. 24).
9. Change without regulatory effect amending subsection (a) and Note filed 4-19-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 16).
§10292. Urinalysis Records. [Renumbered]
Note     •     History

NOTE

Authority cited: Sections 11864 and 11876(a), Health and Safety Code. Reference: Section 11876(a), 11880 and 11881, Health and Safety Code.
HISTORY

1. Change without  regulatory effect  renumbering former  section 10292 to new section 10330 filed 6-3-91 pursuant to title 1, section 100, California Code of Regulations (Register 91, No. 34).
2. Change without  regulatory effect deleting text and adding History 1 as editorial corrections of printing errors filed 9-24-93 pursuant to title 1, section 100, California Code of Regulations (Register 93, No. 39).
§10294. Urinalysis, Staff Training. [Renumbered]
Note     •     History

NOTE

Authority cited: Sections 11864 and 11876(a), Health and Safety Code. Reference: Sections 11876(a), 11880 and 11881, Health and Safety Code.
HISTORY

1. Change without  regulatory effect  renumbering former  section 10294 to new section 10140 filed 6-3-91 pursuant to title 1, section 100, California Code of Regulations (Register 91, No. 34).
2. Change without  regulatory effect deleting text and adding History 1 as editorial corrections of printing errors filed 9-24-93 pursuant to title 1, section 100, California Code of Regulations (Register 93, No. 39).
Article 2. Patient Attendance and Absence
§10295. Patient Attendance Requirements.
Note     •     History

A patient shall report to the same program to which he or she was admitted unless prior approval is obtained from the patient's medical director or program physician to receive services on a temporary basis from another narcotic treatment program. The approval shall be noted in the patient's record and shall include the following documentation:
(a) The patient's signed and dated consent for disclosing identifying information to the program which will provide services on a temporary basis;
(b) A medication change order by the referring medical director or program physician permitting the patient to receive services on a temporary basis from the other program for a length of time not to exceed 30 days; and
(c) Evidence that the medical director or program physician for the program contacted to provide services on a temporary basis has accepted responsibility to treat the visiting patient, concurs with his or her dosage schedule, and supervises the administration of the medication, subject to Section 10210(d).
NOTE

Authority cited: Sections 11755, 11835, 11839.3 and 11839.20, Health and Safety Code. Reference: Sections 11839.3 and 11839.20, Health and Safety Code.
HISTORY

1. Change without regulatory effect renumbering and amending parts of former section 10188 to 10295 filed 6-3-91 pursuant to section 100, title 1, California Code of Regulations (Register 91, No. 34).
2. Amendment of article 2 heading, repealer of subsection (a) and subsection (b) designator and amendment of former subsection (b) filed 3-15-96 as an emergency; operative 3-15-96 (Register 96, No. 11). A Certificate of Compliance must be transmitted to OAL by 7-13-96 or emergency language will be repealed by operation of law on the following day.
3. Amendment of article 2 heading, repealer of subsection (a) and subsection (b) designator and amendment of former subsection (b)  refiled 7-8-96 as an emergency; operative 7-12-96 (Register 96, No. 28). A Certificate of Compliance must be transmitted to OAL by 11-12-96 or emergency language will be repealed by operation of law on the following day.
4. Amendment of article 2 heading, repealer of subsection (a) and subsection (b) designator and amendment of former subsection (b) refiled 10-23-96 as an emergency; operative 10-29-96 (Register 96, No. 43). A Certificate of Compliance must be transmitted to OAL by 2-26-97 or emergency language will be repealed by operation of law on the following day.
5. Amendment of article 2 heading, repealer of subsection (a) and subsection (b) designator and amendment of former subsection (b) refiled 2-11-97 as an emergency; operative 2-24-97 (Register 97, No. 7). A Certificate of Compliance must be transmitted to OAL by 6-24-97 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 2-11-97 order transmitted to OAL 3-4-97; disapproved by OAL and order of repeal as to 2-11-97 order filed 4-15-97 (Register 97, No. 16).
7. Amendment of article 2 heading, repealer of subsection (a) and subsection (b) designator and amendment of former subsection (b) filed 4-15-97 as an emergency; operative 4-15-97 (Register 97, No. 16). A Certificate of Compliance must be transmitted to OAL by 8-13-97 or emergency language will be repealed by operation of law on the following day.
8. Certificate of Compliance as to 4-15-97 order, including amendment, transmitted to OAL 6-2-97 and filed 6-13-97 (Register 97, No. 24).
9. Change without regulatory effect amending Note filed 4-19-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 16).
§10296. Urinalysis Reliability. [Renumbered]
Note     •     History

NOTE

Authority cited: Sections 11864 and 11876(a), Health and Safety Code. Reference: Sections 11876(a), 11880 and 11881, Health and Safety Code.
HISTORY

1. Change without  regulatory effect  renumbering former  section 10296 to new section 10325 filed 6-3-91 pursuant to title 1, section 100, California Code of Regulations (Register 91, No. 34).
2. Change without  regulatory effect deleting text and adding History 1 as editorial corrections of printing errors filed 9-24-93 pursuant to title 1, section 100, California Code of Regulations (Register 93, No. 39).
§10300. Patient Absence.
Note     •     History

(a) Patient in Detoxification Treatment
(1) If a patient in detoxification treatment misses appointments for three consecutive days or more without notifying the program, the patient's episode of treatment may be terminated by the medical director or program physician and the discharge shall be noted in the record.
(2) A patient in detoxification treatment that is discharged pursuant to Subsection (a)(1) of this regulation may be continued in treatment by the program physician if medically indicated, based upon establishment of a legitimate reason for absence. The reasons for continuation of treatment shall be documented in the patient's record.
(b) Patient in Maintenance Treatment.
(1) If a patient in maintenance treatment misses appointments for two weeks or more without notifying the program, the patient's episode of treatment shall be terminated by the medical director or program physician and the discharge shall be noted in the patient's record.
(2) If the discharged patient returns for care and is accepted into the program, the patient shall be readmitted as a new patient and documentation for the new readmission shall be noted in the patient's record.
NOTE

Authority cited: Sections 11755, 11835, 11839.3 and 11839.20, Health and Safety Code. Reference: Sections 11839.3 and 11839.20, Health and Safety Code.
HISTORY

1. Change without regulatory effect renumbering and amending parts of former sections 10190 and 10192 to 10300 filed 6-3-91 pursuant to section 100, title 1, California Code of Regulations (Register 91, No. 34).
2. Amendment filed 3-15-96 as an emergency; operative 3-15-96 (Register 96, No. 11). A Certificate of Compliance must be transmitted to OAL by 7-13-96 or emergency language will be repealed by operation of law on the following day. 
3. Amendment refiled 7-8-96 as an emergency; operative 7-12-96 (Register 96, No. 28). A Certificate of Compliance must be transmitted to OAL by 11-12-96 or emergency language will be repealed by operation of law on the following day.
4. Amendment refiled 10-23-96 as an emergency; operative 10-29-96 (Register 96, No. 43). A Certificate of Compliance must be transmitted to OAL by 2-26-97 or emergency language will be repealed by operation of law on the following day.
5. Amendment refiled 2-11-97 as an emergency; operative 2-24-97 (Register 97, No. 7). A Certificate of Compliance must be transmitted to OAL by 6-24-97 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 2-11-97 order transmitted to OAL 3-4-97; disapproved by OAL and order of repeal as to 2-11-97 order filed 4-15-97 (Register 97, No. 16).
7. Amendment filed 4-15-97 as an emergency; operative 4-15-97 (Register 97, No. 16). A Certificate of Compliance must be transmitted to OAL by 8-13-97 or emergency language will be repealed by operation of law on the following day.
8. Certificate of Compliance as to 4-15-97 order, including amendment, transmitted to OAL 6-2-97 and filed 6-13-97 (Register 97, No. 24).
9. Change without regulatory effect amending Note filed 4-19-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 16).
Article 3. Treatment Services
§10305. Patient Treatment Plans.
Note     •     History

(a) The primary counselor shall enter in the patient's record his or her name and the date the patient was assigned to the counselor.
(b) Detoxification Treatment Plan Requirements.
Programs shall develop an individualized treatment plan for each patient which shall include:
(1) Provisions to assist the patient to understand illicit drug addictions and how to deal with them.
(2) Provisions for furnishing services to the patient as needed when the period of detoxification treatment is completed.
(3) The treatment services required and a description of the role they play in achieving the stated goals.
(4) The type and frequency of scheduled counseling services.
(c) Maintenance Treatment Plan Requirements.
Programs shall develop an individualized treatment plan for each patient.
(d) Prior to developing a patient's initial maintenance treatment plan, as required in paragraph (e) of this section, the primary counselor shall complete and document in the patient's record a needs assessment for the patient which shall include:
(1) A summary of the patient's psychological and sociological background, including his or her educational and vocational experience.
(2) An assessment of the patient's needs for:
(A) Health care as recorded within the overall impression portion of the physical examination;
(B) Employment;
(C) Education;
(D) Psychosocial, vocational rehabilitation, economic, and legal services.
(e) Within 28 calendar days after initiation of maintenance treatment the primary counselor shall develop the patient's initial maintenance treatment plan which shall include:
(1) Goals to be achieved by the patient based on the needs identified in paragraph (d) of this section and with estimated target dates for attainment in accordance with the following:
(A) Short-term goals are those which are estimated to require ninety (90) days or less for the patient to achieve; and
(B) Long-term goals are those which are estimated to require a specified time exceeding ninety (90) days for the patient to achieve.
(2) Specific behavioral tasks the patient must accomplish to complete each short-term and long-term goal.
(3) A description of the type and frequency of counseling services to be provided to the patient as required in Section 10345.
(4) An effective date based on the day the primary counselor signed the initial treatment plan.
(f) The primary counselor shall evaluate and update the patient's maintenance treatment plan whenever necessary or at least once every three months from the date of admission. This updated treatment plan shall include:
(1) A summary of the patient's progress or lack of progress toward each goal identified on the previous treatment plan.
(2) New goals and behavioral tasks for any newly identified needs, and related changes in the type and frequency of counseling services as required in Section 10345.
(3) An effective date based on the day the primary counselor signed the updated treatment plan.
(g) The supervising counselor shall review the initial maintenance treatment plan, along with the corresponding needs assessment, and all updated maintenance treatment plans within fourteen (14) calendar days from the effective dates and shall countersign these documents to signify concurrence with the findings.
(h) The medical director shall review the initial maintenance treatment plan, along with the corresponding needs assessment, and all updated maintenance treatment plans within fourteen (14) calendar days from the effective dates and shall record the following:
(1) Countersignature to signify concurrence with the findings; and
(2) Amendments to the plan where medically deemed appropriate.
NOTE

Authority cited: Sections 11755, 11835, 11839.3 and 11839.20, Health and Safety Code. Reference: Sections 11839.3 and 11839.20, Health and Safety Code.
HISTORY

1. Change without regulatory effect renumbering and amending parts of former sections 10072 and 10074 to 10305 filed 6-3-91 pursuant to section 100, title 1, California Code of Regulations (Register 91, No. 34).
2. Change without  regulatory effect  correcting printing  errors redesignating subsections filed 9-24-93 pursuant to title 1, section 100, California Code of Regulations (Register 93, No. 39).
3. Amendment of article 3 heading and section filed 3-15-96 as an emergency; operative 3-15-96 (Register 96, No. 11). A Certificate of Compliance must be transmitted to OAL by 7-13-96 or emergency language will be repealed by operation of law on the following day.
4. Amendment of article 3 heading and section refiled 7-8-96 as an emergency; operative 7-12-96 (Register 96, No. 28). A Certificate of Compliance must be transmitted to OAL by 11-12-96 or emergency language will be repealed by operation of law on the following day.
5. Amendment of article 3 heading and section refiled 10-23-96 as an emergency; operative 10-29-96 (Register 96, No. 43). A Certificate of Compliance must be transmitted to OAL by 2-26-97 or emergency language will be repealed by operation of law on the following day.
6. Amendment of article 3 heading and section refiled 2-11-97 as an emergency; operative 2-24-97 (Register 97, No. 7). A Certificate of Compliance must be transmitted to OAL by 6-24-97 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 2-11-97 order transmitted to OAL 3-4-97; disapproved by OAL and order of repeal as to 2-11-97 order filed 4-15-97 (Register 97, No. 16).
8. Amendment of article 3 heading and Note filed 4-15-97 as an emergency; operative 4-15-97 (Register 97, No. 16). A Certificate of Compliance must be transmitted to OAL by 8-13-97 or emergency language will be repealed by operation of law on the following day.
9. Certificate of Compliance as to 4-15-97 order transmitted to OAL 6-2-97 and filed 6-13-97 (Register 97, No. 24).
10. Amendment of section and Note filed 6-23-97 as an emergency; operative 7-1-97 (Register 97, No. 26). Pursuant to Health and Safety Code section 11758.42, a Certificate of Compliance must be transmitted to OAL by 12-28-97 or emergency language will be repealed by operation of law on the following day.
11. Editorial correction of History 10 (Register 98, No. 1).
12. Reinstatement of section as it existed prior to 6-23-97 emergency amendment by operation of Government Code section 11346.1(f) (Register 98, No. 1).
13. Amendment of section and Note filed 12-31-97 as an emergency; operative 12-31-97 (Register 98, No. 1). A Certificate of Compliance must be transmitted to OAL by 4-30-98 or emergency language will be repealed by operation of law on the following day.
14. Amendment of section and Note refiled 4-27-98 as an emergency; operative 4-30-98 (Register 98, No. 18). A Certificate of Compliance must be transmitted to OAL by 8-28-98 or emergency language will be repealed by operation of law on the following day.
15. Certificate of Compliance as to 4-27-98 order, including amendment of subsections (e)(1)(A)-(B), repealer of subsections (e)(1)(C), (e)(4), (f)(2) , (f)(4) and (h)(2), subsection renumbering, and amendment of newly designated subsections (e)(4) and (f)(3), transmitted to OAL 6-1-98 and filed 6-29-98 (Register 98, No. 27).
16. Change without regulatory effect amending subsection (e)(3) and Note filed 4-19-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 16).
§10310. Procedures for Collection of Patient Body Specimens.
Note     •     History

(a) Each program shall set forth in its protocol a plan for collection of patient body specimens for testing or analysis of samples for illicit drug use that describes the procedures to be used for:
(1) Assuring the reliability of its body patient specimen collection procedure.
(2) Storage of body patient specimens in a secure place to avoid substitution.
(3) The substances for which samples of patient body specimens are to be analyzed pursuant to section 10315.
(4) Usage of test or analysis results in patient evaluation and treatment.
(b) Each program shall ensure that patient body specimens are collected in sufficient quantity to permit retesting or analysis of samples, if necessary.
(c) Each program shall describe in its protocol the method to be used to validate collection of patient body specimens and sample testing or analysis procedures.
(d) Each program providing maintenance treatment shall describe in its protocol a plan for collection of patient body specimens which incorporates the elements of randomness and surprise and/or requires daily collection.
(e) A test or analysis for illicit drug use shall be performed at least monthly for every patient in maintenance treatment.
(f) In programs providing detoxification treatment, a test or analysis for illicit drug use shall be performed at the time of admission and any other time deemed necessary by the attending physician.
NOTE

Authority cited: Sections 11755, 11835, 11839.3 and 11839.20, Health and Safety Code. Reference: Sections 11839.3 and 11839.20, Health and Safety Code.
HISTORY

1. Change without regulatory effect renumbering and amending parts of former section 10286 to 10310 filed 6-3-91 pursuant to section 100, title 1, California Code of Regulations (Register 91, No. 34).
2. Amendment of section heading and section filed 3-15-96 as an emergency; operative 3-15-96 (Register 96, No. 11). A Certificate of Compliance must be transmitted to OAL by 7-13-96 or emergency language will be repealed by operation of law on the following day.
3. Amendment of section heading and section refiled 7-8-96 as an emergency; operative 7-12-96 (Register 96, No. 28). A Certificate of Compliance must be transmitted to OAL by 11-12-96 or emergency language will be repealed by operation of law on the following day.
4. Amendment of section heading and section refiled 10-23-96 as an emergency; operative 10-29-96 (Register 96, No. 43). A Certificate of Compliance must be transmitted to OAL by 2-26-97 or emergency language will be repealed by operation of law on the following day.
5. Amendment of section heading and section refiled 2-11-97 as an emergency; operative 2-24-97 (Register 97, No. 7). A Certificate of Compliance must be transmitted to OAL by 6-24-97 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 2-11-97 order transmitted to OAL 3-4-97; disapproved by OAL and order of repeal as to 2-11-97 order filed 4-15-97 (Register 97, No. 16).
7. Amendment of section heading and section filed 4-15-97 as an emergency; operative 4-15-97 (Register 97, No. 16). A Certificate of Compliance must be transmitted to OAL by 8-13-97 or emergency language will be repealed by operation of law on the following day.
8. Certificate of Compliance as to 4-15-97 order, including amendment of subsections (a), (a)(3), (b), (c) and (e), transmitted to OAL 6-2-97 and filed 6-13-97 (Register 97, No. 24).
9. Change without regulatory effect amending Note filed 4-19-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 16).
§10314. Procedures for Patient Records. [Renumbered]
Note     •     History

NOTE

Authority cited: Sections 11864 and 11876(a), Health and Safety Code. Reference: Sections 11876(a), (b), and (c) and 11880, Health and Safety Code.
HISTORY

1. Change without  regulatory effect  renumbering former  section 10314 to new section 10160 filed 6-3-91 pursuant to title 1, section 100, California Code of Regulations (Register 91, No. 34).
2. Change without  regulatory effect deleting text and adding History 2 as editorial corrections of printing errors filed 9-24-93 pursuant to title 1, section 100, California Code of Regulations (Register 93, No. 39).
§10315. Substances To Be Tested or Analyzed for in Samples Collected from Patient Body Specimens.
Note     •     History

(a) Programs shall have samples collected from each patient body specimen tested or analyzed for evidence of the following substances in a patient's system:
(1) Methadone and its primary metabolite.
(2) Opiates.
(3) Cocaine.
(4) Amphetamines.
(5) Barbiturates.
(b) Programs may have samples collected from each patient body specimen tested or analyzed for evidence of other illicit drugs if those drugs are commonly used in the area served by program.
NOTE

Authority cited: Sections 11755, 11835, 11839.3 and 11839.20, Health and Safety Code. Reference: Sections 11839.2, 11839.3, 11839.20 and 11875, Health and Safety Code.
HISTORY

1. Change without regulatory effect renumbering and amending parts of former section 10288 to 10315 filed 6-3-91 pursuant to section 100, title 1, California Code of Regulations (Register 91, No. 34).
2. Amendment of section heading, section and Note filed 3-15-96 as an emergency; operative 3-15-96 (Register 96, No. 11). A Certificate of Compliance must be transmitted to OAL by 7-13-96 or emergency language will be repealed by operation of law on the following day.
3. Amendment of section heading, section and Note refiled 7-8-96 as an emergency; operative 7-12-96 (Register 96, No. 28). A Certificate of Compliance must be transmitted to OAL by 11-12-96 or emergency language will be repealed by operation of law on the following day.
4. Amendment of section heading, section and Note refiled 10-23-96 as an emergency; operative 10-29-96 (Register 96, No. 43). A Certificate of Compliance must be transmitted to OAL by 2-26-97 or emergency language will be repealed by operation of law on the following day.
5. Amendment of section heading, section and Note refiled 2-11-97 as an emergency; operative 2-24-97 (Register 97, No. 7). A Certificate of Compliance must be transmitted to OAL by 6-24-97 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 2-11-97 order transmitted to OAL 3-4-97; disapproved by OAL and order of repeal as to 2-11-97 order filed 4-15-97 (Register 97, No. 16).
7. Amendment of section heading, section and Note filed 4-15-97 as an emergency; operative 4-15-97 (Register 97, No. 16). A Certificate of Compliance must be transmitted to OAL by 8-13-97 or emergency language will be repealed by operation of law on the following day.
8. Certificate of Compliance as to 4-15-97 order, including amendment of section heading and subsections (a), (a)(1) and (b), transmitted to OAL 6-2-97 and filed 6-13-97 (Register 97, No. 24).
9. Change without regulatory effect amending Note filed 4-19-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 16).
§10316. Contents of Program Patient Records. [Renumbered]
Note     •     History

NOTE

Authority cited: Sections 11864 and 11876(a), Health and Safety Code. Reference: Sections 11876(a), (b), and (c) and 11880, Health and Safety Code.
HISTORY

1. Change without  regulatory effect  renumbering former  section 10316 to new subsection 10165(a) filed 6-3-91 pursuant to title 1, section 100, California Code of Regulations (Register 91, No. 34).
2. Change without  regulatory effect deleting text and adding History 1 as editorial corrections of printing errors filed 9-24-93 pursuant to title 1, section 100, California Code of Regulations (Register 93, No. 39).
§10318. Additional Requirements for Contents of Methadone Maintenance Patient Records. [Renumbered]
Note     •     History

NOTE

Authority cited: Sections 11864 and 11876(a), Health and Safety Code. Reference: Sections 11876(a), (b), and (c) and 11880, Health and Safety Code.
HISTORY

1. Change without  regulatory effect  renumbering former  section 10318 to new subsection 10165(c) filed 6-3-91 pursuant to title 1, section 100, California Code of Regulations (Register 91, No. 34).
2. Change without  regulatory effect deleting text and adding History 1 as editorial corrections of printing errors filed 9-24-93 pursuant to title 1, section 100, California Code of Regulations (Register 93, No. 39).
§10320. Use of Approved and Licensed Laboratories for Testing or Analyzing Samples Collected from Patient Body Specimens.
Note     •     History

Programs shall utilize the services of a laboratory that is licensed and certified by the State Department of Health Services as a Methadone Drug Analysis Laboratory, pursuant to the provisions of group 5.5 (commencing with section 1160), subchapter 1, chapter 2, division 1, title 17, of the California Code of Regulations, and is currently included on the list of licensed and certified laboratories which is available from:

FOOD AND DRUG LABORATORY BRANCH
DIVISION OF FOOD, DRUG, AND RADIATION SAFETY
DEPARTMENT OF HEALTH SERVICES
850 MARINA BAY PARKWAY, G-365
RICHMOND, CA 94804
NOTE

Authority cited: Sections 11755, 11835, 11839.3 and 11839.20, Health and Safety Code. Reference: Sections 11839.3, 11839.20 and 11839.21, Health and Safety Code.
HISTORY

1. Change without regulatory effect renumbering and amending parts of former section 10284 to 10320 filed 6-3-91 pursuant to section 100, title 1, California Code of Regulations (Register 91, No. 34).
2. Amendment of section heading and section filed 3-15-96 as an emergency; operative 3-15-96 (Register 96, No. 11). A Certificate of Compliance must be transmitted to OAL by 7-13-96 or emergency language will be repealed by operation of law on the following day.
3. Amendment of section heading and section refiled 7-8-96 as an emergency; operative 7-12-96 (Register 96, No. 28). A Certificate of Compliance must be transmitted to OAL by 11-12-96 or emergency language will be repealed by operation of law on the following day.
4. Amendment of section heading and section refiled 10-23-96 as an emergency; operative 10-29-96 (Register 96, No. 43). A Certificate of Compliance must be transmitted to OAL by 2-26-97 or emergency language will be repealed by operation of law on the following day.
5. Amendment of section heading and section refiled 2-11-97 as an emergency; operative 2-24-97 (Register 97, No. 7). A Certificate of Compliance must be transmitted to OAL by 6-24-97 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 2-11-97 order transmitted to OAL 3-4-97; disapproved by OAL and order of repeal as to 2-11-97 order filed 4-15-97 (Register 97, No. 16).
7. Amendment of section heading and section filed 4-15-97 as an emergency; operative 4-15-97 (Register 97, No. 16). A Certificate of Compliance must be transmitted to OAL by 8-13-97 or emergency language will be repealed by operation of law on the following day.
8. Certificate of Compliance as to 4-15-97 order, including amendment of section heading and section, transmitted to OAL 6-2-97 and filed 6-13-97 (Register 97, No. 24).
9. Change without regulatory effect amending section and Note filed 4-19-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 16).
§10322. Confidentiality Requirement. [Renumbered]
Note     •     History

NOTE

Authority cite: Sections 11864 and 11876(a), Health and Safety Code. Reference: Sections 11876(a) and 11879, Health and Safety Code.
HISTORY

1. Change without  regulatory effect  renumbering former  section 10322 to new section 10155 filed 6-3-91 pursuant to title 1, section 100, California Code of Regulations (Register 91, No. 34).
2. Change without  regulatory effect deleting text and adding History 1 as editorial corrections of printing errors filed 9-24-93 pursuant to title 1, section 100, California Code of Regulations (Register 93, No. 39).
§10325. Reliability of Tests or Analyses for Illicit Drug Use.
Note     •     History

Each program shall participate in and maintain records pursuant to a quality control program, prescribed by the State Department of Health Services pursuant to section 1192, title 17, California Code of Regulations, to examine the reliability of test or analyses for illicit drug use and their results.
NOTE

Authority cited: Sections 11755, 11835, 11839.3 and 11839.20, Health and Safety Code. Reference: Sections 11839.3, 11839.20 and 11839.21, Health and Safety Code.
HISTORY

1. Change without regulatory effect renumbering and amending parts of former section 10296 to 10325 filed 6-3-91 pursuant to section 100, title 1, California Code of Regulations (Register 91, No. 34).
2. Amendment of section heading and section filed 3-15-96 as an emergency; operative 3-15-96 (Register 96, No. 11). A Certificate of Compliance must be transmitted to OAL by 7-13-96 or emergency language will be repealed by operation of law on the following day.
3. Amendment of section heading and section refiled 7-8-96 as an emergency; operative 7-12-96 (Register 96, No. 28). A Certificate of Compliance must be transmitted to OAL by 11-12-96 or emergency language will be repealed by operation of law on the following day.
4. Amendment of section heading and section refiled 10-23-96 as an emergency; operative 10-29-96 (Register 96, No. 43). A Certificate of Compliance must be transmitted to OAL by 2-26-97 or emergency language will be repealed by operation of law on the following day.
5. Amendment of section heading and section refiled 2-11-97 as an emergency; operative 2-24-97 (Register 97, No. 7). A Certificate of Compliance must be transmitted to OAL by 6-24-97 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 2-11-97 order transmitted to OAL 3-4-97; disapproved by OAL and order of repeal as to 2-11-97 order filed 4-15-97 (Register 97, No. 16).
7. Amendment of section heading and section filed 4-15-97 as an emergency; operative 4-15-97 (Register 97, No. 16). A Certificate of Compliance must be transmitted to OAL by 8-13-97 or emergency language will be repealed by operation of law on the following day.
8. Certificate of Compliance as to 4-15-97 order transmitted to OAL 6-2-97 and filed 6-13-97 (Register 97, No. 24).
9. Change without regulatory effect amending section and Note filed 4-19-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 16).
§10328. Scheduled Termination of Methadone Maintenance. [Renumbered]
Note     •     History

NOTE

Authority cited: Sections 11864 and 11876(a), Health and Safety Code. Reference: Sections 11876(a) and 11880, Health and Safety Code.
HISTORY

1. Change without  regulatory effect  renumbering former  section 10328 to new section 10410 filed 6-3-91 pursuant to title 1, section 100, California Code of Regulations (Register 91, No. 34).
2. Change without  regulatory effect deleting text and adding History 1 as editorial corrections of printing errors filed 9-24-93 pursuant to title 1, section 100, California Code of Regulations (Register 93, No. 39).
§10330. Test or Analysis Records for Illicit Drug Use.
Note     •     History

(a) Each program shall maintain test or analysis records for illicit drug use which contain the following information for each patient:
(1) The date the patient body specimen was collected;
(2) The test or analysis results; and
(3) The date the program received the results of the test or analysis.
NOTE

Authority cited: Sections 11755, 11835, 11839.3 and 11839.20, Health and Safety Code. Reference: Sections 11839.3, 11839.20 and 11839.21, Health and Safety Code.
HISTORY

1. Change without regulatory effect renumbering and amending parts of former section 10292 to 10330 filed 6-3-91 pursuant to section 100, title 1, California Code of Regulations (Register 91, No. 34).
2. Amendment of section heading and section filed 3-15-96 as an emergency; operative 3-15-96 (Register 96, No. 11). A Certificate of Compliance must be transmitted to OAL by 7-13-96 or emergency language will be repealed by operation of law on the following day.
3. Amendment of section heading and section refiled 7-8-96 as an emergency; operative 7-12-96 (Register 96, No. 28). A Certificate of Compliance must be transmitted to OAL by 11-12-96 or emergency language will be repealed by operation of law on the following day.
4. Amendment of section heading and section refiled 10-23-96 as an emergency; operative 10-29-96 (Register 96, No. 43). A Certificate of Compliance must be transmitted to OAL by 2-26-97 or emergency language will be repealed by operation of law on the following day.
5. Amendment of section heading and section refiled 2-11-97 as an emergency; operative 2-24-97 (Register 97, No. 7). A Certificate of Compliance must be transmitted to OAL by 6-24-97 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 2-11-97 order transmitted to OAL 3-4-97; disapproved by OAL and order of repeal as to 2-11-97 order filed 4-15-97 (Register 97, No. 16).
7. Amendment of section heading and section filed 4-15-97 as an emergency; operative 4-15-97 (Register 97, No. 16). A Certificate of Compliance must be transmitted to OAL by 8-13-97 or emergency language will be repealed by operation of law on the following day.
8. Certificate of Compliance as to 4-15-97 order, including amendment, transmitted to OAL 6-2-97 and filed 6-13-97 (Register 97, No. 24).
9. Change without regulatory effect amending Note filed 4-19-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 16).
§10332. Methadone Maintenance Fair Hearings. [Renumbered]
Note     •     History

NOTE

Authority cited: Sections 11864 and 11876(a), Health and Safety Code. Reference: Section 11876(a), Health and Safety Code.
HISTORY

1. Change without  regulatory effect  renumbering former  section 10332 to new section 10420 filed 6-3-91 pursuant to title 1, section 100, California Code of Regulations (Register 91, No. 34).
2. Change without  regulatory effect deleting text and adding History 1 as editorial corrections of printing errors filed 9-24-93 pursuant to title 1, section 100, California Code of Regulations (Register 93, No. 39).
§10335. Failure of Patients to Provide a Body Specimen.
Note     •     History

When a patient fails to provide a body specimen when required, the program shall proceed as though the patient's sample from his or her body specimen disclosed the presence of an illicit drug(s). Such failures shall be noted in the patient's records.
NOTE

Authority cited: Sections 11755, 11835, 11839.3 and 11839.20, Health and Safety Code. Reference: Sections 11839.3, 11839.20 and 11839.21, Health and Safety Code.
HISTORY

1. Change without regulatory effect renumbering and amending parts of former section 10290 to 10335 filed 6-3-91 pursuant to section 100, title 1, California Code of Regulations (Register 91, No. 34).
2. Amendment of section heading and section filed 3-15-96 as an emergency; operative 3-15-96 (Register 96, No. 11). A Certificate of Compliance must be transmitted to OAL by 7-13-96 or emergency language will be repealed by operation of law on the following day.
3. Amendment of section heading and section refiled 7-8-96 as an emergency; operative 7-12-96 (Register 96, No. 28). A Certificate of Compliance must be transmitted to OAL by 11-12-96 or emergency language will be repealed by operation of law on the following day.
4. Amendment of section heading and section refiled 10-23-96 as an emergency; operative 10-29-96 (Register 96, No. 43). A Certificate of Compliance must be transmitted to OAL by 2-26-97 or emergency language will be repealed by operation of law on the following day.
5. Amendment of section heading and section refiled 2-11-97 as an emergency; operative 2-24-97 (Register 97, No. 7). A Certificate of Compliance must be transmitted to OAL by 6-24-97 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 2-11-97 order transmitted to OAL 3-4-97; disapproved by OAL and order of repeal as to 2-11-97 order filed 4-15-97 (Register 97, No. 16).
7. Amendment of section heading and section filed 4-15-97 as an emergency; operative 4-15-97 (Register 97, No. 16). A Certificate of Compliance must be transmitted to OAL by 8-13-97 or emergency language will be repealed by operation of law on the following day.
8. Certificate of Compliance as to 4-15-97 order, including amendment, transmitted to OAL 6-2-97 and filed 6-13-97 (Register 97, No. 24).
9. Change without regulatory effect amending Note filed 4-19-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 16).
§10340. Medical Care.
Note     •     History

(a) If a program is not physically located in a hospital that has agreed to provide any needed care for opiate addiction-related problems for the program's patients, the program sponsor shall enter into an agreement with a hospital official to provide general medical care for both inpatients and outpatients who may require such care.
(b) Neither the program sponsor nor the hospital shall be required to assume financial responsibility for the patient's medical care.
NOTE

Authority cited: Sections 11755, 11835, 11839.3 and 11839.20, Health and Safety Code. Reference: Section 11839.3, Health and Safety Code.
HISTORY

1. Change without regulatory effect renumbering and amending parts of former section 10012 to 10340 filed 6-3-91 pursuant to section 100, title 1, California Code of Regulations (Register 91, No. 34).
2. Amendment of subsection (a) and Note filed 3-15-96 as an emergency; operative 3-15-96 (Register 96, No. 11). A Certificate of Compliance must be transmitted to OAL by 7-13-96 or emergency language will be repealed by operation of law on the following day.
3. Amendment of subsection (a) and Note refiled 7-8-96 as an emergency; operative 7-12-96 (Register 96, No. 28). A Certificate of Compliance must be transmitted to OAL by 11-12-96 or emergency language will be repealed by operation of law on the following day.
4. Amendment of subsection (a) and Note refiled 10-23-96 as an emergency; operative 10-29-96 (Register 96, No. 43). A Certificate of Compliance must be transmitted to OAL by 2-26-97 or emergency language will be repealed by operation of law on the following day.
5. Amendment of subsection (a) and Note refiled 2-11-97 as an emergency; operative 2-24-97 (Register 97, No. 7). A Certificate of Compliance must be transmitted to OAL by 6-24-97 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 2-11-97 order transmitted to OAL 3-4-97; disapproved by OAL and order of repeal as to 2-11-97 order filed 4-15-97 (Register 97, No. 16).
7. Amendment of subsection (a) and Note filed 4-15-97 as an emergency; operative 4-15-97 (Register 97, No. 16). A Certificate of Compliance must be transmitted to OAL by 8-13-97 or emergency language will be repealed by operation of law on the following day.
8. Certificate of Compliance as to 4-15-97 order transmitted to OAL 6-2-97 and filed 6-13-97 (Register 97, No. 24).
9. Change without regulatory effect amending Note filed 4-19-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 16).
§10345. Counseling Services in Maintenance Treatment.
Note     •     History

(a) Upon completion of the initial treatment plan, the primary counselor shall arrange for the patient to receive at the licensed program a minimum of 50 (fifty) minutes of counseling services per calendar month, except as allowed in paragraph (e)(4) of this section, and shall be in accordance with the following:
(b) A counseling session shall qualify for the requirement in Subsection (a) of this regulation if:
(1) The program staff member conducting the session meets minimum counselor qualifications, as specified in Section 10125.
(2) The session is conducted in a private setting in accordance with all applicable federal and state regulations regarding confidentiality.
(3) The format of the counseling session shall be one of the following:
(A) Individual session, with face-to-face discussion with the patient, on a one-on-one basis, on issues identified in the patient's treatment plan.
(B) Group session, with a minimum of four patients and no more than ten patients and having a clear goal and/or purpose that is a common issue identified in the treatment plans of all participating patients.
(C) Medical psychotherapy session, with face-to-face discussion conducted by the medical director on a one-on-one basis with the patient, on issues identified in the patient's treatment plan.
(c) The following shall not qualify as a counseling session for the requirement in Subsection (a) of this regulation:
(1) Interactions conducted with program staff in conjunction with dosage administration.
(2) Self-help meetings, including the 12-step programs of Narcotics Anonymous, Methadone Anonymous, Cocaine Anonymous, and Alcoholics Anonymous.
(3) Educational sessions, including patient orientation sessions specified in Sections 10280 and 10285.
(4) Administrative intervention regarding payment of fees.
(d) The counselor conducting the counseling session shall document in the patient's record within 14 (fourteen) calendar days of the session the following information:
(1) Date of the counseling session;
(2) Type of counseling format (i.e., individual, group, or medical psychotherapy);
(3) The duration of the counseling session in ten-minute intervals, excluding the time required to document the session as required in Subsection (d)(4) of this regulation; and
(4) Summary of the session, including one or more of the following:
(A) Patient's progress towards one or more goals in the patient's treatment plan.
(B) Response to a drug-screening specimen which is positive for illicit drugs or is negative for the replacement narcotic therapy medication dispensed by the program.
(C) New issue or problem that affects the patient's treatment.
(D) Nature of prenatal support provided by the program or other appropriate health care provider.
(E) Goal and/or purpose of the group session, the subjects discussed, and a brief summary of the patient's participation.
(e) The medical director may adjust or waive at any time after admission, by medical order, the minimum number of minutes of counseling services per calendar month as specified in paragraph (a) of this section. The medical director shall document the rationale for the medical order to adjust or waive counseling services in the patient's treatment plan as specified in Section 10305(h).
NOTE

Authority cited: Sections 11755, 11835, 11839.3 and 11839.20, Health and Safety Code. Reference: Sections 11758.42, 11839.3 and 11839.20, Health and Safety Code.
HISTORY

1. Change without regulatory effect renumbering and amending parts of former section 10070 to 10345 filed 6-3-91 pursuant to section 100, title 1, California Code of Regulations (Register 91, No. 34).
2. Amendment filed 3-15-96 as an emergency; operative 3-15-96 (Register 96, No. 11). A Certificate of Compliance must be transmitted to OAL by 7-13-96 or emergency language will be repealed by operation of law on the following day.
3. Amendment refiled 7-8-96 as an emergency; operative 7-12-96 (Register 96, No. 28). A Certificate of Compliance must be transmitted to OAL by 11-12-96 or emergency language will be repealed by operation of law on the following day.
4. Amendment refiled 10-23-96 as an emergency; operative 10-29-96 (Register 96, No. 43). A Certificate of Compliance must be transmitted to OAL by 2-26-97 or emergency language will be repealed by operation of law on the following day.
5. Amendment refiled 2-11-97 as an emergency; operative 2-24-97 (Register 97, No. 7). A Certificate of Compliance must be transmitted to OAL by 6-24-97 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 2-11-97 order transmitted to OAL 3-4-97; disapproved by OAL and order of repeal as to 2-11-97 order filed 4-15-97 (Register 97, No. 16).
7. Amendment filed 4-15-97 as an emergency; operative 4-15-97 (Register 97, No. 16). A Certificate of Compliance must be transmitted to OAL by 8-13-97 or emergency language will be repealed by operation of law on the following day.
8. Certificate of Compliance as to 4-15-97 order transmitted to OAL 6-2-97 and filed 6-13-97 (Register 97, No. 24).
9. Amendment of section heading, repealer and new section, and amendment of Note filed 6-23-97 as an emergency; operative 7-1-97 (Register 97, No. 26). Pursuant to Health and Safety Code section 11758.42, a Certificate of Compliance must be transmitted to OAL by 12-28-97 or emergency language will be repealed by operation of law on the following day.
10. Editorial correction of History 9 (Register 98, No. 1).
11. Reinstatement of section as it existed prior to 6-23-97 emergency amendment by operation of Government Code section 11346.1(f) (Register 98, No. 1).
12. Amendment of section heading, repealer and new section, and amendment of Note filed 12-31-97 as an emergency; operative 12-31-97 (Register 98, No. 1). A Certificate of Compliance must be transmitted to OAL by 4-30-98 or emergency language will be repealed by operation of law on the following day.
13. Amendment of section heading, repealer and new section, and amendment of Note refiled 4-27-98 as an emergency, including further amendment of subsection (d)(3); operative 4-30-98 (Register 98, No. 18). A Certificate of Compliance must be transmitted to OAL by 8-28-98 or emergency language will be repealed by operation of law on the following day.
14. Certificate of Compliance as to 4-27-98 order, including amendment of subsections (a) and (e), transmitted to OAL 6-1-98 and filed 6-29-98 (Register 98, No. 27).
15. Change without regulatory effect amending subsection (c)(2) and Note filed 4-19-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 16).
§10350. Administration of Initial Doses of Medication to New Patients.
Note     •     History

(a) The program physician shall administer or supervise the initial dosage of a medication used in replacement narcotic therapy.
(b) The new patient shall be observed to ingest the initial dose and shall continue to be observed for a period of time prescribed by the medical director or program physician.
(c) If the requirement contained in Subsection (b) of this regulation are delegated to a staff member as authorized by Section 11215 of the Health and Safety Code to administer or dispense medications, that staff member shall notify the medical director or program physician immediately of any adverse effects, and document in the patient's record the length of time he/she observed the new patient and the outcome of the observation.
(d) The initial dosage shall be sufficient to control symptoms of withdrawal but shall not be so great as to cause sedation, respiratory depression, or other effects of acute intoxication.
(e) Programs shall specify in their protocols details of planned initial doses.
(f) If a program admits a patient who was receiving replacement narcotic therapy from another program the previous day, the initial dosage level requirement provided in Section 10355 and the observation requirement contained in Subsections (b) and (c) of this regulation do not apply.
NOTE

Authority cited: Sections 11755, 11835, 11839.3 and 11839.20, Health and Safety Code. Reference: Sections 11839.2, 11839.3, 11839.20 and 11875, Health and Safety Code.
HISTORY

1. Change without regulatory effect renumbering and amending parts of former section 10218 to 10350 filed 6-3-91 pursuant to section 100, title 1, California Code of Regulations (Register 91, No. 34).
2. Amendment of section heading, section and Note filed 3-15-96 as an emergency; operative 3-15-96 (Register 96, No. 11). A Certificate of Compliance must be transmitted to OAL by 7-13-96 or emergency language will be repealed by operation of law on the following day.
3. Amendment of section heading, section and Note refiled 7-8-96 as an emergency; operative 7-12-96 (Register 96, No. 28). A Certificate of Compliance must be transmitted to OAL by 11-12-96 or emergency language will be repealed by operation of law on the following day.
4. Amendment of section heading, section and Note refiled 10-23-96 as an emergency; operative 10-29-96 (Register 96, No. 43). A Certificate of Compliance must be transmitted to OAL by 2-26-97 or emergency language will be repealed by operation of law on the following day.
5. Amendment of section heading, section and Note refiled 2-11-97 as an emergency; operative 2-24-97 (Register 97, No. 7). A Certificate of Compliance must be transmitted to OAL by 6-24-97 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 2-11-97 order transmitted to OAL 3-4-97; disapproved by OAL and order of repeal as to 2-11-97 order filed 4-15-97 (Register 97, No. 16).
7. Amendment of section heading, section and Note filed 4-15-97 as an emergency; operative 4-15-97 (Register 97, No. 16). A Certificate of Compliance must be transmitted to OAL by 8-13-97 or emergency language will be repealed by operation of law on the following day.
8. Certificate of Compliance as to 4-15-97 order transmitted to OAL 6-2-97 and filed 6-13-97 (Register 97, No. 24).
9. Change without regulatory effect amending Note filed 4-19-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 16).
§10355. Medication Dosage Levels.
Note     •     History

(a) Detoxification Dosage Levels.
(1) The medical director or program physician shall individually determine each patient's medication schedule based on the following criteria:
(A) Medications shall be administered daily under observation; 
(B) Dosage levels shall not exceed that which is necessary to suppress withdrawal symptoms; and
(C) Schedules shall include initial, stabilizing, and reducing dosage amounts for a period of not more than 21 days.
(2) The medical director or program physician shall record, date, and sign in the patient's record each change in the dosage schedule with reasons for such deviations.
(b) Detoxification Dosage Levels Specific to Methadone
(1) The first-day dose of methadone shall not exceed 30 milligrams unless:
(A) The dose is divided and the initial portion of the dose is not above 30 milligrams; and
(B) The subsequent portion is administered to the patient separately after the observation period prescribed by the medical director or program physician.
(2)  The total dose of methadone for the first day shall not exceed 40 milligrams unless the medical director or program physician determines that 40 milligrams is not sufficient to suppress the patient's opiate abstinence symptoms, and documents in the patient's record the basis for his/her determination.
(c) Maintenance Dosage Levels.
(1) Each program furnishing maintenance treatment shall set forth in its protocol the medical director or program physician's procedures for medically determining a stable dosage level that:
(A) Minimizes sedation.
(B) Decreases withdrawal symptoms.
(C) Reduces the potential for diversion of take-home medication.
(2) Deviations from these planned procedures shall be noted by the medical director or program physician with reason for such deviations, in the patient's record.
(3) The medical director or program physician shall review the most recent approved product labeling for up-to-date information on important treatment parameters for each medication. Deviation from doses, frequencies, and conditions of usage described in the approved labeling shall be justified in the patient's record.
(4) The medical director or program physician shall review each patient's dosage level at least every three months.
(d) Maintenance Dosage Levels Specific to Methadone.
(1) The medical director or program physician shall ensure that the first-day dose of methadone shall not exceed 30 milligrams unless:
(A) The dose is divided and the initial portion of the dose is not above 30 milligrams; and
(B) The subsequent portion is administered to the patient separately after the observation period prescribed by the medical director or program physician.
(2) The total dose of methadone for the first day shall not exceed 40 milligrams unless the medical director or program physician determines that 40 milligrams is not sufficient to suppress the patient's opiate abstinence symptoms, and documents in the patient's record the basis for his/her determination.
(3) A daily dose above 100 milligrams shall be justified by the medical director or program physician in the patient's record.
(e) Maintenance Dosage Levels Specific to LAAM.
(1) The medical director or program physician shall ensure that the initial dose of LAAM to a new patient whose tolerance for the drug is unknown does not exceed 40 milligrams, unless:
(A) The dose is divided, with the initial portion of the dose not above 40 milligrams and the subsequent portion administered to the patient separately after the observation period prescribed by the medical director or program physician; or
(B) The patient's tolerance for the medication is known by the medical director or program physician and he/she documents in the patient's record the basis for this determination.
(2) The medical director or program physician shall ensure that the initial dose of LAAM to a patient stabilized on replacement narcotic therapy and administered methadone on the previous day is less than or equal to 1.3 times the patient's daily methadone dose, not to exceed 120 milligrams.
(3) After a patient's tolerance to LAAM is established, LAAM shall be administered to more frequently than every other day.
(4) A dose above 140 milligrams shall be justified by the medical director or program physician in the patient's record.
(f) Dosage Schedule Following Patient Absence.
After a patient has missed three (3) or more consecutive doses of replacement narcotic therapy, the medical director or program physician shall provide a new medication order before continuation of treatment.
(g) Changes in the Dosage Schedule
Only the medical director or program physician is authorized to change the patient's medication dosage schedule, either in person, by verbal order, or through other electronic means.
NOTE

Authority cited: Sections 11755, 11835, 11839.3 and 11839.20, Health and Safety Code. Reference: Sections 11218, 11219, 11839.2, 11839.3, 11839.20 and 11875, Health and Safety Code.
HISTORY

1. Change without regulatory effect renumbering and amending parts of former sections 10214 and 10224 to 10355 filed 6-3-91 pursuant to section 100, title 1, California Code of Regulations (Register 91, No. 34).
2. Amendment of section heading, section and Note filed 3-15-96 as an emergency; operative 3-15-96 (Register 96, No. 11). A Certificate of Compliance must be transmitted to OAL by 7-13-96 or emergency language will be repealed by operation of law on the following day.
3. Amendment of section heading, section and Note refiled 7-8-96 as an emergency; operative 7-12-96 (Register 96, No. 28). A Certificate of Compliance must be transmitted to OAL by 11-12-96 or emergency language will be repealed by operation of law on the following day.
4. Amendment of section heading, section and Note refiled 10-23-96 as an emergency; operative 10-29-96 (Register 96, No. 43). A Certificate of Compliance must be transmitted to OAL by 2-26-97 or emergency language will be repealed by operation of law on the following day.
5. Amendment of section heading, section and Note refiled 2-11-97 as an emergency; operative 2-24-97 (Register 97, No. 7). A Certificate of Compliance must be transmitted to OAL by 6-24-97 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 2-11-97 order transmitted to OAL 3-4-97; disapproved by OAL and order of repeal as to 2-11-97 order filed 4-15-97 (Register 97, No. 16).
7. Amendment of section heading, section and Note filed 4-15-97 as an emergency; operative 4-15-97 (Register 97, No. 16). A Certificate of Compliance must be transmitted to OAL by 8-13-97 or emergency language will be repealed by operation of law on the following day.
8. Certificate of Compliance as to 4-15-97 order, including amendment, transmitted to OAL 6-2-97 and filed 6-13-97 (Register 97, No. 24).
9. Amendment of subsection (c)(4) filed 6-29-98; operative 6-29-98 pursuant to Government Code section 11343.4(d) (Register 98, No. 27).
10. Change without regulatory effect repealing subsections (d)(4) and (e)(5) and amending Note filed 1-2-2003 pursuant to section 100, title 1, California Code of Regulations (Register 2003, No. 1).
11. Change without regulatory effect amending subsection (c)(1) and Note filed 4-19-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 16).
§10360. Additional Requirements for Pregnant Patients.
Note     •     History

(a) Within fourteen (14) calendar days from the date of the primary counselor's knowledge that the patient may be pregnant, as documented in the patient's record, the medical director shall review, sign, and date a confirmation of pregnancy. Also within this time frame, the medical director shall document his or her:
(1) Acceptance of medical responsibility for the patient's prenatal care; or
(2) Verification that the patient is under the care of a physician licensed by the State of California and trained in obstetrics and/or gynecology.
(b) The medical director shall document a medical order and his or her rationale for determining LAAM to be the best choice of therapy for the patient prior to:
(1) Placing a pregnant applicant on LAAM therapy; or
(2) Continuing LAAM therapy after confirmation of a patient's pregnancy. The medical director shall conduct a physical examination of this patient, as specified in Section 10270(a)(3), prior to documenting a medical order to continue LAAM therapy.
(c) Within fourteen (14) calendar days from the date the medical director confirmed the pregnancy, the primary counselor shall update the patient's treatment plan in accordance with Section 10305. The nature of prenatal support reflected in subsequent updated treatment plans shall include at least the following services:
(1) Periodic face-to-face consultation at least monthly with the medical director or physician extender designated by the medical director;
(2) Collection of patient body specimens at least once each calendar week in accordance with collection procedures specified in Section 10310.
(3) Prenatal instruction as specified in paragraph (d) of this section.
(d) The medical director or licensed health personnel designated by the medical director shall document completion of instruction on each of the following prenatal topics:
(1) Risks to the patient and unborn child from continued use of both illicit and legal drugs, including premature birth.
(2) Benefits of replacement narcotic therapy and risks of abrupt withdrawal from opiates, including premature birth.
(3) Importance of attending all prenatal care visits.
(4) Need for evaluation for the opiate addiction-related care of both the patient and the newborn following the birth.
(5) Signs and symptoms of opiate withdrawal in the newborn child and warning that the patient not share take-home medication with the newborn child who appears to be in withdrawal.
(6) Current understanding related to the risks and benefits of breast-feeding while on medications used in replacement narcotic therapy.
(7) Phenomenon of postpartum depression.
(8) Family planning and contraception.
(9) Basic prenatal care for those patients not referred to another health care provider, which shall include instruction on at least the following:
(A) Nutrition and prenatal vitamins.
(B) Child pediatric care, immunization, handling, health, and safety.
(e) If a patient repeatedly refuses referrals offered by the program for prenatal care or refuses direct prenatal services offered by the program, the medical director shall document in the patient's record these repeated refusals and have the patient acknowledge in writing that she has refused these treatment services.
(f) Within fourteen (14) calendar days after the date of birth and/or termination of the pregnancy, the medical director shall document in the patient's record the following information:
(1) The hospital's or attending physician's summary of the delivery and treatment outcome for the patient and offspring; or
(2) Evidence that a request for information as specified in paragraph (f)(1) of this section was made, but no response was received.
(g) Within fourteen (14) calendar days from the date of the birth and/or termination of the pregnancy, the primary counselor shall update the patient's treatment plan in accordance with Section 10305. The nature of pediatric care and child immunization shall be reflected in subsequent updated treatment plans until the child is at least three (3) years of age.
NOTE

Authority cited: Sections 11755, 11835, 11839.3 and 11839.20, Health and Safety Code. Reference: Sections 11839.3 and 11839.20, Health and Safety Code.
HISTORY

1. New section filed 6-23-97 as an emergency; operative 7-1-97 (Register 97, No. 26). Pursuant to Health and Safety Code section 11758.42, a Certificate of Compliance must be transmitted to OAL by 12-28-97 or emergency language will be repealed by operation of law on the following day. For prior history, see Register 97, No. 24.
2. Editorial correction of subsections (b)(1), (d)(2) and (d)(5) and History 1 (Register 98, No. 1).
3. Repealed by operation of Government Code section 11346.1(f) (Register 98, No. 1).
4. New section filed 12-31-97 as an emergency; operative 12-31-97 (Register 98, No. 1). A Certificate of Compliance must be transmitted to OAL by 4-30-98 or emergency language will be repealed by operation of law on the following day.
5. New section refiled 4-27-98 as an emergency, including amendment of subsection (f)(2); operative 4-30-98 (Register 98, No. 18). A Certificate of Compliance must be transmitted to OAL by 8-28-98 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 4-27-98 order, including amendment of subsections (a)(1)-(2) and (e), transmitted to OAL 6-1-98 and filed 6-29-98 (Register 98, No. 27).
7. Change without regulatory effect amending Note filed 4-19-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 16).
Article 4. Take-Home Medication Privileges
§10365. Take-Home Medication Procedures.
Note     •     History

Each program shall ensure compliance with the following procedures when granting take-home medication privileges to a patient in maintenance treatment:
(a) The medical director or program physician shall determine the quantity of take-home medication dispensed to a patient.
(b) The program shall instruct each patient of his/her obligation to safeguard the take-home medication.
(c) The program shall utilize containers for take-home doses which comply with the special packaging requirements as set forth in section 1700.14, Title 16, Code of Federal Regulations.
(d) The program shall label each take-home dosage container indicating:
(1) The facility's name and address;
(2) The telephone number of the program;
(3) The 24-hour emergency telephone number if different from subsection (2);
(4) The name of the medication;
(5) Name of the prescribing medical director or program physician;
(6) The name of the patient;
(7) The date issued; and
(8) A warning: Poison--May Be Fatal to Adult or Child; Keep Out of Reach of Children. 
The program may put other information on the label provided it does not obscure the required information.
(e) The program should provide take-home medication in a non-sweetened liquid containing a preservative so patients can be instructed to keep the take-home medication out of the refrigerator to prevent accidental overdoses by children and fermentation of the liquid.
NOTE

Authority cited: Sections 11755, 11835, 11839.3 and 11839.20, Health and Safety Code. Reference: Sections 11839.2, 11839.3, 11839.20 and 11875, Health and Safety Code.
HISTORY

1. Repealer of subsection (f) and amendment of Note filed 6-23-97 as an emergency; operative 7-1-97 (Register 97, No. 26). Pursuant to Health and Safety Code section 11758.42, a Certificate of Compliance must be transmitted to OAL by 12-28-97 or emergency language will be repealed by operation of law on the following day. For prior history, see Register 97, No. 24.
2. Editorial correction of History 1 (Register 98, No. 1).
3. Reinstatement of section as it existed prior to 6-23-97 emergency amendment by operation of Government Code section 11346.1(f) (Register 98, No. 1).
4. Repealer of subsection (f) and amendment of Note filed 12-31-97 as an emergency; operative 12-31-97 (Register 98, No. 1). A Certificate of Compliance must be transmitted to OAL by 4-30-98 or emergency language will be repealed by operation of law on the following day.
5. Editorial correction of Histories 1 and 4 (Register 98, No. 18).
6. Repealer of subsection (f) and amendment Note refiled 4-27-98 as an emergency; operative 4-30-98 (Register 98, No. 18). A Certificate of Compliance must be transmitted to OAL by 8-28-98 or emergency language will be repealed by operation of law on the following day.
7. Change without regulatory effect amending subsections (c) and (e) and Note filed 4-19-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 16).
§10370. Criteria for Take-Home Medication Privileges.
Note     •     History

(a) Self-administered take-home medication shall only be provided to a patient if the medical director or program physician has determined, in his or her clinical judgment, that the patient is responsible in handling narcotic medications, and has documented his or her rationale in the patient's record. The rationale shall be based on consideration of the following criteria:
(1) Absence of use of illicit drugs and abuse of other substances, including alcohol;
(2) Regularity of program attendance for replacement narcotic therapy and counseling services;
(3) Absence of serious behavioral problems while at the program;
(4) Absence of known criminal activity, including the selling or distributing of illicit drugs;
(5) Stability of the patient's home environment and social relationships;
(6) Length of time in maintenance treatment;
(7) Assurance that take-home medication can be safely stored within the patient's home; and
(8) Whether the rehabilitative benefit to the patient derived from decreasing the frequency of program attendance outweighs the potential risks of diversion.
(b) The medical director or program physician may place a patient on one of the six take-home medication schedules, as specified in Section 10375, only when at least the additional following criteria have been met:
(1) Documentation in the patient's record that the patient is participating in gainful vocational, educational, or responsible homemaking (i.e., primary care giver, retiree with household responsibilities, or volunteer helping others) activity and the patient's daily attendance at the program would be incompatible with such activity;
(2) Documentation in the patient's record that the current monthly body specimen collected from the patient is both negative for illicit drugs and positive for the narcotic medication administered or dispensed by the program; and
(3) No other evidence in the patient's record that he or she has used illicit drugs, abused alcohol, or engaged in criminal activity within:
(A) The last 30 days for those patients being placed on step level schedules I through V, as specified in Section 10375(a)(1), (2), (3), (4) and (5); and
(B) The last year for those patients being placed on step level schedule VI, as specified in Section 10375(a)(6).
(c) Patients on a daily dose of methadone above 100 milligrams are required to attend the program at least six days per week for observed ingestion irrespective of provisions specified in Section 10375 (a)(2), (3), (4), (5) and (6), unless the program has received prior written approval from the Department.
(d) Take-home doses of LAAM are not permitted under any circumstances, including any of the provisions for take-home medication as specified in Sections 10365, 10370, 10375, 10380, 10385 and 10400.
NOTE

Authority cited: Sections 11755, 11835, 11839.3 and 11839.20, Health and Safety Code. Reference: Sections 11839.2, 11839.3, 11839.20 and 11875, Health and Safety Code.
HISTORY

1. Change without regulatory effect renumbering and amending parts of former section 10230 to 10370 filed 6-3-91 pursuant to section 100, title 1, California Code of Regulations (Register 91, No. 34).
2. Amendment of section heading, section and Note filed 3-15-96 as an emergency; operative 3-15-96 (Register 96, No. 11). A Certificate of Compliance must be transmitted to OAL by 7-13-96 or emergency language will be repealed by operation of law on the following day.
3. Amendment of section heading, section and Note refiled 7-8-96 as an emergency; operative 7-12-96 (Register 96, No. 28). A Certificate of Compliance must be transmitted to OAL by 11-12-96 or emergency language will be repealed by operation of law on the following day.
4. Amendment of section heading, section and Note refiled 10-23-96 as an emergency; operative 10-29-96 (Register 96, No. 43). A Certificate of Compliance must be transmitted to OAL by 2-26-97 or emergency language will be repealed by operation of law on the following day.
5. Amendment of section heading, section and Note refiled 2-11-97 as an emergency; operative 2-24-97 (Register 97, No. 7). A Certificate of Compliance must be transmitted to OAL by 6-24-97 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 2-11-97 order transmitted to OAL 3-4-97; disapproved by OAL and order of repeal as to 2-11-97 order filed 4-15-97 (Register 97, No. 16).
7. Amendment of section heading, section and Note filed 4-15-97 as an emergency; operative 4-15-97 (Register 97, No. 16). A Certificate of Compliance must be transmitted to OAL by 8-13-97 or emergency language will be repealed by operation of law on the following day.
8. Editorial correction restoring inadvertently omitted text (Register 97, No. 24).
9. Certificate of Compliance as to 4-15-97 order, including amendment, transmitted to OAL 6-2-97 and filed 6-13-97 (Register 97, No. 24).
10. Amendment of subsection (b)(1) and Note filed 6-23-97 as an emergency; operative 7-1-97 (Register 97, No. 26). Pursuant to Health and Safety Code section 11758.42, a Certificate of Compliance must be transmitted to OAL by 12-28-97 or emergency language will be repealed by operation of law on the following day.
11. Editorial correction of subsection (b)(3)(B) and History 10 (Register 98, No. 1).
12. Reinstatement of section as it existed prior to 6-23-97 emergency amendment by operation of Government Code section 11346.1(f) (Register 98, No. 1).
13. Amendment of subsection (b)(1) and Note filed 12-31-97 as an emergency; operative 12-31-97 (Register 98, No. 1). A Certificate of Compliance must be transmitted to OAL by 4-30-98 or emergency language will be repealed by operation of law on the following day.
14. Amendment of subsection (b)(1) and Note refiled 4-27-98 as an emergency; operative 4-30-98 (Register 98, No. 18). A Certificate of Compliance must be transmitted to OAL by 8-28-98 or emergency language will be repealed by operation of law on the following day.
15. Certificate of Compliance as to 4-27-98 order, including amendment of subsection (b)(2), transmitted to OAL 6-1-98 and filed 6-29-98 (Register 98, No. 27).
16. Change without regulatory effect amending Note filed 4-19-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 16).
§10375. Step Level Schedules for Take-Home Medication Privileges. 
Note     •     History

(a) A patient shall not be placed on a take-home medication schedule or granted a step level increase until he or she has been determined responsible in handling narcotic medications as specified in Section 10370(a). Each program shall adhere to the following schedules with respect to providing a patient with take-home medication privileges permitted under Section 10370(b):
(1) Step I Level--After three months of continuous maintenance treatment, the medical director or program physician may grant the patient not more than a one-day take-home supply of medication. The patient shall attend the program at least six times a week for observed ingestion.
(2) Step II Level--After six months of continuous maintenance treatment, the medical director or program physician may grant the patient not more than a two-day take-home supply of medication. The patient shall attend the program at least five times a week for observed ingestion.
(3) Step III Level--After nine months of continuous treatment, the medical director or program physician may grant the patient not more than a two-day take-home supply of medication. The patient shall attend the program at least four times a week for observed ingestion.
(4) Step IV --After one year of continuous treatment, the medical director or program physician may grant the patient not more than a two-day supply of medication. The patient shall attend the program at least three times a week for observed ingestion.
(5) Step V Level--After two years of continuous treatment, the medical director or program physician may grant the patient not more than a three-day take-home supply of medication. The patient shall attend the program at least two times a week for observed ingestion.
(6) Step VI Level--After three years of continuous treatment, the medical director or program physician may grant the patient not more than a six-day take-home supply of medication. The patient shall attend the program at least once each week for observed ingestion.
(b) Nothing in this section shall prevent any program from establishing in its individual protocol any take-home medication requirement which is more stringent than is specified in the schedule contained herein.
(c) In the case of a patient who transfers to the program from another program without a break in treatment, the new medical director or program physician may consider the time the patient has spent at the former program when considering the patient's eligibility for take-home medication privileges, as well as for advancement to a new step level. But in no case shall any patient be placed, upon admission, at a step level higher than that which was occupied in the former program immediately before transferring to the new program.
NOTE

Authority cited: Sections 11755, 11835, 11839.3 and 11839.20, Health and Safety Code. Reference: Sections 11839.2, 11839.3, 11839.20 and 11875, Health and Safety Code.
HISTORY

1. Change without regulatory effect renumbering and amending parts of former section 10234 to 10375 filed 6-3-91 pursuant to section 100, title 1, California Code of Regulations (Register 91, No. 34).
2. Amendment of section heading, section and Note filed 3-15-96 as an emergency; operative 3-15-96 (Register 96, No. 11). A Certificate of Compliance must be transmitted to OAL by 7-13-96 or emergency language will be repealed by operation of law on the following day.
3. Amendment of section heading, section and Note refiled 7-8-96 as an emergency; operative 7-12-96 (Register 96, No. 28). A Certificate of Compliance must be transmitted to OAL by 11-12-96 or emergency language will be repealed by operation of law on the following day.
4. Amendment of section heading, section and Note refiled 10-23-96 as an emergency; operative 10-29-96 (Register 96, No. 43). A Certificate of Compliance must be transmitted to OAL by 2-26-97 or emergency language will be repealed by operation of law on the following day.
5. Amendment of section heading, section and Note refiled 2-11-97 as an emergency; operative 2-24-97 (Register 97, No. 7). A Certificate of Compliance must be transmitted to OAL by 6-24-97 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 2-11-97 order transmitted to OAL 3-4-97; disapproved by OAL and order of repeal as to 2-11-97 order filed 4-15-97 (Register 97, No. 16).
7. Amendment of section heading, section and Note filed 4-15-97 as an emergency; operative 4-15-97 (Register 97, No. 16). A Certificate of Compliance must be transmitted to OAL by 8-13-97 or emergency language will be repealed by operation of law on the following day.
8. Certificate of Compliance as to 4-15-97 order, including amendment, transmitted to OAL 6-2-97 and filed 6-13-97 (Register 97, No. 24).
9. Change without regulatory effect amending Note filed 4-19-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 16).
§10380. Take-Home Medication Procedures for Holidays.
Note     •     History

(a) A program whose maintenance treatment modality is not in operation due to the program's observance of an official State holiday, as specified in Subsection (c) of this regulation, may provide take-home medication according to the following procedures:
(1) Patients receiving take-home medication who are scheduled to attend the program on the holiday may be provided one (1) additional day's supply on the last day of dosing at the program before the holiday; and
(2) Patients not receiving take-home medication may be provided a one (1) day supply on the day before the holiday.
(b) A patient shall not receive a take-home medication under the provisions of Subsection (a) of this regulation and shall be continued on the same dosage schedule if:
(1) The additional dose would result in the patient receiving more than a six-day supply of medication.
(2) The additional dose would result in the patient receiving more than one take-home dose per week at a dosage level above 100 milligrams, except as provided in Section 10370(c); or
(3) The medical director or program physician has included the patient within a list of all patients that, in his or her clinical judgment, have been determined currently not responsible in handling narcotic medications, based on consideration of the criteria specified in Section 10370(a). This list shall be maintained with the daily reconciliation dispensing record for the holiday.
(c) The official State holidays are:

New Year's Day	January 1

Martin Luther King's Birthday	Third Monday in January

Lincoln's Birthday	February 12

Washington's Birthday	Third Monday in February

Memorial Day	Last Monday in May

Independence Day	July 4

Labor Day	First Monday in September

California Admission Day	September 9

Columbus Day	Second Monday in October 

Veterans Day	November 11

Thanksgiving Day	Fourth Thursday in November

Christmas Day	December 25
(d) With prior written approval of the Department, a program may exchange other days of special local or ethnic significance on a one-for-one basis with the holidays listed in Subsection (c) of this regulation.
NOTE

Authority cited: Sections 11755, 11835, 11839.3 and 11839.20, Health and Safety Code. Reference: Sections 11839.2, 11839.3, 11839.20 and 11875, Health and Safety Code.
HISTORY

1. Change without regulatory effect renumbering and amending parts of former section 10240 to 10380 filed 6-3-91 pursuant to section 100, title 1, California Code of Regulations (Register 91, No. 34).
2. Amendment of section heading, section and Note filed 3-15-96 as an emergency; operative 3-15-96 (Register 96, No. 11). A Certificate of Compliance must be transmitted to OAL by 7-13-96 or emergency language will be repealed by operation of law on the following day.
3. Amendment of section heading, section and Note refiled 7-8-96 as an emergency; operative 7-12-96 (Register 96, No. 28). A Certificate of Compliance must be transmitted to OAL by 11-12-96 or emergency language will be repealed by operation of law on the following day.
4. Amendment of section heading, section and Note refiled 10-23-96 as an emergency; operative 10-29-96 (Register 96, No. 43). A Certificate of Compliance must be transmitted to OAL by 2-26-97 or emergency language will be repealed by operation of law on the following day.
5. Amendment of section heading, section and Note refiled 2-11-97 as an emergency; operative 2-24-97 (Register 97, No. 7). A Certificate of Compliance must be transmitted to OAL by 6-24-97 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 2-11-97 order transmitted to OAL 3-4-97; disapproved by OAL and order of repeal as to 2-11-97 order filed 4-15-97 (Register 97, No. 16).
7. Amendment of section heading, section and Note filed 4-15-97 as an emergency; operative 4-15-97 (Register 97, No. 16). A Certificate of Compliance must be transmitted to OAL by 8-13-97 or emergency language will be repealed by operation of law on the following day.
8. Certificate of Compliance as to 4-15-97 order, including amendment of section heading and section, transmitted to OAL 6-2-97 and filed 6-13-97 (Register 97, No. 24).
9. Change without regulatory effect amending Note filed 4-19-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 16).
§10385. Exceptions to Take-Home Medication Criteria. and Dosage Schedules.
Note     •     History

(a) The medical director or program physician may grant an exception to take-home medication criteria and dosage schedules as set forth in sections 10370(b) and 10375 for any of the following reasons:
(1) The patient has a physical disability or chronic, acute, or terminal illness that makes daily attendance at the program a hardship. The program must verify the patient's physical disability or illness, and include medical documentation of the disability or illness in the patient's record. The patient shall not be given at any one time, more than a two-week take-home supply of medication.
(2) The patient has an exceptional circumstance, such as a personal or family crisis, that makes daily attendance at the program a hardship. When the patient must travel out of the program area, the program shall attempt to arrange for the patient to receive his or her medication at a program in the patient's travel area. The program shall document such attempts in the patient's record. The patient shall not be given at any one time, more than a one-week take-home supply of medication.
(3) The patient would benefit, as determined by the medical director or program physician, from receiving his or her medication in two split doses, with one portion dispensed as a take-home dose, when the medical director or program physician has determined that split doses would be more effective in blocking opiate abstinence symptoms that an increased dosage level.
(b) Prior to granting an exception to Sections 10370(b) and 10375, the medical director or program physician shall determine that the patient is responsible in handling narcotic medications as specified in Section 10370(a).
(c) The medical director or program physician shall document in the patient's record the granting of any exception and the facts justifying the exception.
(d) The Department may grant additional exceptions to the take-home medication requirements contained in this Section in the case of an emergency or natural disaster, such as fire, flood, or earthquake.
NOTE

Authority cited: Sections 11755, 11835, 11839.3 and 11839.20, Health and Safety Code. Reference: Sections 11839.2, 11839.3, 11839.20 and 11875, Health and Safety Code.
HISTORY

1. Change without regulatory effect renumbering and amending parts of former section 10238 to 10385 filed 6-3-91 pursuant to section 100, title 1, California Code of Regulations (Register 91, No. 34).
2. Amendment of section heading, section and Note filed 3-15-96 as an emergency; operative 3-15-96 (Register 96, No. 11). A Certificate of Compliance must be transmitted to OAL by 7-13-96 or emergency language will be repealed by operation of law on the following day.
3. Amendment of section heading, section and Note refiled 7-8-96 as an emergency; operative 7-12-96 (Register 96, No. 28). A Certificate of Compliance must be transmitted to OAL by 11-12-96 or emergency language will be repealed by operation of law on the following day.
4. Amendment of section heading, section and Note refiled 10-23-96 as an emergency; operative 10-29-96 (Register 96, No. 43). A Certificate of Compliance must be transmitted to OAL by 2-26-97 or emergency language will be repealed by operation of law on the following day.
5. Amendment of section heading, section and Note refiled 2-11-97 as an emergency; operative 2-24-97 (Register 97, No. 7). A Certificate of Compliance must be transmitted to OAL by 6-24-97 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 2-11-97 order transmitted to OAL 3-4-97; disapproved by OAL and order of repeal as to 2-11-97 order filed 4-15-97 (Register 97, No. 16).
7. Amendment of section heading, section and Note filed 4-15-97 as an emergency; operative 4-15-97 (Register 97, No. 16). A Certificate of Compliance must be transmitted to OAL by 8-13-97 or emergency language will be repealed by operation of law on the following day.
8. Certificate of Compliance as to 4-15-97 order, including amendment, transmitted to OAL 6-2-97 and filed 6-13-97 (Register 97, No. 24).
9. Change without regulatory effect amending Note filed 4-19-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 16).
§10390. Restricting a Patient's Take-Home Medication Privileges.
Note     •     History

(a) The medical director or program physician shall restrict a patient's take-home medication privileges by moving the patient back at least one step level on the take-home medication schedule for any of the following reasons:
(1) Patients on step level schedules I through V who have submitted at least two consecutive monthly body specimens which have tested positive for illicit drugs and/or negative for the narcotic medication administered or dispensed by the program, unless the program physician invalidates the accuracy of the test results.
(2) Patients on step level schedule VI who have submitted at least two monthly body specimens within the last four consecutive months which have tested positive for illicit drugs and/or negative for the narcotic medication administered or dispensed by the program, unless the program physician invalidates the accuracy of the test results.
(3) Patients, after receiving a supply of take-home medication, are inexcusably absent from or miss a scheduled appointment with the program without authorization from the program staff.
(4) The patient is no longer a suitable candidate for take-home medication privileges as presently scheduled, based on consideration of the criteria specified in Section 10370(a).
(b) Nothing in this regulation shall prevent a medical director or program physician from ordering a revocation of a patient's take-home medication privileges for any of the reasons specified in Subsection (a) of this regulation, or for any other reasons, including:
(1)  The patient is sharing, giving away, selling, or trading the medication administered or dispensed by the program.
(2) The patient attempts to register in another narcotic treatment program.
(3) The patient alters or attempts to alter a test or analysis for illicit drug use.
(c) The medical director or program physician shall order the restriction or revocation within fifteen (15) days from the date the program has obtained evidence for any of the reasons identified in Subsections (a) and (b) of this regulation.
NOTE

Authority cited: Sections 11755, 11835, 11839.2, 11839.3, 11839.20 and 11875, Health and Safety Code. Reference: Sections 11839.3 and 11839.20, Health and Safety Code.
HISTORY

1. Change without regulatory effect renumbering and amending parts of former section 10246 to 10390 filed 6-3-91 pursuant to section 100, title 1, California Code of Regulations (Register 91, No. 34).
2. Amendment of section heading, section and Note filed 3-15-96 as an emergency; operative 3-15-96 (Register 96, No. 11). A Certificate of Compliance must be transmitted to OAL by 7-13-96 or emergency language will be repealed by operation of law on the following day.
3. Amendment of section heading, section and Note refiled 7-8-96 as an emergency; operative 7-12-96 (Register 96, No. 28). A Certificate of Compliance must be transmitted to OAL by 11-12-96 or emergency language will be repealed by operation of law on the following day.
4. Amendment of section heading, section and Note refiled 10-23-96 as an emergency; operative 10-29-96 (Register 96, No. 43). A Certificate of Compliance must be transmitted to OAL by 2-26-97 or emergency language will be repealed by operation of law on the following day.
5. Amendment of section heading, section and Note refiled 2-11-97 as an emergency; operative 2-24-97 (Register 97, No. 7). A Certificate of Compliance must be transmitted to OAL by 6-24-97 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 2-11-97 order transmitted to OAL 3-4-97; disapproved by OAL and order of repeal as to 2-11-97 order filed 4-15-97 (Register 97, No. 16).
7. Amendment of section heading, section and Note filed 4-15-97 as an emergency; operative 4-15-97 (Register 97, No. 16). A Certificate of Compliance must be transmitted to OAL by 8-13-97 or emergency language will be repealed by operation of law on the following day.
8. Certificate of Compliance as to 4-15-97 order, including amendment, transmitted to OAL 6-2-97 and filed 6-13-97 (Register 97, No. 24).
9. Change without regulatory effect amending Note filed 4-19-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 16).
§10395. [Repealed.]
Note     •     History

NOTE

Authority cited: Sections 11755, 11864, 11875.1, and 11876(a), Health and Safety Code. Reference: Sections 11876(a) and 11880, Health and Safety Code.
HISTORY

1. Change without regulatory effect renumbering and amending parts of former section 10244 to 10395 filed 6-3-91 pursuant to section 100, title 1, California Code of Regulations (Register 91, No. 34).
2. Amendment of section heading, section and Note filed 3-15-96 as an emergency; operative 3-15-96 (Register 96, No. 11). A Certificate of Compliance must be transmitted to OAL by 7-13-96 or emergency language will be repealed by operation of law on the following day.
3. Amendment of section heading, section and Note refiled 7-8-96 as an emergency; operative 7-12-96 (Register 96, No. 28). A Certificate of Compliance must be transmitted to OAL by 11-12-96 or emergency language will be repealed by operation of law on the following day.
4. Amendment of section heading, section and Note refiled 10-23-96 as an emergency; operative 10-29-96 (Register 96, No. 43). A Certificate of Compliance must be transmitted to OAL by 2-26-97 or emergency language will be repealed by operation of law on the following day.
5. Amendment of section heading, section and Note refiled 2-11-97 as an emergency; operative 2-24-97 (Register 97, No. 7). A Certificate of Compliance must be transmitted to OAL by 6-24-97 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 2-11-97 order transmitted to OAL 3-4-97; disapproved by OAL and order of repeal as to 2-11-97 order filed 4-15-97 (Register 97, No. 16).
7. Amendment of section heading, section and Note filed 4-15-97 as an emergency; operative 4-15-97 (Register 97, No. 16). A Certificate of Compliance must be transmitted to OAL by 8-13-97 or emergency language will be repealed by operation of law on the following day.
8. Certificate of Compliance as to 4-15-97 order, including repeal of section, transmitted to OAL 6-2-97 and filed 6-13-97 (Register 97, No. 24).
§10400. Restoring Restricted Take-Home Medication Privileges.
Note     •     History

(a) The medical director or program physician, when restoring each step of a patient's restricted take-home medication privileges, shall:
(1) Determine that the patient is responsible for handling narcotic medications, as specified in Section 10370(a).
(2) Ensure that the patient has completed at least a 30-day restriction, and the most recent monthly body specimen collected from the patient is both negative for illicit drugs and positive for the narcotic medication administered or dispensed by the program when restoring the following:
(A) Step level schedules I through V which were restricted due to drug-screening test or analysis results.
(3) Ensure that at least the previous three (3) consecutive monthly body specimens collected from the patient are both negative for illicit drugs and positive for the narcotic medication administered or dispensed by the program when restoring the following:
(A) Step level schedule VI which was restricted due to drug-screening test or analysis results.
(B) Any step which was restricted due to an unexcused absence after receiving a supply of take-home medication.
(b) This section shall not be used to circumvent the requirements of section 10375. No patient shall be advanced to a step level pursuant to this section unless he/she has previously been at such step level after having satisfied the requirements of section 10375(a).
NOTE

Authority cited: Sections 11755, 11835, 11839.3 and 11839.20, Health and Safety Code. Reference: Sections 11839.2, 11839.3, 11839.20 and 11875, Health and Safety Code.
HISTORY

1. Change without regulatory effect renumbering and amending parts of former section 10248 to 10400 filed 6-3-91 pursuant to section 100, title 1, California Code of Regulations (Register 91, No. 34).
2. Amendment of section heading, section and Note filed 3-15-96 as an emergency; operative 3-15-96 (Register 96, No. 11). A Certificate of Compliance must be transmitted to OAL by 7-13-96 or emergency language will be repealed by operation of law on the following day.
3. Amendment of section heading, section and Note refiled 7-8-96 as an emergency; operative 7-12-96 (Register 96, No. 28). A Certificate of Compliance must be transmitted to OAL by 11-12-96 or emergency language will be repealed by operation of law on the following day.
4. Amendment of section heading, section and Note refiled 10-23-96 as an emergency; operative 10-29-96 (Register 96, No. 43). A Certificate of Compliance must be transmitted to OAL by 2-26-97 or emergency language will be repealed by operation of law on the following day.
5. Amendment of section heading, section and Note refiled 2-11-97 as an emergency; operative 2-24-97 (Register 97, No. 7). A Certificate of Compliance must be transmitted to OAL by 6-24-97 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 2-11-97 order transmitted to OAL 3-4-97; disapproved by OAL and order of repeal as to 2-11-97 order filed 4-15-97 (Register 97, No. 16).
7. Amendment of section heading, section and Note filed 4-15-97 as an emergency; operative 4-15-97 (Register 97, No. 16). A Certificate of Compliance must be transmitted to OAL by 8-13-97 or emergency language will be repealed by operation of law on the following day.
8. Certificate of Compliance as to 4-15-97 order, including amendment of section heading and section, transmitted to OAL 6-2-97 and filed 6-13-97 (Register 97, No. 24).
9. Change without regulatory effect amending Note filed 4-19-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 16).
§10405. Suspension of Take-Home Medication Privileges by the Department.
Note     •     History

The Department may order a program to suspend immediately all or any part of its take-home medication orders or to revoke or restrict the take-home medication privileges of any individual patient. Suspension may occur only when a program fails to comply with any applicable regulation or statute regarding treatment requirements, medication handling, security of medications, or take-home medication procedures.
NOTE

Authority cited: Sections 11755, 11835, 11839.3 and 11839.20, Health and Safety Code. Reference: Sections 11839.2, 11839.3, 11839.20 and 11875, Health and Safety Code.
HISTORY

1. Change without regulatory effect renumbering and amending parts of former section 10250 to 10405 filed 6-3-91 pursuant to section 100, title 1, California Code of Regulations (Register 91, No. 34).
2. Amendment of section heading, section and Note filed 3-15-96 as an emergency; operative 3-15-96 (Register 96, No. 11). A Certificate of Compliance must be transmitted to OAL by 7-13-96 or emergency language will be repealed by operation of law on the following day.
3. Amendment of section heading, section and Note refiled 7-8-96 as an emergency; operative 7-12-96 (Register 96, No. 28). A Certificate of Compliance must be transmitted to OAL by 11-12-96 or emergency language will be repealed by operation of law on the following day.
4. Amendment of section heading, section and Note refiled 10-23-96 as an emergency; operative 10-29-96 (Register 96, No. 43). A Certificate of Compliance must be transmitted to OAL by 2-26-97 or emergency language will be repealed by operation of law on the following day.
5. Amendment of section heading, section and Note refiled 2-11-97 as an emergency; operative 2-24-97 (Register 97, No. 7). A Certificate of Compliance must be transmitted to OAL by 6-24-97 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 2-11-97 order transmitted to OAL 3-4-97; disapproved by OAL and order of repeal as to 2-11-97 order filed 4-15-97 (Register 97, No. 16).
7. Amendment of section heading, section and Note filed 4-15-97 as an emergency; operative 4-15-97 (Register 97, No. 16). A Certificate of Compliance must be transmitted to OAL by 8-13-97 or emergency language will be repealed by operation of law on the following day.
8. Certificate of Compliance as to 4-15-97 order transmitted to OAL 6-2-97 and filed 6-13-97 (Register 97, No. 24).
9. Change without regulatory effect amending Note filed 4-19-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 16).
Article 5. Termination of Treatment
§10410. Scheduled Termination of Maintenance Treatment.
Note     •     History

(a) The medical director or program physician shall discontinue a patient's maintenance treatment within two continuous years after such treatment is begun unless he or she completes the following:
(1) Evaluates the patient's progress, or lack of progress in achieving treatment goals as specified in Section 10305(f)(1); and
(2) Determines, in his or her clinical judgment, that the patient's status indicates that such treatment should be continued for a longer period of time because discontinuance from treatment would lead to a return to opiate addiction.
(b) Patient status relative to continued maintenance treatment as specified in paragraph (a) of this section shall be re-evaluated at least annually after two continuous years of maintenance treatment.
(c) The medical director or program physician shall document in the patient's record the facts justifying his or her decision to continue the patient's maintenance treatment as required by subsections (a) and (b).
(d) Each program shall submit in its protocol a specific plan for scheduled termination of maintenance treatment indicating an average period for a maintenance treatment episode before such scheduled termination. This termination plan shall include information on counseling, and any other patient support which will be provided during withdrawal.
NOTE

Authority cited: Sections 11755, 11835, 11839.3 and 11839.20, Health and Safety Code. Reference: Sections 11839.3 and 11839.20, Health and Safety Code.
HISTORY

1. Change without regulatory effect renumbering and amending parts of former section 10328 to 10410 filed 6-3-91 pursuant to section 100, title 1, California Code of Regulations (Register 91, No. 34).
2. Amendment of article 5 heading, section heading and section filed 3-15-96 as an emergency; operative 3-15-96 (Register 96, No. 11). A Certificate of Compliance must be transmitted to OAL by 7-13-96 or emergency language will be repealed by operation of law on the following day.
3. Amendment of article 5 heading, section heading and section refiled 7-8-96 as an emergency; operative 7-12-96 (Register 96, No. 28). A Certificate of Compliance must be transmitted to OAL by 11-12-96 or emergency language will be repealed by operation of law on the following day.
4. Amendment of article 5 heading, section heading and section refiled 10-23-96 as an emergency; operative 10-29-96 (Register 96, No. 43). A Certificate of Compliance must be transmitted to OAL by 2-26-97 or emergency language will be repealed by operation of law on the following day.
5. Amendment of article 5 heading, section heading and section refiled 2-11-97 as an emergency; operative 2-24-97 (Register 97, No. 7). A Certificate of Compliance must be transmitted to OAL by 6-24-97 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 2-11-97 order transmitted to OAL 3-4-97; disapproved by OAL and order of repeal as to 2-11-97 order filed 4-15-97 (Register 97, No. 16).
7. Amendment of article 5 heading, section heading and section filed 4-15-97 as an emergency; operative 4-15-97 (Register 97, No. 16). A Certificate of Compliance must be transmitted to OAL by 8-13-97 or emergency language will be repealed by operation of law on the following day.
8. Certificate of Compliance as to 4-15-97 order, including amendment, transmitted to OAL 6-2-97 and filed 6-13-97 (Register 97, No. 24).
9. Amendment of subsection (a)(1) filed 6-29-98; operative 6-29-98 pursuant to Government Code section 11343.4(d) (Register 98, No. 27).
10. Change without regulatory effect amending subsection (a)(2) and Note filed 4-19-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 16).
§10415. Treatment Termination Procedures.
Note     •     History

(a) A patient may voluntarily terminate participation in a program even though termination may be against the advice of the medical director or program physician.
(b) If the medical director or program director determines that the patient's continued participation in the program creates a physically threatening situation for staff or other patients, the patient's participation may be terminated immediately.
(c) A patient's participation in a program may be involuntarily terminated by the medical director or program physician for cause.
(d) If a program utilizes disciplinary proceedings which include involuntary termination for cause, the program shall include in its protocol reasons and procedures for involuntarily terminating a patient's participation in the program. The procedures shall provide for:
(1) Explanation to the patient of when participation may be terminated for cause.
(2) Patient notification of termination.
(3) Patient's right to hearing.
(4) Patients right to representation.
(e) If the program elects not to terminate for cause, the protocol shall state that patients shall not be involuntarily terminated for cause except as provided in (b) above.
(f) Except as noted in (b) above, either voluntary or involuntary termination shall be individualized, under the direction of the medical director or program physician, and take place over a period of time not less than 15 days, unless:
(1) The medical director or program physician deems it clinically necessary to terminate participation sooner and documents why in the patient's record;
(2) The patient requests in writing a shorter termination period; or
(3) The patient is currently within a 21-day detoxification treatment episode.
(g) The program shall complete a discharge summary for each patient who is terminated from treatment, either voluntarily or involuntarily. The discharge summary shall include at least the following:
(1) The patient's name and date of discharge;
(2) The reason for the discharge; and
(3) A summary of the patient's progress during treatment.
NOTE

Authority cited: Sections 11755, 11835, 11839.3 and 11839.20, Health and Safety Code. Reference: Sections 11839.3 and 11839.20, Health and Safety Code.
HISTORY

1. Change without regulatory effect renumbering and amending parts of former sections 10330 and 10340 to 10415 filed 6-3-91 pursuant to section 100, title 1, California Code of Regulations (Register 91, No. 34).
2. Amendment of section heading and subsections (a)-(c) and (f)-(f)(1), and new subsections (g)-(g)(3) filed 3-15-96 as an emergency; operative 3-15-96 (Register 96, No. 11). A Certificate of Compliance must be transmitted to OAL by 7-13-96 or emergency language will be repealed by operation of law on the following day.
3. Amendment of section heading and subsections (a)-(c) and (f)-(f)(1), and new subsections (g)-(g)(3) refiled 7-8-96 as an emergency; operative 7-12-96 (Register 96, No. 28). A Certificate of Compliance must be transmitted to OAL by 11-12-96 or emergency language will be repealed by operation of law on the following day.
4. Amendment of section heading and subsections (a)-(c) and (f)-(f)(1), and new subsections (g)-(g)(3) refiled 10-23-96 as an emergency; operative 10-29-96 (Register 96, No. 43). A Certificate of Compliance must be transmitted to OAL by 2-26-97 or emergency language will be repealed by operation of law on the following day.
5. Amendment of section heading and subsections (a)-(c) and (f)-(f)(1), and new subsections (g)-(g)(3) refiled 2-11-97 as an emergency; operative 2-24-97 (Register 97, No. 7). A Certificate of Compliance must be transmitted to OAL by 6-24-97 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 2-11-97 order transmitted to OAL 3-4-97; disapproved by OAL and order of repeal as to 2-11-97 order filed 4-15-97 (Register 97, No. 16).
7. Amendment of section heading and subsections (a)-(c) and (f)-(f)(1), and new subsections (g)-(g)(3) filed 4-15-97 as an emergency; operative 4-15-97 (Register 97, No. 16). A Certificate of Compliance must be transmitted to OAL by 8-13-97 or emergency language will be repealed by operation of law on the following day.
8. Certificate of Compliance as to 4-15-97 order, including amendment of subsections (f)(1) and (f)(2) and new subsection (f)(3), transmitted to OAL 6-2-97 and filed 6-13-97 (Register 97, No. 24).
9. Change without regulatory effect amending Note filed 4-19-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 16).
Article 6. Fair Hearings
§10420. Patient Fair Hearings.
Note     •     History

(a) The protocol for each program shall contain a detailed description of the pre-termination fair hearing procedures. The protocol shall provide that a patient has a right to a pre-termination fair hearing in all cases of involuntary termination from the program for cause where continued participation in the program does not create a physically threatening situation for staff or other patients. The procedures shall include but not be limited to:
(1) Identification of reasons for termination, as stated in program rules, which may include:
(A) Diversion of medications used in replacement narcotic therapy.
(B) Violence or threat of violence to program staff or other patients in the program.
(C) Multiple registration.
(2) Written notification to the patient of pending termination, containing:
(A) Reasons for termination.
(B) Explanation of right to pre-termination fair hearing, which shall explain to the patient that such rights must be exercised within 48 hours of written notice.
(3) Provision for continuance of patient's treatment status pending decision upon the hearing.
(4) Explanation of the patient's rights during the hearing to:
(A) Be represented at the hearing by a person or attorney of their choice.
(B) Call witnesses on their behalf, who need not be under oath.
(C) Examine witnesses presented by the program.
(5) Release of medical information in the patient's file to the patient or to the patient's representative at least 48 hours prior to the hearing.
(A) Medical information requests by the patient shall be in the form of a signed consent to release of information.
(B) Medical information to be released to the patient or patient's representative shall be approved by the physician in charge of the patient.
(b) The protocol shall state whether the patient is entitled to a hearing before a panel or before a single hearing officer. If the protocol states that the patient is entitled to a hearing before a panel, a single hearing officer may not be substituted for the panel without the consent of the patient. In the case of a hearing before a panel, a majority vote of the panel is necessary to terminate a person from the program.
(c) The program shall select the hearing officer or panel from impartial persons not directly involved with the patient's care.
(d) A hearing shall be scheduled within seven working days from the time the patient requests a hearing.
(e) Unless the program protocol requires a higher standard of proof, a patient's participation in a program shall be terminated for cause only after the hearing officer or panel finds by a preponderance of the evidence presented that the reason stated in the notice justifies termination.
(f) The hearing officer or panel shall render a decision not later than the first working day following the hearing. The program shall keep a permanent record of the proceedings. The permanent record of the proceedings may be a tape recording. The decision shall be in writing and shall be based solely on the evidence presented at the hearing. The decision shall include a summary of the proceedings and the formal findings and conclusions of the hearing officer or panel.
(1) A copy of the record of the proceedings and/or the decision shall be provided to the patient upon request.
(2) Copies of all written materials, including all evidence introduced at the hearing, shall be retained for one year.
(g) A patient may appeal an adverse decision of a hearing officer or panel by means of a writ of mandate pursuant to section 1094.5, Code of Civil Procedure.
NOTE

Authority cited: Sections 11755, 11835, 11839.3 and 11839.20, Health and Safety Code. Reference: Sections 11835, 11839.2, 11839.3, 11839.20 and 11875, Health and Safety Code.
HISTORY

1. Change without regulatory effect renumbering and amending parts of former section 10332 to 10420 filed 6-3-91 pursuant to section 100, title 1, California Code of Regulations (Register 91, No. 34).
2. Amendment of section heading, repealer of subsection (a)(1)(A), redesignation of subsection (a)(1)(B) as subsection (a)(1)(A) and amendment thereof, and amendment of Note filed 3-15-96 as an emergency; operative 3-15-96 (Register 96, No. 11). A Certificate of Compliance must be transmitted to OAL by 7-13-96 or emergency language will be repealed by operation of law on the following day.
3. Amendment of section heading, repealer of subsection (a)(1)(A), redesignation of subsection (a)(1)(B) as (a)(1)(A) and amendment thereof, and amendment of Note refiled 7-8-96 as an emergency; operative 7-12-96 (Register 96, No. 28). A Certificate of Compliance must be transmitted to OAL by 11-12-96 or emergency language will be repealed by operation of law on the following day.
4. Amendment of section heading, repealer of subsection (a)(1)(A), redesignation of subsection (a)(1)(B) as (a)(1)(A) and amendment thereof, and amendment of Note refiled 10-23-96 as an emergency; operative 10-29-96 (Register 96, No. 43). A Certificate of Compliance must be transmitted to OAL by 2-26-97 or emergency language will be repealed by operation of law on the following day.
5. Amendment of section heading, repealer of subsection (a)(1)(A), redesignation of subsection (a)(1)(B) as (a)(1)(A) and amendment thereof, and amendment of Note refiled 2-11-97 as an emergency; operative 2-24-97 (Register 97, No. 7). A Certificate of Compliance must be transmitted to OAL by 6-24-97 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 2-11-97 order transmitted to OAL 3-4-97; disapproved by OAL and order of repeal as to 2-11-97 order filed 4-15-97 (Register 97, No. 16).
7. Amendment of section heading, repealer of subsection (a)(1)(A), redesignation of subsection (a)(1)(B) and (a)(1)(A) and amendment thereof, and amendment of Note filed 4-15-97 as an emergency; operative 4-15-97 (Register 97, No. 16). A Certificate of Compliance must be transmitted to OAL by 8-13-97 or emergency language will be repealed by operation of law on the following day.
8. Certificate of Compliance as to 4-15-97 order, including redesignation of subsections (a)(2)(C) and (D) to subsections (a)(2)(B) and (C), transmitted to OAL 6-2-97 and filed 6-13-97 (Register 97, No. 24).
9. Change without regulatory effect amending subsections (a), (a)(2)(B) and (g) and Note filed 4-19-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 16).
Subchapter 6. Temporary Exceptions
§10425. Temporary Exceptions to Regulations.
Note     •     History

(a) The Department may grant temporary exceptions to the regulations adopted under this chapter if it determines that such action is justified and would improve treatment services or afford greater protections to the health, safety or welfare of patients, the community, or the general public. No exception may be granted if it is contrary to or less stringent than the federal laws and regulations which govern narcotic treatment programs. Any exception(s) shall be subject to all of the following requirements:
(1) Such exceptions shall be limited to program licensees operating in compliance with applicable laws and regulations;
(2) Requests for exceptions shall be formally submitted in writing to the Department;
(3) Exceptions shall be limited to a one-year period unless an extension is formally granted by the Department;
(4) No exception may be granted until the Department has requested and evaluated a recommendation from the applicable County Drug Program Administrator and all applicable fees have been received;
(5) The program applicant shall comply with all Departmental requirements for maintaining appropriate records or otherwise documenting and reporting activity;
(6) The formal approval of the Department shall contain an accurate description of the exception(s) granted and the terms and conditions to be observed by the licensee; and
(7) Exception(s) shall be voided if the licensee fails to maintain compliance with this section or other applicable laws and regulations that govern narcotic treatment programs.
NOTE

Authority cited: Sections 11755, 11835, 11839.3 and 11839.20, Health and Safety Code. Reference: Section 11839.3, Health and Safety Code.
HISTORY

1. Change without regulatory effect renumbering and amending parts of former section 10007 to 10425 filed 6-3-91 pursuant to section 100, title 1, California Code of Regulations (Register 91, No. 34).
2. Amendment of section heading, first paragraph and subsection (7) filed 3-15-96 as an emergency; operative 3-15-96 (Register 96, No. 11). A Certificate of Compliance must be transmitted to OAL by 7-13-96 or emergency language will be repealed by operation of law on the following day.
3. Amendment of section heading, first paragraph and subsection (7) refiled 7-8-96 as an emergency; operative 7-12-96 (Register 96, No. 28). A Certificate of Compliance must be transmitted to OAL by 11-12-96 or emergency language will be repealed by operation of law on the following day.
4. Amendment of section heading, first paragraph and subsection (7) refiled 10-23-96 as an emergency; operative 10-29-96 (Register 96, No. 43). A Certificate of Compliance must be transmitted to OAL by 2-26-97 or emergency language will be repealed by operation of law on the following day.
5. Amendment of section heading, first paragraph and subsection (7) refiled 2-11-97 as an emergency; operative 2-24-97 (Register 97, No. 7). A Certificate of Compliance must be transmitted to OAL by 6-24-97 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 2-11-97 order transmitted to OAL 3-4-97; disapproved by OAL and order of repeal as to 2-11-97 order filed 4-15-97 (Register 97, No. 16).
7. Amendment of section heading, first paragraph and subsection (7) filed 4-15-97 as an emergency; operative 4-15-97 (Register 97, No. 16). A Certificate of Compliance must be transmitted to OAL by 8-13-97 or emergency language will be repealed by operation of law on the following day.
8. Certificate of Compliance as to 4-15-97 order transmitted to OAL 6-2-97 and filed 6-13-97 (Register 97, No. 24).
9. Change without regulatory effect designating first paragraph as subsection (a) and amending subsection (a)(7) and Note filed 4-19-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 16).
Chapter 5. Licensure of Residential Alcoholism or Drug Abuse Recovery or Treatment Facilities
Subchapter 1. Purpose and Definitions
Article 1. Application and Purpose of Chapter
§10500. Application and Purpose of Chapter.
Note     •     History

(a) The regulations in this chapter shall apply to all alcoholism or drug abuse recovery or treatment facilities licensed under chapter 7.5 (commencing with Section 11834.01), Part 2, Division 10.5 of the Health and Safety Code.
(b) The licensee shall comply with the provisions of Chapter 7.5 (commencing with Section 11834.01), Part 2, Division 10.5 of the Health and Safety Code and the regulations contained in this chapter.
NOTE

Authority cited: Sections 11755, 11834.50 and 11835, Health and Safety Code. Reference: Sections 11834.01 and 11834.21, Health and Safety Code.
HISTORY

1. New section filed 2-7-85 as an emergency; operative 2-7-85 (Register 85, No. 8).
2. Repealed by operation of law 2-1-86. Readoption of section filed 1-24-86 as an emergency; operative 2-1-86 (Register 86, No. 4).
3. Repealed by operation of law 6-2-86. Readoption of section filed 5-30-86 as an emergency; operative 6-1-86 (Register 86, No. 22).
4. Repealed by operation of law 9-29-86. Readoption of section filed 9-26-86 as an emergency; operative 9-29-86 (Register 86, No. 39). A Certificate of Compliance must be transmitted to OAL no later than 1-27-87 or section will be repealed by operation of law (Government Code section 11346.1(g)). 
5. Readoption of section filed 1-26-87 as an emergency; operative 1-27-87. (Register 87, No. 5). A Certificate of Compliance must be transmitted to OAL no later than 5-26-87 or section will be repealed by operation of law (Government Code section 11346.1(g)).
6. Readoption of section filed 5-26-87 as an emergency; operative 5-26-87 (Register 87, No. 22). A Certificate of Compliance must be transmitted to OAL no later than 9-23-87 or section will be repealed by operation of law (Government Code section 11346.1(g)).
7. Repealer and new section transmitted to OAL 9-23-87 and filed 10-23-87; operative 10-23-87 (Register 87, No. 43).
8. Amendment of subsection (a) filed 12-27-89 as an emergency; operative 1-1-90 (Register 90, No. 1). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed by operation of law 5-1-90.
9. Amendment of subsection (a) refiled 4-30-90 as an emergency; operative 4-30-90 (Register 90, No. 22). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed by operation of law on 8-28-90.
10. Certificate of Compliance as to 4-30-90 order including amendment of NOTE transmitted to OAL 8-27-90 and filed 9-26-90 (Register 90, No. 44).
11. Amendment of section heading, text and Note filed 4-18-94; operative 5-18-94 (Register 94, No. 16).
12. Change without regulatory effect amending chapter heading and adopting new subchapter 1 and article 1  headings filed 11-17-94 pursuant to section 100, title 1, California Code of Regulations (Register 94, No. 46).
Article 2. Definitions
§10501. Definitions.
Note     •     History

(a) The following general definitions shall apply to terminology used in Chapter 5, except where specifically noted otherwise:
(1) “Adolescent” means an individual between fourteen (14) and eighteen (18) years of age, who has not been emancipated pursuant to Part 6 (commencing with Section 7000), Division 11 of the Family Code.
(2) “Adult” means a person who is 18 years of age or older or a minor who has been emancipated pursuant to Part 6 (commencing with Section 7000), Division 11 of the Family Code.
(3) “Adult Facility” means a residential alcoholism or drug abuse recovery or treatment facility which is designed to serve adults.
(4) “Alcoholism or Drug Abuse Recovery or Treatment Planning” means the development of a resident specific goal and a continuum of recovery or treatment objectives. It is the licensee's responsibility to provide the activities to facilitate this process.
(5) “Alcoholism or Drug Abuse Recovery or Treatment Service” means a service which is designed to promote treatment and maintain recovery from alcohol or drug problems which includes one or more of the following: detoxification, group sessions, individual sessions, educational sessions, and/or alcoholism or drug abuse recovery or treatment planning.
(6) “Alcoholism or Drug Abuse Recovery or Treatment Facility” means any facility, building or group of buildings which is maintained and operated to provide 24-hour residential nonmedical alcoholism or drug abuse recovery or treatment services.
(7) “Authorized Representative” means any person or entity authorized by law to act on behalf of any resident of a residential alcoholism or drug abuse recovery or treatment facility.  An authorized representative may be a minor's parent, a legal guardian, a conservator, a public placement agency, or a person granted power of attorney by the resident.
(8) “Capacity” means the maximum number of residents for whom the facility has been licensed to provide services at any one time.
(9) “Conviction” means a final judgment on a verdict or finding of guilty, a plea of guilty, or a plea of nolo contendere.
(10) “Day” means calendar day unless otherwise specified.
(11) “Detoxification Service” means a service designed to support and to assist an individual in the alcohol and/or drug withdrawal process and to explore plans for continued service.
(12) “Department” means the Department of Alcohol and Drug Programs.
(13) “Director” means the Director of the Department of Alcohol and Drug Programs.
(14) “Education Session” means a planned, structured, didactic presentation of information related to alcoholism and alcohol or drug abuse.
(15) “Evaluator” means any agent or employee of the Department who is authorized by the Director to conduct licensing evaluations on behalf of the Department.
(16) “Facility” means a residential alcoholism or drug abuse recovery or treatment facility.
(17) “Facility Administrator” means the individual responsible for the overall management of a residential alcoholism or drug abuse recovery or treatment facility.
(18) “Goal” means a general statement of the applicant's or licensee's purpose in operating an alcoholism or drug recovery or treatment facility.
(19) “Group Session” means group interaction that encourages residents to identify and resolve alcohol- and/or drug-related problems, to examine personal attitudes and behavior, and provides support for positive changes in life style and recovery from alcoholism and/or drug abuse.
(20) “Illicit drug” means any substance defined as a drug in Section 11014, Chapter 1, Division 10 of the Health and Safety Code, except:
(A) Drugs or medications prescribed by a physician or other person authorized to prescribe drugs, pursuant to Section 4036, Chapter 9, Division 2 of the Business and Professions Code, and used in the dosage and frequency prescribed; or
(B) Over-the-counter drugs or medications used in the dosage and frequency described on the box, bottle, or package insert,
(21) “Individual Session” means a private interaction between a resident and program staff which focuses on identification and resolution of alcohol- and/or drug-related problems, to examine personal attitudes and behavior and other barriers to recovery.
(22) “Licensee” means the entity identified on the license(s), issued by the Department of Alcohol and Drug Programs, to provide residential alcoholism or drug abuse recovery or treatment services in accordance with the provisions of Chapter 7.5 (commencing with Section 11834.01), Part 2, Division 10.5 of the Health and Safety Code and the requirements of this chapter.
(23) “Objective” means a specific, measurable step which can be evaluated to assess the licensee's progress toward the achievement of the stated goal.
(24) “Physician” means a person licensed as a physician and surgeon by the Medical Board of California or by the Osteopathic Medical Board of California.
(25) “Premises” means the land, buildings, or other structures included in the license issued for an alcoholism or drug abuse recovery or treatment facility.
(26) “Resident” means an individual who resides in and receives services from a residential alcoholism or drug abuse recovery or treatment facility.
(27) “Residential Alcoholism or Drug Abuse Recovery or Treatment Facility” means any facility, building, or group of buildings which is maintained and operated to provide 24-hour, residential, nonmedical, alcoholism or drug abuse recovery or treatment services.
(28) “Revocation of License” means a disciplinary action taken by the Department to rescind a license issued pursuant to the provisions of Chapter 7.5 (commencing with Section 11834.01), Part 2, Division 10.5 of the Health and Safety Code and the requirements of this chapter.
(29) “Substantial Compliance” means the absence of any Class A or Class B deficiencies, as defined in Section 10543. 
(30) “Suspension of License” means a disciplinary action taken by the Department to discontinue program operations, as permitted under the license, for a specified period of time.
(31) “Volunteer” means uncompensated personnel.
NOTE

Authority cited: Sections 11755, 11834.50 and 11835, Health and Safety Code. Reference: Sections 11834.01, 11834.02 and 11834.50, Health and Safety Code.
HISTORY

1. New section filed 2-7-85 as an emergency; operative 2-7-85 (Register 85, No. 8).
2. Repealed by operation of law 2-1-86. Readoption of section filed 1-24-86 as an emergency; operative 2-1-86 (Register 86, No. 4).
3. Repealed by operation of law 6-2-86. Readoption of section filed 5-30-86 as an emergency; operative 6-1-86 (Register 86, No. 22).
4. Repealed by operation of law 9-29-86. Readoption of section filed 9-26-86 as an emergency; operative 9-29-86 (Register 86, No. 39). A Certificate of Compliance must be transmitted to OAL no later than 1-27-87 or section will be repealed by operation of law (Government Code section 11346.1(g)) 
5. Readoption of section filed 1-26-87 as an emergency; operative 1-27-87 (Register 87, No. 5). A Certificate of Compliance must be transmitted to OAL no later than 5-26-87 or section will be repealed by operation of law (Government Code section 11346.1(g)) 
6. Readoption of section filed 5-26-87 as an emergency; operative 5-26-87 (Register 87, No. 22). A Certificate of Compliance must be transmitted to OAL no later than 9-23-87 or section will be repealed by operation of law (Government Code section 11346.1(g)).
7. Repealer and new section transmitted to OAL 9-23-87 and filed 10-23-87; operative 10-23-87 (Register 87, No. 43).
8. Amendment of subsection (a) filed 12-27-89 as an emergency; operative 1-1-90 (Register 90, No. 1). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed by operation of law on 5-1-90.
9. Amendment of subsection (a) refiled 4-30-90 as an emergency; operative 4-30-90 (Register 90, No. 22). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed by operation of law on 8-28-90.
10. Certificate of Compliance as to 4-30-90 order including amendment of NOTE transmitted to OAL 8-27-90 and filed 9-26-90 (Register 90, No. 44).
11. Amendment of section and Note filed 4-18-94; operative 5-18-94 (Register 94, No. 16).
12. Change without regulatory effect adopting new article 2 heading filed 11-17-94 pursuant to section 100, title 1, California Code of Regulations (Register 94, No. 46).
13. Repealer of subsection (a)(2) and subsection renumbering filed 3-18-97; operative 4-17-97 (Register 97, No. 12).
14. Change without regulatory effect amending subsections (a)(1)-(2) filed 6-15-99 pursuant to section 100, title 1, California Code of Regulations (Register 99, No. 25).
15. Change without regulatory effect amending definitions of “Adolescent” and “Adult” filed 6-12-2007 pursuant to section 100, title 1, California Code of Regulations (Register 2007, No. 24).
Subchapter 2. Licensing Process
Article 1. Departmental Authority to License
§10502. Departmental Authority to License.
Note     •     History

The Department of Alcohol and Drug Programs shall license residential alcoholism or drug abuse recovery or treatment facilities pursuant to the provisions of Chapter 7.5 (commencing with Section 11834.01), Part 2, Division 10.5 of the Health and Safety Code and the requirements of this chapter.
NOTE

Authority cited: Sections 11755, 11834.50 and 11835, Health and Safety Code.  Reference: Sections 11834.01 and 11834.30, Health and Safety Code.
HISTORY

1. New section filed 4-18-94; operative 5-18-94 (Register 94, No. 16).
2. Change without regulatory effect  adopting new subchapter 2 and article 1  headings filed 11-17-94 pursuant to section 100, title 1, California Code of Regulations (Register 94, No. 46).
Article 2. Requirement for Licensure
§10505. Requirement for Licensure.
Note     •     History

(a) Except for facilities operated by a State agency, no person, firm, partnership, association, corporation, county, city, public agency or other governmental entity shall operate, establish, manage, conduct, or maintain a facility which provides 24-hour nonmedical, residential, alcoholism or drug abuse recovery or treatment services to adults without first obtaining a current, valid license from the Department.
(b) Except for facilities operated by a State agency, no person, firm, partnership, association, corporation, county, city, public agency or other governmental entity shall hold out, advertise, or represent by any means that it is operating, establishing, managing, conducting, or maintaining a facility which provides 24-hour nonmedical, residential, alcoholism or drug abuse recovery or treatment services to adults without first obtaining a current, valid license from the Department.
(c) As used in this regulation, “operated by a State agency” shall not include agencies which provide services through a contractual arrangement with a State agency.
NOTE

Authority cited: Sections 11755, 11834.50 and 11835, Health and Safety Code. Reference: Sections 11834.01 and 11834.30, Health and Safety Code.
HISTORY

1. New section filed 2-7-85 as an emergency; operative 2-7-85 (Register 85, No. 8).
2. Repealed by operation of law 2-1-86. Readoption of section filed 1-24-86 as an emergency; operative 2-1-86 (Register 86, No. 4).
3. Repealed by operation of law 6-2-86. Readoption of section filed 5-30-86 as an emergency; operative 6-1-86 (Register 86, No. 22).
4. Repealed by operation of law 9-29-86. Readoption of section filed 9-26-86 as an emergency; operative 9-29-86. (Register 86, No. 39). A Certificate of Compliance must be transmitted to OAL no later than 1-27-87 or section will be repealed by operation of law (Government Code section 11346.1(g)). 
5. Readoption of section filed 1-26-87 as an emergency; operative 1-27-87 (Register 87, No. 5). A Certificate of Compliance must be transmitted to OAL no later than 5-26-87 or section will be repealed by operation of law (Government Code section 11346.1(g)).
6. Readoption of section filed 5-26-87 as an emergency; operative 5-26-87 (Register 87, No. 22). A Certificate of Compliance must be transmitted to OAL no later than 9-23-87 or section will be repealed by operation of law(Government Code section 11346.1(g)).
7. Repealer and new section transmitted to OAL 9-23-87 and filed 10-23-87; operative 10-23-87 (Register 87, No. 43).
8. Amendment filed 12-27-89 as an emergency; operative 1-1-90 (Register 90, No. 1). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed by operation of law on 5-1-90.
9. Amendment refiled 4-30-90 as an emergency; operative 4-30-90 (Register 90, No. 22). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed by operation of law on 8-28-90.
10. Certificate of Compliance as to 4-30-90 order including amendment of NOTE transmitted to OAL 8-27-90 and filed 9-26-90 (Register 90, No. 44).
11. Amendment of section heading, text and Note filed 4-18-94; operative 5-18-94 (Register 94, No. 16).
12. Change without regulatory effect adopting new article 2 heading filed 11-17-94 pursuant to section 100, title 1, California Code of Regulations (Register 94, No. 46).
§10506. Operating Without a License. [Repealed]
Note     •     History

NOTE

Authority cited: Section 11834.13, Health and Safety Code. Reference: Sections 11834.10, 11834.12 and 11834.19, Health and Safety Code.
HISTORY

1. New section filed 2-7-85 as an emergency; operative 2-7-85 (Register 85, No. 8).
2. Repealed by operation of law 2-1-86. Readoption of section filed 1-24-86 as an emergency; operative 2-1-86 (Register 86, No. 4).
3. Repealed by operation of law 6-2-86. Readoption of section filed 5-30-86 as an emergency; operative 6-1-86 (Register 86, No. 22).
4. Repealed by operation of law 9-29-86. Readoption of section filed 9-26-86 as an emergency; operative 9-29-86 (Register 86, No. 39). A Certificate of Compliance must be transmitted to OAL no later than 1-27-87 or section will be repealed by operation of law (Government Code section 11346.1(g)).
5. Readoption of section filed 1-26-87 as an emergency; operative 1-27-87 (Register 87, No. 5). A Certificate of Compliance must be transmitted to OAL no later than 5-26-87 or section will be repealed by operation of law (Government Code section 11346.1(g)).
6. Readoption of section filed 5-26-87 as an emergency; operative 5-26-87 (Register 87, No. 22). A Certificate of Compliance must be transmitted to OAL no later than 9-23-87 or section will be repealed by operation of law (Government Code section 11346.1(g)).
7. Repealer and new section transmitted to OAL 9-23-87 and filed 10-23-87; operative 10-23-87 (Register 87, No. 43).
8. Amendment of subsection (a) filed 12-27-89 as an emergency; operative 1-1-90 (Register 90, No. 1). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed by operation of law on 5-1-90.
9. Amendment of subsection (a) refiled 4-30-90 as an emergency; operative 4-30-90 (Register 90, No. 22). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed by operation of law on 8-28-90.
10. Certificate of Compliance as to 4-30-90 order including amendment of NOTE transmitted to OAL 8-27-90 and filed 9-26-90 (Register 90, No. 44).
11. Repealer filed 4-18-94; operative 5-18-94 (Register 94, No. 16).
§10507. Exemption from Licensure. [Repealed]
Note     •     History

NOTE

Authority cited: Section 11834.13, Health and Safety Code. Reference: Sections 11834.10 and 11834.19, Health and Safety Code.
HISTORY

1. New section filed 2-7-85 as an emergency; operative 2-7-85 (Register 85, No. 8).
2. Repealed by operation of law 2-1-86. Readoption of section filed 1-24-86 as an emergency; operative 2-1-86 (Register 86, No. 4).
3. Repealed by operation of law 6-2-86. Readoption of section filed 5-30-86 as an emergency; operative 6-1-86 (Register 86, No. 22).
4. Repealed by operation of law 9-29-86. Readoption of section filed 9-26-86as an emergency; operative 9-29-86 (Register 86, No. 39). A Certificate of Compliance must be transmitted to OAL no later than 1-27-87 or section will be repealed by operation of law (Government Code section 11346.1(g)).
5. Readoption of section filed 1-26-87 as an emergency; operative 1-27-87 (Register 87, No. 5). A Certificate of Compliance must be transmitted to OAL no later than 5-26-87 or section will be repealed by operation of law (Government Code section 11346.1(g)).
6. Readoption of section filed 5-26-87 as an emergency; operative 5-26-87 (Register 87, No. 22). A Certificate of Compliance must be transmitted to OAL no later than 9-23-87 or section will be repealed by operation of law (Government Code section 11346.1(g)).
7. Repealer and new section transmitted to OAL 9-23-87 and filed 10-23-87; operative 10-23-87 (Register 87, No. 43).
8. Amendment of initial paragraph and subsections (h) and (j) filed 12-27-89 as an emergency; operative 1-1-90 (Register 90, No. 1). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed by operative of law on 5-1-90.
9. Amendment of initial paragraph and subsections (h) and (j) refiled 4-30-90 as an emergency; operative 4-30-90 (Register 90, No. 22). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed by operation of law on 8-28-90.
10. Certificate of Compliance as to 4-30-90 order including amendment of NOTE transmitted to OAL 8-27-90 and filed 9-26-90 (Register 90, No. 44).
11. Repealer filed 4-18-94; operative 5-18-94 (Register 94, No. 16).
§10508. Licensure of Integral Facilities.
Note     •     History

(a) The licensee may provide housing and alcoholism or drug abuse recovery or treatment services in the same building or the licensee may house residents in one building and provide services in another building, provided that all of the buildings are:
(1) Integral components of the same facility,
(2) Under the control and management of the same licensee, and
(3) Licensed as a single facility.
(b) Multiple facility programs which do not meet the criteria of Subsection (a) of this regulation shall secure independent licenses for each separate facility in accordance with the requirements of this chapter.
NOTE

Authority cited: Section 11755, 11834.50 and 11835, Health and Safety Code. Reference: Sections 11834.02 and 11834.30, Health and Safety Code.
HISTORY

1. New section filed 2-7-85 as an emergency; operative 2-7-85 (Register 85, No. 8).
2. Repealed by operation of law 2-1-86. Readoption of section filed 1-24-86 as an emergency; operative 2-1-86 (Register 86, No. 4).
3. Repealed by operation of law 6-2-86. Readoption of section filed 5-30-86 as an emergency; operative 6-1-86 (Register 86, No. 22).
4. Repealed by operation of law 9-29-86. Readoption of section filed 9-26-86 as an emergency; operative 9-29-86 (Register 86, No. 39). A Certificate of Compliance must be transmitted to OAL no later than 1-27-87 or section will be repealed by operation of law (Government Code section 11346.1(g)).
5. Readoption of section filed 1-26-87 as an emergency; operative 1-27-87 (Register 87, No. 5). A Certificate of Compliance must be transmitted to OAL no later than 5-26-87 or section will be repealed by operation of law (Government Code section 11346.1(g)).
6. Readoption of section filed 5-26-87 as an emergency; operative 5-26-87 (Register 87, No. 22). A Certificate of Compliance must be transmitted to OAL no later than 9-23-87 or section will be repealed by operation of law (Government Code section 11346.1(g)).
7. Repealer and new section transmitted to OAL 9-23-87 and filed 10-23-87; operative 10-23-87 (Register 87, No. 43).
8. Amendment of subsection (a)(3) filed 12-27-89 as an emergency; operative 1-1-90 (Register 90, No. 1). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed by operation of law on 5-1-90.
9. Amendment of subsection (a)(3) refiled 4-30-90 as an emergency; operative 4-30-90 (Register 90, No. 22). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed by operation of law on 8-28-90.
10. Certificate of Compliance as to 4-30-90 order including amendment of NOTE transmitted to OAL 8-27-90 and filed 9-26-90 (Register 90, No. 44).
11. Amendment of section heading, text and Note filed 4-18-94; operative 5-18-94 (Register 94, No. 16).
12. Change without regulatory effect amending Note filed 6-15-99 pursuant to section 100, title 1, California Code of Regulations (Register 99, No. 25).
13. Change without regulatory effect amending subsection (a)(1) filed 6-12-2007 pursuant to section 100, title 1, California Code of Regulations (Register 2007, No. 24).
§10509. Limitations on Capacity. [Repealed]
Note     •     History

NOTE

Authority cited: Section 11834.13, Health and Safety Code. Reference: Sections 11834.12 and 11834.14(b), Health and Safety Code.
HISTORY

1. New section filed 2-7-85 as an emergency; operative 2-7-85 (Register 85, No. 8).
2. Repealed by operation of law 2-1-86. Readoption of section filed 1-24-86 as an emergency; operative 2-1-86 (Register 86, No. 4).
3. Repealed by operation of law 6-2-86. Readoption of section filed 5-30-86 as an emergency; operative 6-1-86 (Register 86, No. 22).
4. Repealed by operation of law 9-29-86. Readoption of section filed 9-26-86 as an emergency; operative 9-29-86. A Certificate of Compliance must be transmitted to OAL no later than 1-27-87, or section will be repealed by operation of law (Gov. C. 11346.1(g)) (Register 86, No. 39).
5. Readoption of section filed 1-26-87 as an emergency; operative 1-27-87. A Certificate of Compliance must be transmitted to OAL no later than 5-26-87, or section will be repealed by operation of law (Gov. C. 11346.1(g)) (Register 87, No. 5).
6. Readoption of section filed 5-26-87 as an emergency; operative 5-26-87. A Certificate of Compliance must be transmitted to OAL no later than 9-23-87, or section will be repealed by operation of law (Gov. C. 11346.1(g)) (Register 87, No. 22). 
7. Repealer and new section transmitted to OAL 9-23-87 and filed 10-23-87; operative 10-23-87 (Register 87, No. 43).
8. Renumbering of former section 10509 to section 10513 filed 4-18-94; operative 5-18-94 (Register 94, No. 16).
§10510. Prohibition against False Claims Regarding Licensure.
Note     •     History

No licensee, officer, or employee of a licensee shall make or disseminate any false or misleading statement regarding licensure of the facility or any of the services provided by the facility.
NOTE

Authority cited: Sections 11755, 11834.50 and 11835, Health and Safety Code. Reference: Section 11834.36, Health and Safety Code.
HISTORY

1. New section filed 2-7-85 as an emergency; operative 2-7-85 (Register 85, No. 8).
2. Repealed by operation of law 2-1-86. Readoption of section filed 1-24-86 as an emergency; operative 2-1-86 (Register 86, No. 4).
3. Repealed by operation of law 6-2-86. Readoption of section filed 5-30-86 as an emergency; operative 6-1-86 (Register 86, No. 22).
4. Repealed by operation of law 9-29-86. Readoption of section filed 9-26-86 as an emergency; operative 9-29-86. A Certificate of Compliance must be transmitted to OAL no later than 1-27-87, or section will be repealed by operation of law (Gov. C. 11346.1(g)) (Register 86, No. 39).
5. Readoption of section filed 1-26-87 as an emergency; operative 1-27-87. A Certificate of Compliance must be transmitted to OAL no later than 5-26-87, or section will be repealed by operation of law (Gov. C. 11346.1(g)) (Register 87, No. 5).
6. Readoption of section filed 5-26-87 as an emergency; operative 5-26-87. A Certificate of Compliance must be transmitted to OAL no later than 9-23-87, or section will be repealed by operation of law (Gov. C. 11346.1(g)) (Register 87, No. 22).
7. Repealer and new section transmitted to OAL 9-23-87 and filed 10-23-87; operative 10-23-87 (Register 87, No. 43).
8. Amendment of section heading, text and Note filed 4-18-94; operative 5-18-94 (Register 94, No. 16).
§10511. Requirement to Post License.
Note     •     History

The licensee shall:
(a) Post the license in a conspicuous place in the facility, where it can be seen by anyone entering the facility, and
(b) Make the license available for inspection upon request.
NOTE

Authority cited: Sections 11755, 11834.50 and 11835, Health and Safety Code. Reference: Section 11834.30, Health and Safety Code.
HISTORY

1. New section filed 2-7-85 as an emergency; operative 2-7-85 (Register 85, No. 8).
2. Repealed by operation of law 2-1-86. Readoption of section filed 1-24-86 as an emergency; operative 2-1-86 (Register 86, No. 4).
3. Repealed by operation of law 6-2-86. Readoption of section filed 5-30-86 as an emergency; operative 6-1-86 (Register 86, No. 22).
4. Repealed by operation of law 9-29-86. Readoption of section filed 9-26-86 as an emergency; operative 9-29-86. A Certificate of Compliance must be transmitted to OAL no later than 1-27-87, or section will be repealed by operation of law (Gov. C. 11346.1(g)) (Register 86, No. 39).
5. Readoption of section filed 1-26-87 as an emergency; operative 1-27-87. A Certificate of Compliance must be transmitted to OAL no later than 5-26-87, or section will be repealed by operation of law (Gov. C. 11346.1(g)) (Register 87, No. 5).
6. Readoption of section filed 5-26-87 as an emergency; operative 5-26-87. A Certificate of Compliance must be transmitted to OAL no later than 9-23-87, or section will be repealed by operation of law (Gov. C. 11346.1(g)) (Register 87, No. 22).
7. Repealer and new section transmitted to OAL 9-23-87 and filed 10-23-87; operative 10-23-87 (Register 87, No. 43).
8. Amendment of section heading, text and Note filed 4-18-94; operative 5-18-94 (Register 94, No. 16).
9. Change without regulatory effect amending subsection (a) filed 6-12-2007 pursuant to section 100, title 1, California Code of Regulations (Register 2007, No. 24).
§10512. Alteration of License.
Note     •     History

No licensee, officer, or employee of a licensee shall alter a license or disseminate an altered license.
NOTE

Authority cited: Sections 11755, 11834.50 and 11835, Health and Safety Code.  Reference: Section 11834.30, Health and Safety Code.
HISTORY

1. New section filed 4-18-94; operative 5-18-94 (Register 94, No. 16).
§10513. Adherence to Express Conditions of Licensure.
Note     •     History

A licensee shall not operate a facility beyond the conditions and limitations specified on the license.
NOTE

Authority cited: Sections 11755, 11834.50 and 11835, Health and Safety Code.  Reference: Sections 11834.10 and 11834.30, Health and Safety Code.
HISTORY

1. Renumbering and amendment of former section 10509 to section 10513 filed 4-18-94; operative 5-18-94 (Register 94, No. 16). 
Article 3. Application for Licensure
§10514. Who May Apply for Licensure.
Note     •     History

Any adult or firm, partnership, association, corporation, county, city, public agency, or other governmental entity may apply for a license regardless of age, sex, race, religion, color, political affiliation, national origin, disability, marital status, or sexual orientation.
NOTE

Authority cited: Sections 11755, 11834.50 and 11835, Health and Safety Code. Reference: Sections 11834.30 and 11834.50, Health and Safety Code.
HISTORY

1. Renumbering and amendment of former section 10515 to section 10514 filed 4-18-94; operative 5-18-94 (Register 94, No. 16).  For prior history, see Register 87, No. 43.
2. Change without regulatory effect relocating and amending article 3 heading filed 11-17-94 pursuant to section 100, title 1, California Code of Regulations (Register 94, No. 46).
§10515. How to Obtain Application Information.
Note     •     History

Application information may be obtained by contacting the Licensing and Certification Division, Department of Alcohol and Drug Programs, 1700 K Street, Sacramento, CA  95811-4037 [telephone: (916) 322-2911].
NOTE

Authority cited: Sections 11755, 11834.50 and 11835, Health and Safety Code.  Reference: Section 11834.03, Health and Safety Code.
HISTORY

1. Renumbering of former section 10515 to section 10514 and new section filed 4-18-94; operative 5-18-94 (Register 94, No. 16).  For prior history, see Register 87, No. 43.
2. Change without regulatory effect relocating article 3 heading filed 11-17-94 pursuant to section 100, title 1, California Code of Regulations (Register 94, No. 46).
3. Change without regulatory effect amending section filed 6-12-2007 pursuant to section 100, title 1, California Code of Regulations (Register 2007, No. 24).
4. Change without regulatory effect amending section filed 3-6-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 10).
§10516. Content of Application.
Note     •     History

(a) The application and supporting documents shall contain the following:
(1) The name or proposed name and address of the facility;
(2) The name and mailing address of the applicant;
(A) If the applicant is a partnership, the name and principal business address of each partner, and a copy of the partnership agreement as filed with the county or state, as applicable;
(B) If the applicant is a corporation or association, the name and address of the principal place of business of the corporation or association; the name and title of the officer or employee who acts on behalf of the corporation or association; and a copy of the articles of incorporation and bylaws.
(3) The name and address of owner of facility premises if applicant is leasing or renting;
(4) The maximum number of residents to be served;
(5) A description of the demographics of the resident population to be served;
(6) The name of the administrator;
(7) A plan of operation as specified in Section 10517(a); and 
(8) A statement describing the process for safeguarding the personal property of the residents, if it is the licensee's policy to accept such property for safekeeping.
(b) The applicant shall sign the application. 
(1) If the applicant is a partnership, the application shall be signed by each partner.
(2) If the applicant is a firm, association, corporation, county, city, public agency or other governmental entity, the application shall be signed by the chief executive officer or the individual legally responsible for representing the firm, association, corporation, county, city, public agency, or other governmental entity.
NOTE

Authority cited: Section 11755, 11834.50 and 11835, Health and Safety Code. Reference: Sections 11834.03 and 11834.09, Health and Safety Code.
HISTORY

1. New section filed 2-7-85 as an emergency; operative 2-7-85 (Register 85, No. 8).
2. Repealed by operation of law 2-1-86. Readoption of section filed 1-24-86 as an emergency; operative 2-1-86 (Register 86, No. 4).
3. Repealed by operation of law 6-2-86. Readoption of section filed 5-30-86 as an emergency; operative 6-1-86 (Register 86, No. 22).
4. Repealed by operation of law 9-29-86. Readoption of section filed 9-26-86 as an emergency; operative 9-29-86. A Certificate of Compliance must be transmitted to OAL no later than 1-27-87, or section will be repealed by operation of law (Gov. C. 11346.1(g)) (Register 86, No. 39).
5. Readoption of section filed 1-26-87 as an emergency; operative 1-27-87. A Certificate of Compliance must be transmitted to OAL no later than 5-26-87, or section will be repealed by operation of law (Gov. C. 11346.1(g)) (Register 87, No. 5).
6. Readoption of section filed 5-26-87 as an emergency; operative 5-26-87. A Certificate of Compliance must be transmitted to OAL no later than 9-23-87, or section will be repealed by operation of law (Gov. C. 11346.1(g)) (Register 87, No. 22).
7. Repealer and new section transmitted to OAL 9-23-87 and filed 10-23-87; operative 10-23-87 (Register 87, No. 43).
8. Amendment of section heading, text and Note filed 4-18-94; operative 5-18-94 (Register 94, No. 16).
§10517. Documentation to be Submitted with Application.
Note     •     History

(a) As a condition of licensure, each applicant shall submit to the Department the following documents with the application for licensure: 
(1) A valid and appropriate fire clearance issued from the fire authority having jurisdiction for the area in which the facility is located.  The fire clearance shall include a determination of the number of beds for ambulatory residents and for nonambulatory residents in the facility and any restrictions regarding nonambulatory clearances.
(2) A current, written, plan of operation, containing at least:
(A) A statement of program goals and objectives;
(B) An outline of activities and services to be provided by the licensee;
(C) A statement of the facility's resident admission policies and procedures;
(D) Assurance of nondiscrimination in employment practices and provision of benefits and services on the basis of race, color, national origin, religion, sex, or mental or physical disabilities, pursuant to Title VI of the Civil Rights Act of 1964 (Section 2000d, Title 42, United States Code), the Rehabilitation Act of 1973 (Section 794, Title 29, United States Code); the Americans with Disabilities Act of 1990 (Section 12132, Title 42, United States Code); Section 11135 of the California Government Code; and Chapter 6 (commencing with Section 10800), Division 4, Title 9 of the California Code of Regulations.
(E) A copy of the facility's resident admission agreement;
(F) A table of the administrative organization of the facility.
(G) A staffing plan, job descriptions, and minimum staff qualifications;
(H) A sketch of the grounds, showing buildings, driveways, fences, storage areas, pools, gardens, recreation areas, and other space used by residents;
(I) Floor plans which describe the dwelling capacity, intended use, and dimensions of the rooms;
(J) Sample menus and a schedule for one calendar week, indicating the times of day that meals are to be served; and
(K) Consultant and community resources to be utilized by the facility as part of its program.
(b) If water for human consumption is not from a municipal source, the applicant shall provide evidence of an on-site inspection of the source of the water and a bacteriological analysis which establishes the safety of the water for human consumption.  The inspection and analysis shall be conducted by the local health department, the State Department of Health Services, or a licensed commercial laboratory.  The licensee shall repeat the on-site inspection and water analysis at least once each calendar year.
NOTE

Authority cited: Sections 11755, 11834.50 and 11835, Health and Safety Code. Reference: Sections 11834.03 and 11834.09, Health and Safety Code.
HISTORY

1. New section filed 2-7-85 as an emergency; operative 2-7-85 (Register 85, No. 8).
2. Repealed by operation of law 2-1-86. Readoption of section filed 1-24-86 as an emergency; operative 2-1-86 (Register 86, No. 4).
3. Repealed by operation of law 6-2-86. Readoption of section filed 5-30-86 as an emergency; operative 6-1-86 (Register 86, No. 22).
4. Repealed by operation of law 9-29-86. Readoption of section filed 9-26-86 as an emergency; operative 9-29-86. A Certificate of Compliance must be transmitted to OAL no later than 1-27-87, or section will be repealed by operation of law (Gov. C. 11346.1(g)) (Register 86, No. 39).
5. Readoption of section filed 1-26-87 as an emergency; operative 1-27-87. A Certificate of Compliance must be transmitted to OAL no later than 5-26-87, or section will be repealed by operation of law (Gov. C. 11346.1(g)) (Register 87, No. 5).
6. Readoption of section filed 5-26-87 as an emergency; operative 5-26-87. A Certificate of Compliance must be transmitted to OAL no later than 9-23-87, or section will be repealed by operation of law (Gov. C. 11346.1(g)) (Register 87, No. 22).
7. Repealer and new section transmitted to OAL 9-23-87 and filed 10-23-87; operative 10-23-87 (Register 87, No. 43).
8. Amendment of section heading, text and Note filed 4-18-94; operative 5-18-94 (Register 94, No. 16).
§10518. Where to Submit Completed Applications.
Note     •     History

Applicants shall submit completed applications for licensure to the Licensing and Certification Division, Department of Alcohol and Drug Programs, 1700 K Street, Sacramento, CA  95811-4037.
As used in this regulation, “completed application” means an application for licensure which includes all of the information and documentation required in Sections 10516 and 10517 and all fees pursuant to Chapter 5.5, commencing with Section 10700.
NOTE

Authority cited: Sections 11755, 11833.04, 11834.50 and 11835, Health and Safety Code. Reference: Sections 11833.02, 11834.03 and 11834.09, Health and Safety Code.
HISTORY

1. Repealer and new section filed 4-18-94; operative 5-18-94 (Register 94, No. 16).  For prior history, see Register 90, No. 44.
2. Change without regulatory effect amending section filed 6-12-2007 pursuant to section 100, title 1, California Code of Regulations (Register 2007, No. 24).
3. Change without regulatory effect amending section filed 3-6-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 10).
4. Amendment of second paragraph and Note filed 6-29-2009 as an emergency; operative 6-29-2009 (Register 2009, No. 27). A Certificate of Compliance must be transmitted to OAL by 12-28-2009 or emergency language will be repealed by operation of law on the following day.
5. Amendment of second paragraph and Note refiled 12-21-2009 as an emergency; operative 12-27-2009 (Register 2009, No. 52). A Certificate of Compliance must be transmitted to OAL by 3-29-2010 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 12-21-2009 order transmitted to OAL 3-10-2010 and filed 4-20-2010 (Register 2010, No. 17).
§10519. Plan of Operation. [Repealed]
Note     •     History

NOTE

Authority cited: Section 11834.13, Health and Safety Code. Reference: Section 11834.14(a), (c), Health and Safety Code.
HISTORY

1. New section filed 2-7-85 as an emergency; operative 2-7-85 (Register 85, No. 8).
2. Repealed by operation of law 2-1-86. Readoption of section filed 1-24-86 as an emergency; operative 2-1-86 (Register 86, No. 4).
3. Repealed by operation of law 6-2-86. Readoption of section filed 5-30-86 as an emergency; operative 6-1-86 (Register 86, No. 22).
4. Repealed by operation of law 9-29-86. Readoption of section filed 9-26-86 as an emergency; operative 9-29-86. A Certificate of Compliance must be transmitted to OAL no later than 1-27-87, or section will be repealed by operation of law (Gov. C. 11346.1(g)) (Register 86, No. 39).
5. Readoption of section filed 1-26-87 as an emergency; operative 1-27-87. A Certificate of Compliance must be transmitted to OAL no later than 5-26-87, or section will be repealed by operation of law (Gov. C. 11346.1(g)) (Register 87, No. 5).
6. Readoption of section filed 5-26-87 as an emergency; operative 5-26-87. A Certificate of Compliance must be transmitted to OAL no later than 9-23-87, or section will be repealed by operation of law (Gov. C. 11346.1(g)) (Register 87, No. 22).
7. Repealer and new section transmitted to OAL 9-23-87 and filed 10-23-87; operative 10-23-87 (Register 87, No. 43).
8. Repealer filed 4-18-94; operative 5-18-94 (Register 94, No. 16).
§10521. Waivers. [Renumbered]
Note     •     History

NOTE

Authority cited: Sections 11755 and 11834.50, Health and Safety Code. Reference: Section 11834.50, Health and Safety Code.
HISTORY

1. New section filed 2-7-85 as an emergency; operative 2-7-85 (Register 85, No. 8).
2. Repealed by operation of law 2-1-86. Readoption of section filed 1-24-86 as an emergency; operative 2-1-86 (Register 86, No. 4).
3. Repealed by operation of law 6-2-86. Readoption of section filed 5-30-86 as an emergency; operative 6-1-86 (Register 86, No. 22).
4. Repealed by operation of law 9-29-86. Readoption of section filed 9-26-86 as an emergency; operative 9-29-86 (Register 86, No. 39). A Certificate of Compliance must be transmitted to OAL no later than 1-27-87 or section will be repealed by operation of law (Government Code section 11346.1(g)).
5. Readoption of section filed 1-26-87 as an emergency; operative 1-27-87 (Register 87, No. 5). A Certificate of Compliance must be transmitted to OAL no later than 5-26-87 or section will be repealed by operation of law (Government Code section 11346.1(g)).
6. Readoption of section filed 5-26-87 as an emergency; operative 5-26-87 (Register 87, No. 22). A Certificate of Compliance must be transmitted to OAL no later than 9-23-87 or section will be repealed by operation of law (Government Code section 11346.1(g)).
7. Repealer and new section transmitted to OAL 9-23-87 and filed 10-23-87; operative 10-23-87 (Register 87, No. 43).
8. Amendment of subsection (c) filed 12-27-89 as an emergency; operative 1-1-90 (Register 90, No. 1). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed by operation of law on 5-1-90.
9. Amendment of subsection (c) refiled 4-30-90 as an emergency; operative 4-30-90 (Register 90, No. 22). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed by operation of law on 8-28-90.
10. Certificate of Compliance as to 4-30-90 order including amendment of NOTE transmitted to OAL 8-27-90 and filed 9-26-90 (Register 90, No. 44).
11. Change without regulatory effect renumbering former section 10521 to new section 10589 filed 11-17-94 pursuant to section 100, title 1, California Code of Regulations (Register 94, No. 46).
§10522. Departmental Review of Application.
Note     •     History

(a) The Department shall:
(1) Review the application for licensure and attached documentation, required pursuant to Section 10517, to determine completeness and compliance with the requirements of this chapter;
(2) Complete a site visit to determine the applicant's ability to comply with the requirements of this chapter; and
(3) Determine the number of residents for whom a license shall be issued, based on the available living and sleeping space in the proposed facility, and not to exceed the capacity allowed in the fire clearance.
(b) Within 45 working days of receipt of the application, the Department shall notify the applicant whether the application is complete or incomplete.  If the application is incomplete, the Department shall specify the information or documentation which is missing, and the applicant shall have sixty (60) days from the date of the notification to provide the missing information or documentation.
(c) Within 120 working days of determining that the application is complete, the Department shall issue to the applicant by certified mail a license, in accordance with Section 10526, or a written notification of denial of licensure, pursuant to Section 10540.
(d) The Department may terminate the review of an application if:
(1) Departmental review determines that the applicant was formerly licensed to operate a community care facility or a residential alcoholism or drug abuse recovery or treatment facility, and the license was administratively suspended or revoked pursuant to Section 11500 et seq. of the Government Code or denied within two (2) years of the date the current application was submitted for review;
(2) The applicant fails to provide additional information within sixty (60) days, as required in Subsection (b) of this regulation;
(3) A fire clearance for the applicant's facility is denied;
(4) The applicant fails to submit the required fee for licensure; or
(5) The applicant submits a written request to withdraw the application.
(e) Termination of the review process shall not constitute denial of licensure.
(f) If the Department terminates a review pursuant to Subsection (d) of this regulation, the Department shall require a new application for licensure.
NOTE

Authority cited: Sections 11755, 11834.50 and 11835, Health and Safety Code. Reference: Section 11834.09, Health and Safety Code.
HISTORY

1. New section filed 2-7-85 as an emergency; operative 2-7-85 (Register 85, No. 8).
2. Repealed by operation of law 2-1-86. Readoption of section filed 1-24-86 as an emergency; operative 2-1-86 (Register 86, No. 4).
3. Repealed by operation of law 6-2-86. Readoption of section filed 5-30-86 as an emergency; operative 6-1-86 (Register 86, No. 22).
4. Repealed by operation of law 9-29-86. Readoption of section filed 9-26-86 as an emergency; operative 9-29-86. A Certificate of Compliance must be transmitted to OAL no later than 1-27-87, or section will be repealed by operation of law (Gov. C. 11346.1(g)) (Register 86, No. 39).
5. Readoption of section filed 1-26-87 as an emergency; operative 1-27-87. A Certificate of Compliance must be transmitted to OAL no later than 5-26-87, or section will be repealed by operation of law (Gov. C. 11346.1(g)) (Register 87, No. 5).
6. Readoption of section filed 5-26-87 as an emergency; operative 5-26-87. A Certificate of Compliance must be transmitted to OAL no later than 9-23-87, or section will be repealed by operation of law (Gov. C. 11346.1(g)) (Register 87, No. 22).
7. Repealer and new section transmitted to OAL 9-23-87 and filed 10-23-87; operative 10-23-87 (Register 87, No. 43).
8. Amendment of section heading, text and Note filed 4-18-94; operative 5-18-94 (Register 94, No. 16).
9. Change without regulatory effect amending subsections (b) and (d)(3)-(4) filed 6-12-2007 pursuant to section 100, title 1, California Code of Regulations (Register 2007, No. 24).
10. Change without regulatory effect amending subsection (b) filed 7-2-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 27).
§10523. Capacity Determination. [Repealed]
Note     •     History

NOTE

Authority cited: Section 11834.13, Health and Safety Code. Reference: Sections 11834.10, 11834.14(a), (b), and (d) and 11834.19, Health and Safety Code.
HISTORY

1. New section filed 2-7-85 as an emergency; operative 2-7-85 (Register 85, No. 8).
2. Repealed by operation of law 2-1-86. Readoption of section filed 1-24-86 as an emergency; operative 2-1-86 (Register 86, No. 4).
3. Repealed by operation of law 6-2-86. Readoption of section filed 5-30-86 as an emergency; operative 6-1-86 (Register 86, No. 22).
4. Repealed by operation of law 9-29-86. Readoption of section filed 9-26-86 as an emergency; operative 9-29-86 (Register 86, No. 39). A Certificate of Compliance must be transmitted to OAL no later than 1-27-87 or section will be repealed by operation of law (Government Code section 11346.1(g)).
5. Readoption of section filed 1-26-87 as an emergency; operative 1-27-87 (Register 87, No. 5). A Certificate of Compliance must be transmitted to OAL no later than 5-26-87 or section will be repealed by operation of law (Government Code section 11346.1(g)).
6. Readoption of section filed 5-26-87 as an emergency; operative 5-26-87 (Register 87, No. 22). A Certificate of Compliance must be transmitted to OAL no later than 9-23-87 or section will be repealed by operation of law (Government Code section 11346.1(g)).
7. Repealer and new section transmitted to OAL 9-23-87 and filed 10-23-87; operative 10-23-87 (Register 87, No. 43).
8. Amendment of subsection (b) filed 12-27-89 as an emergency; operative 1-1-90 (Register 90, No. 1). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed by operation of law on 5-1-90.
9. Amendment of subsection (b) refiled 4-30-90 as an emergency; operative 4-30-90 (Register 90, No. 22). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed by operation of law on 8-28-90.
10. Certificate of Compliance as to 4-30-90 order including amendment of NOTE transmitted to OAL 8-27-90 and filed 9-26-90 (Register 90, No. 44).
11. Repealer filed 4-18-94; operative 5-18-94 (Register 94, No. 16). 
§10524. Withdrawal of Application.
Note     •     History

(a) The applicant may withdraw an application for licensure by submitting a written request to the Deputy Director of the Licensing and Certification Division, Department of Alcohol and Drug Programs, 1700 K Street, Sacramento, CA  95811-4037. 
(b) Withdrawal shall not prohibit the Department from taking action to deny an application for licensure.
NOTE

Authority cited: Sections 11755, 11834.50 and 11835, Health and Safety Code. Reference: Sections 11834.30 and 11834.39, Health and Safety Code.
HISTORY

1. New section filed 2-7-85 as an emergency; operative 2-7-85 (Register 85, No. 8).
2. Repealed by operation of law 2-1-86. Readoption of section filed 1-24-86 as an emergency; operative 2-1-86 (Register 86, No. 4).
3. Repealed by operation of law 6-2-86. Readoption of section filed 5-30-86 as an emergency; operative 6-1-86 (Register 86, No. 22).
4. Repealed by operation of law 9-29-86. Readoption of section filed 9-26-86 as an emergency; operative 9-29-86. A Certificate of Compliance must be transmitted to OAL no later than 1-27-87, or section will be repealed by operation of law (Gov. C. 11346.1(g)) (Register 86, No. 39).
5. Readoption of section filed 1-26-87 as an emergency; operative 1-27-87. A Certificate of Compliance must be transmitted to OAL no later than 5-26-87, or section will be repealed by operation of law (Gov. C. 11346.1(g)) (Register 87, No. 5).
6. Readoption of section filed 5-26-87 as an emergency; operative 5-26-87. A Certificate of Compliance must be transmitted to OAL no later than 9-23-87, or section will be repealed by operation of law (Gov. C. 11346.1(g)) (Register 87, No. 22).
7. Repealer and new section transmitted to OAL 9-23-87 and filed 10-23-87; operative 10-23-87 (Register 87, No. 43).
8. Amendment of section and Note filed 4-18-94; operative 5-18-94 (Register 94, No. 16).
9. Change without regulatory effect amending subsection (a) filed 6-12-2007 pursuant to section 100, title 1, California Code of Regulations (Register 2007, No. 24).
10. Change without regulatory effect amending subsection (a) filed 3-6-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 10).
§10525. Provisional License. [Repealed]
Note     •     History

NOTE

Authority cited: Section 11834.13, Health and Safety Code. Reference: Section 11834.13(b), Health and Safety Code.
HISTORY

1. New section filed 2-7-85 as an emergency; operative 2-7-85 (Register 85, No. 8).
2. Repealed by operation of law 2-1-86. Readoption of section filed 1-24-86 as an emergency; operative 2-1-86 (Register 86, No. 4).
3. Repealed by operation of law 6-2-86. Readoption of section filed 5-30-86 as an emergency; operative 6-1-86 (Register 86, No. 22).
4. Repealed by operation of law 9-29-86. Readoption of section filed 9-26-86 as an emergency; operative 9-29-86. A Certificate of Compliance must be transmitted to OAL no later than 1-27-87, or section will be repealed by operation of law (Gov. C. 11346.1(g)) (Register 86, No. 39).
5. Readoption of section filed 1-26-87 as an emergency; operative 1-27-87. A Certificate of Compliance must be transmitted to OAL no later than 5-26-87, or section will be repealed by operation of law (Gov. C. 11346.1(g)) (Register 87, No. 5).
6. Readoption of section filed 5-26-87 as an emergency; operative 5-26-87. A Certificate of Compliance must be transmitted to OAL no later than 9-23-87, or section will be repealed by operation of law (Gov. C. 11346.1(g)) (Register 87, No. 22).
7. Repealer and new section transmitted to OAL 9-23-87 and filed 10-23-87; operative 10-23-87 (Register 87, No. 43).
8. Repealer filed 4-18-94; operative 5-18-94 (Register 94, No. 16).
§10526. Issuance of License.
Note     •     History

The Department shall issue a license to the applicant by certified mail if it determines, based on its review of the application for licensure pursuant to Section 10522, that the applicant is in compliance with the provisions of Chapter 7.5 (commencing with Section 11834.01), Part 2, Division 10.5 of the Health and Safety Code and the requirements of this chapter.  The license shall specify the maximum number of residents for whom the facility may provide residential alcoholism or drug abuse recovery or treatment services.
NOTE

Authority cited: Sections 11755, 11834.50 and 11835, Health and Safety Code. Reference: Sections 11834.01 and 11834.09, Health and Safety Code.
HISTORY

1. New section filed 2-7-85 as an emergency; operative 2-7-85 (Register 85, No. 8).
2. Repealed by operation of law 2-1-86. Readoption of section filed 1-24-86 as an emergency; operative 2-1-86 (Register 86, No. 4).
3. Repealed by operation of law 6-2-86. Readoption of section filed 5-30-86 as an emergency; operative 6-1-86 (Register 86, No. 22).
4. Repealed by operation of law 9-29-86. Readoption of section filed 9-26-86 as an emergency; operative 9-29-86. A Certificate of Compliance must be transmitted to OAL no later than 1-27-87, or section will be repealed by operation of law (Gov. C. 11346.1(g)) (Register 86, No. 39).
5. Readoption of section filed 1-26-87 as an emergency; operative 1-27-87. A Certificate of Compliance must be transmitted to OAL no later than 5-26-87, or section will be repealed by operation of law (Gov. C. 11346.1(g)) (Register 87, No. 5).
6. Readoption of section filed 5-26-87 as an emergency; operative 5-26-87. A Certificate of Compliance must be transmitted to OAL no later than 9-23-87, or section will be repealed by operation of law (Gov. C. 11346.1(g)) (Register 87, No. 22).
7. Repealer and new section transmitted to OAL 9-23-87 and filed 10-23-87; operative 10-23-87 (Register 87, No. 43).
8. Amendment of section heading, text and Note filed 4-18-94; operative 5-18-94 (Register 94, No. 16).
Article 4. Period of Licensure
§10527. Requirement to Submit New Application for Licensure.
Note     •     History

(a) A license shall automatically terminate by operation of law whenever the licensee:
(1) Sells or transfers ownership of the facility, unless the transfer of ownership applies to the transfer of stock when the facility is owned by and licensed as a corporation, and when the transfer of stock does not constitute a majority change in ownership;
(2) Voluntarily surrenders the license to the Department;
(3) Moves operation of the facility to a new location [except as specified in Subsection (c) of this regulation];
(4) Dies (only if the licensee is a sole proprietor);
(5) Actually or constructively abandons the facility.
(b) To prevent a lapse in licensure in the event that operation of the facility is moved to a new location, at least 45 days prior to the move, the licensee shall submit to the Department a new application and documentation, as specified in Section 10517.  If the licensee fails to comply with this requirement, the license shall terminate as of the date that operation of the facility is moved [except as specified in Subsection (c) of this regulation].
(c) To prevent a lapse in licensure in the event that the licensee moves operation of the facility to a new location due to emergency (e.g. fire, flood, vandalism, etc.), within 60 days after the date of the move, the licensee shall submit to the Department an amended application and documentation as specified in Section 10517.  If the licensee fails to comply with this requirement, the license shall terminate as of the date on the 61st day after the date of the move.
NOTE

Authority cited: Sections 11755, 11834.50 and 11835, Health and Safety Code.  Reference: Sections 11834.40 and 11834.50, Health and Safety Code.
HISTORY

1. Renumbering of former section 10527 to section 10528 and new section filed 4-18-94; operative 5-18-94 (Register 94, No. 16).  For prior history, see Register 93, No. 12.
2. Change without regulatory effect adopting new article 4 heading filed 11-17-94 pursuant to section 100, title 1, California Code of Regulations (Register 94, No. 46).
3. Change without regulatory effect amending subsection (b) filed 6-12-2007 pursuant to section 100, title 1, California Code of Regulations (Register 2007, No. 24).
§10528. Period of Licensure.
Note     •     History

Licenses shall be valid for two years unless they have been extended, pursuant to Section 10529.
NOTE

Authority cited: Sections 11755, 11834.50 and 11835, Health and Safety Code. Reference: Section 11834.01, Health and Safety Code.
HISTORY

1. Repealer and renumbering and amendment of former section 10527 to section 10528 filed 4-18-94; operative 5-18-94 (Register 94, No. 16).  For prior history, see Register 87, No. 43.
2. Change without regulatory effect amending section heading filed 11-17-94 pursuant to section 100, title 1, California Code of Regulations (Register 94, No. 46).
§10529. Extension of Period of Licensure.
Note     •     History

(a) At least 120 days prior to the expiration date noted on the license, the Department shall send a notice to the licensee which shall:
(1) Inform the licensee of the date when the current period of licensure will expire, as specified on the license;
(2) Inform the licensee that the period of licensure will be extended if the licensee:
(A) Updates the licensing information contained in the licensee's application for licensure;
(B) Pays all licensing fees in accordance with Section 10701;
(C) Pays any civil penalties assessed in accordance with Section 10547 and adjudicated pursuant to Section 10550; and
(D) Maintains a valid fire clearance.
(3) Notify the licensee that failure to pay all licensing fees due or to return the information requested by the date of expiration specified on the notice will result in automatic expiration of the license and that continued operation of the facility beyond the date of expiration is prohibited by Section 11834.30 of the Health and Safety Code and Section 10505 of this chapter.
(b) If the licensee complies with the requirements of Subsection (a)(2) of this regulation, the Department shall automatically extend the period of licensure, unless the Department has petitioned the court to enjoin operation of the facility, pursuant to Section 10548(f).
(c) If the licensee fails to comply with the requirements of Subsection (a)(2) of this regulation, the license shall automatically expire as of the date specified on the license.
(d) The Department shall not extend the period of licensure until all licensing fees and/or civil penalties, assessed pursuant to Section 10547 and adjudicated pursuant to Section 10550, have been paid in full.
(e) Failure to pay licensing fees and/or civil penalties, assessed pursuant to Section 10547 and adjudicated pursuant to Section 10550, within thirty (30) days after the date the period of licensure expires shall be deemed a voluntary relinquishment of the license.
(f) In the event that the licensee voluntarily relinquishes the license, in order to reapply for licensure the licensee shall:
(1) Submit a new application for licensure, pursuant to Article 3 (commencing with Section 10514) of this chapter:
(2) Pay a licensing fee; and
(3) Pay all outstanding licensing fees and all unpaid civil penalties, assessed pursuant to Section 10547 and adjudicated pursuant to Section 10550.
NOTE

Authority cited: Sections 11755, 11833.04, 11834.50 and 11835, Health and Safety Code. Reference: Sections 11833.02, 11834.01 and 11834.16, Health and Safety Code.
HISTORY

1. New section filed 2-7-85 as an emergency; operative 2-7-85 (Register 85, No. 8).
2. Repealed by operation of law 2-1-86. Readoption of section filed 1-24-86 as an emergency; operative 2-1-86 (Register 86, No. 4).
3. Repealed by operation of law 6-2-86. Readoption of section filed 5-30-86 as an emergency; operative 6-1-86 (Register 86, No. 22).
4. Repealed by operation of law 9-29-86. Readoption of section filed 9-26-86 as an emergency; operative 9-29-86. A Certificate of Compliance must be transmitted to OAL no later than 1-27-87, or section will be repealed by operation of law (Government Code 11346.1(g)) (Register 86, No. 39).
5. Readoption of section filed 1-26-87 as an emergency; operative 1-27-87. A Certificate of Compliance must be transmitted to OAL no later than 5-26-87, or section will be repealed by operation of law (Government Code 11346.1(g)) (Register 87, No. 5).
6. Readoption of section filed 5-26-87 as an emergency; operative 5-26-87. A Certificate of Compliance must be transmitted to OAL no later than 9-23-87, or section will be repealed by operation of law (Government Code 11346.1(g)) (Register 87, No. 22).
7. Repealer and new section transmitted to OAL 9-23-87 and filed 10-23-87; operative 10-23-87 (Register 87, No. 43).
8. Repealer of subsection  (e)(3) and amendment of Note filed 11-3-92 as an emergency; operative 11-3-92 (Register 92, No. 45). A Certificate of Compliance must be transmitted to OAL 3-8-93 or emergency language will be repealed by operation of law on the following day.
9. Certificate of Compliance as to 11-3-92 order transmitted to OAL 2-2-93 and filed 3-17-93 (Register 93, No. 12).
10. Amendment of section heading, text and Note filed 4-18-94; operative 5-18-94 (Register 94, No. 16).
11. Change without regulatory effect amending subsection (a)(2)(A) filed 6-12-2007 pursuant to section 100, title 1, California Code of Regulations (Register 2007, No. 24).
12. Amendment of subsections (a)(2)(B), new subsection (f)(2), subsection renumbering and amendment of Note filed 6-29-2009 as an emergency; operative 6-29-2009 (Register 2009, No. 27). A Certificate of Compliance must be transmitted to OAL by 12-28-2009 or emergency language will be repealed by operation of law on the following day.
13. Amendment of subsections (a)(2)(B), new subsection (f)(2), subsection renumbering and amendment of Note refiled 12-21-2009 as an emergency; operative 12-27-2009 (Register 2009, No. 52). A Certificate of Compliance must be transmitted to OAL by 3-29-2010 or emergency language will be repealed by operation of law on the following day.
14. Certificate of Compliance as to 12-21-2009 order transmitted to OAL 3-10-2010 and filed 4-20-2010 (Register 2010, No. 17).
§10530. Issuance of Renewal License. [Repealed]
Note     •     History

NOTE

Authority cited: Section 11834.13, Health and Safety Code. Reference: Section 11834.15, Health and Safety Code.
HISTORY

1. New section filed 2-7-85 as an emergency; operative 2-7-85 (Register 85, No. 8).
2. Repealed by operation of law 2-1-86. Readoption of section filed 1-24-86 as an emergency; operative 2-1-86 (Register 86, No. 4).
3. Repealed by operation of law 6-2-86. Readoption of section filed 5-30-86 as an emergency; operative 6-1-86 (Register 86, No. 22).
4. Repealed by operation of law 9-29-86. Readoption of section filed 9-26-86 as an emergency; operative 9-29-86. A Certificate of Compliance must be transmitted to OAL no later than 1-27-87, or section will be repealed by operation of law (Gov. C. 11346.1(g)) (Register 86, No. 39).
5. Readoption of section filed 1-26-87 as an emergency; operative 1-27-87. A Certificate of Compliance must be transmitted to OAL no later than 5-26-87, or section will be repealed by operation of law (Gov. C. 11346.1(g)) (Register 87, No. 5).
6. Readoption of section filed 5-26-87 as an emergency; operative 5-26-87. A Certificate of Compliance must be transmitted to OAL no later than 9-23-87, or section will be repealed by operation of law (Gov. C. 11346.1(g)) (Register 87, No. 22).
7. Repealer and new section transmitted to OAL 9-23-87 and filed 10-23-87; operative 10-23-87 (Register 87, No. 43).
8. Repealer filed 4-18-94; operative 5-18-94 (Register 94, No. 16).
§10531. Submission of New Application. [Repealed]
Note     •     History

NOTE

Authority cited: Section 11834.13, Health and Safety Code. Reference: Section 11834.14(a), Health and Safety Code.
HISTORY

1. New section filed 10-23-87; operative 10-23-87 (Register 87, No. 43).
2. Repealer filed 4-18-94; operative 5-18-94 (Register 94, No. 16).
Article 5. Licensing Fees [Repealed]
§10532. Computation of Licensing Fees. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 11755, 11834.50 and 11835, Health and Safety Code. Reference: Section 11834.15, Health and Safety Code.
HISTORY

1. New section filed 10-23-87; operative 10-23-87 (Register 87, No. 43).
2. Amendment of subsections (a) and (b) filed 12-27-89 as an emergency; operative 1-1-90 (Register 90, No. 1). Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed by operation of law on 5-1-90.
3. Amendment of subsections (a) and (b) refiled 4-30-90 as an emergency; operative 4-30-90 (Register 90, No. 22). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed by operation of law on 8-28-90.
4. Certificate of Compliance as to 4-30-90 order including amendment of NOTE transmitted to OAL 8-27-90 and filed 9-26-90 (Register 90, No. 44).
5. Amendment of section heading, text and Note filed 4-18-94; operative 5-18-94 (Register 94, No. 16).  
6. Change without regulatory effect adopting new article 5 heading filed 11-17-94 pursuant to section 100, title 1, California Code of Regulations (Register 94, No. 46).
7. Change without regulatory effect amending subsection (b) filed 6-12-2007 pursuant to section 100, title 1, California Code of Regulations (Register 2007, No. 24).
8. Repealer of article 5 (sections 10532-10533) and section filed 6-29-2009 as an emergency; operative 6-29-2009 (Register 2009, No. 27). A Certificate of Compliance must be transmitted to OAL by 12-28-2009 or emergency language will be repealed by operation of law on the following day.
9. Repealer of article 5 (sections 10532-10533) and section refiled 12-21-2009 as an emergency; operative 12-27-2009 (Register 2009, No. 52). A Certificate of Compliance must be transmitted to OAL by 3-29-2010 or emergency language will be repealed by operation of law on the following day. 
10. Certificate of Compliance as to 12-21-2009 order transmitted to OAL 3-10-2010 and filed 4-20-2010 (Register 2010, No. 17).
§10533. Payment of Licensing Fees. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 11755, 11834.50 and 11835, Health and Safety Code.  Reference: Sections 11834.03, 11834.09 and 11834.16, Health and Safety Code.
HISTORY

1. New section filed 4-18-94; operative 5-18-94 (Register 94, No. 16).
2. Change without regulatory effect amending subsection (b)(1) filed 6-12-2007 pursuant to section 100, title 1, California Code of Regulations (Register 2007, No. 24).
3. Repealer filed 6-29-2009 as an emergency; operative 6-29-2009 (Register 2009, No. 27). A Certificate of Compliance must be transmitted to OAL by 12-28-2009 or emergency language will be repealed by operation of law on the following day.
4. Repealer refiled 12-21-2009 as an emergency; operative 12-27-2009 (Register 2009, No. 52). A Certificate of Compliance must be transmitted to OAL by 3-29-2010 or emergency language will be repealed by operation of law on the following day. 
5. Certificate of Compliance as to 12-21-2009 order transmitted to OAL 3-10-2010 and filed 4-20-2010 (Register 2010, No. 17).
Article 6. Enforcement
§10540. Denial of Licensure.
Note     •     History

(a) The Department may deny an application for a license for any of the following reasons:
(1) Review of the application indicates that the applicant is not in compliance with the provisions of Chapter 7.5 (commencing with Section 11834.01), Part 2, Division 10.5 of the Health and Safety Code and the requirements of this chapter;
(2) The applicant fails to remedy each deficiency identified pursuant to Section 10544 of this chapter;.
(3) The facility is not in substantial compliance with this chapter; or
(4) The applicant fails to pay any civil penalty assessed pursuant to Section 10547 and adjudicated pursuant to Section 10550.
(b) If the Department denies an application for licensure, the Department shall send a written notice of denial to the applicant by certified mail. The notice shall:
(1) Explain the reasons for denial; 
(2) Notify the applicant that he/she shall cease operating the alcoholism or drug abuse recovery or treatment facility within 10 days of the date of the notice;
(3) Advise the applicant of his/her right to a hearing in accordance with the provisions of Chapter 5, (commencing with Section 11500) of Part 1, Division 3, Title 2 of the Government Code;
(4) Notify the applicant that the Department shall assess a civil penalty of two hundred ($200) dollars a day, beginning on the 11th day after the date of the notice, if the applicant continues to operate an unlicensed facility.
NOTE

Authority cited: Sections 11755, 11834.50 and 11835, Health and Safety Code. Reference: Sections 11834.01, 11834.30, 11834.31, 11834.36 and 11834.37, Health and Safety Code; and Chapter 5 (commencing with Section 11500) of Part 1, Division 3, Title 2, Government Code.
HISTORY

1. New section filed 2-7-85 as an emergency; operative 2-7-85 (Register 85, No. 8).
2. Repealed by operation of law 2-1-86. Readoption of section filed 1-24-86 as an emergency; operative 2-1-86 (Register 86, No. 4).
3. Repealed by operation of law 6-2-86. Readoption of section filed 5-30-86 as an emergency; operative 6-1-86 (Register 86, No. 22).
4. Repealed by operation of law 9-29-86. Readoption of section filed 9-26-86 as an emergency; operative 9-29-86. A Certificate of Compliance must be transmitted to OAL no later than 1-27-87, or section will be repealed by operation of law (Gov. C. 11346.1(g)) (Register 86, No. 39).
5. Readoption of section filed 1-26-87 as an emergency; operative 1-27-87. A Certificate of Compliance must be transmitted to OAL no later than 5-26-87, or section will be repealed by operation of law (Gov. C. 11346.1(g)) (Register 87, No. 5).
6. Readoption of section filed 5-26-87 as an emergency; operative 5-26-87. A Certificate of Compliance must be transmitted to OAL no later than 9-23-87, or section will be repealed by operation of law (Gov. C. 11346.1(g)) (Register 87, No. 22).
7. Repealer and new section transmitted to OAL 9-23-87 and filed 10-23-87; operative 10-23-87 (Register 87, No. 43).
8. Amendment of section heading, text and Note filed 4-18-94; operative 5-18-94 (Register 94, No. 16).
9. Change without regulatory effect  renumbering and amending article heading filed 11-17-94 pursuant to section 100, title 1, California Code of Regulations (Register 94, No. 46).
§10541. Types of Deficiencies.
Note     •     History

(a) As used in this chapter, “deficiency” means failure to comply with any provision of Chapter 7.5 (commencing with Section 11834.01), Part 2, Division 10.5 of the Health and Safety Code, or the regulations contained in this chapter. Deficiencies shall be classed as Class A, B, or C deficiencies as defined in this section.
(b) A Class A deficiency is any deficiency which presents an imminent danger to any resident of the facility. As used in this Chapter, “imminent danger” means that the more likely consequence of the deficiency is death or physical injury which would:
(1) Render a part of the body functionally useless or temporarily or permanently reduced in capacity, or
(2) Inhibit any function of the body to such a degree as to shorten life or to reduce physical or mental capacity.
(c) A Class B deficiency is any deficiency relating to the operation or maintenance of the facility which has a direct or immediate relationship to the physical health, mental health, or safety of facility residents.
(d) A Class C deficiency is a deficiency relating to the operation or maintenance of the facility which the Department determines has only a minimal relationship to the health or safety of facility residents.
NOTE

Authority cited: Sections 11755, 11834.50 and 11835, Health and Safety Code. Reference: Sections 11834.34 and 11834.50, Health and Safety Code.
HISTORY

1. Repealer and new section filed 4-18-94; operative 5-18-94 (Register 94, No. 16).  For prior history, see Register 87, No. 43.
2. Repealer and new section filed 4-9-97 as an emergency; operative 4-9-97 (Register 97, No. 15). A Certificate of Compliance must be transmitted to OAL by 8-7-97 or emergency language will be repealed by operation of law on the following day.
3. Repealer and new section refiled 6-16-97 as an emergency; operative 8-7-97 (Register 97, No. 25). A Certificate of Compliance must be transmitted to OAL by 12-5-97 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 6-16-97 emergency transmitted to OAL 10-29-97 and filed 12-15-97 (Register 97, No. 51).
§10542. Investigation of Complaints Regarding Unlicensed Facilities.
Note     •     History

(a) If an unlicensed facility provides residential alcoholism or drug abuse recovery or treatment services, the facility is operating in violation of Chapter 7.5 (commencing with Section 11834.30) of Part 2 of Division 10.5 of the Health and Safety Code, and Chapter 5, Division 4, Title 9, Section 10505 of the California Code of Regulations.
(b) If an unlicensed facility is alleged to be in violation of Chapter 7.5 (commencing with Section 11834.30) of Part 2 of Division 10.5 of the Health and Safety Code, and Chapter 5, Division 4, Title 9, Section 10505 of the California Code of Regulations, the Department shall conduct an investigation.
(c) If the Department determines, as the result of its investigation, that an unlicensed facility is operating in violation of Chapter 7.5 (commencing with Section 11834.30) of Part 2 of Division 10.5 of the Health and Safety Code, and Chapter 5, Division 4, Title 9, Section 10505 of the California Code of Regulations, the Department shall deliver to the facility, in person or by certified mail, a notice which shall notify the operator of the facility that the facility is operating without a license, in violation of Section 11834.30 of the Health and Safety Code and Section 10505 of this chapter. If delivered in person, the notice shall be delivered within ten (10) working days of the completion of the investigation. If mailed by certified mail, the notice shall be postmarked within ten (10) working days of the completion of the investigation. The completion of the complaint investigation is when all evidence has been inspected and witnesses who are relevant to the allegations have been interviewed.
(d) The Department shall not disclose the identity of the complainant unless authorized in writing by the complainant.
(e) Within ten (10) working days of receipt of the complaint, the Department shall initiate an investigation by assigning the complaint to a Departmental complaint investigator.
(1) The Department shall order the operator of the unlicensed facility to cease operation immediately upon receipt of the notice. Upon receipt of the notice, the unlicensed facility shall, within fifteen (15) days of receipt of the notice, respond in writing that the facility has ceased providing all alcoholism or drug abuse recovery or treatment services. The written response shall be postmarked no later than the date specified in the notice.
(2) The notice of operation in violation of law shall specify that the Department will take action in accordance with Subsection (g) of this regulation if the unlicensed facility fails to cease operation immediately upon receipt of the notice and fails to notify the Department of such cessation within fifteen (15) days of the receipt of the notice.
(f) The complaint investigator may interview residents and/or facility staff in private, and inspect relevant records without the prior consent of the facility operator.
(g) If the unlicensed facility fails to cease operation immediately upon receipt of the notice of operation in violation of law and fails to notify the Department of such cessation within fifteen (15) days of the receipt of the notice, on the 16th day the Department shall:
(1) Assess a civil penalty of two hundred ($200) dollars per day against the operator of the unlicensed facility.
(A) If the facility operator or his/her representative provides written notification to the Department that the unlicensed facility has ceased operation, the civil penalty shall cease as of the date the notification is postmarked.
(B) The Department may conduct a site visit to verify that the unlicensed facility is no longer in violation of Chapter 7.5 (commencing with Section 11834.30) of Part 2 of Division 10.5 of the Health and Safety Code, and Chapter 5, Division 4, Title 9, Section 10505 of the California Code of Regulations. If the site visit indicates that the unlicensed facility is still in violation of Chapter 7.5 (commencing with Section 11834.30) of Part 2 of Division 10.5 of the Health and Safety Code, and Chapter 5 of Division 4, Title 9, Section 10505 of the California Code of Regulations, the Department may assess the two hundred ($200) dollars per day civil penalty without interruption from the date the facility received the notice of operation in violation of law.
(2) Petition the superior court in and for the county in which the violation occurred to enjoin the unlicensed operation of the facility. Any such action shall conform to the requirements of Chapter 3 (commencing with Section 525), Title 7, Part 2 of the Code of Civil Procedure, except that the Director shall not be required to allege facts necessary to show or tending to show lack of adequate remedy at law or irreparable damage or loss.
(h) All civil penalties, assessed pursuant to this regulation and adjudicated pursuant to Section 10550, shall be due and payable upon receipt of a notice of payment issued by the Department, and shall be paid by certified check or money order made payable to the Department of Alcohol and Drug Programs.
NOTE

Authority cited: Sections 11755, 11834.50 and 11835, Health and Safety Code. Reference: Sections 11834.30, 11834.31, 11834.32 and 11834.45, Health and Safety Code.
HISTORY

1. Renumbering and amendment of former section 10542 to section 10548 and renumbering of section 10544 to section 10542 filed 4-18-94; operative 5-18-94 (Register 94, No. 16).  For prior history, see Register 87, No. 43.
2. Repealer and new section filed 4-9-97 as an emergency; operative 4-9-97 (Register 97, No. 15). A Certificate of Compliance must be transmitted to OAL by 8-7-97 or emergency language will be repealed by operation of law on the following day.
3. Editorial correction of subsection (h) (Register 97, No. 25).
4. Repealer and new section refiled 6-16-97 as an emergency; operative 8-7-97 (Register 97, No. 25). A Certificate of Compliance must be transmitted to OAL by 12-5-97 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 6-16-97 emergency, including amendment of subsections (e)(1) and (e)(2), transmitted to OAL 10-29-97 and filed 12-15-97 (Register 97, No. 51).
§10543. Investigation of Complaints Regarding Licensed Facilities.
Note     •     History

(a) Any person may request an inspection of an alcoholism or drug abuse recovery or treatment facility by contacting the Department in person, by telephone or in writing, or by any other automated or electronic means.
(b) The Department shall not disclose the identity of the complainant unless authorized in writing by the complainant.
(c) Within ten (10) working days of receipt of the complaint, the Department shall initiate an investigation by assigning the complaint to a Departmental complaint investigator.
(d) The complaint investigator may conduct a site investigation of the facility, with or without advance notice, at any reasonable time, upon presentation of proper identification, in order to determine compliance with the provisions of Chapter 7.5 (commencing with Section 11834.01), Part 2, Division 10.5 of the Health and Safety Code, and the requirements of this chapter.
(e) At the completion of the site investigation the complaint investigator may conduct a face-to-face exit interview with the licensee or his/her designee to discuss the progress of the investigation. If the complaint investigator does not conduct a face-to-face exit interview, the complaint investigator shall conduct a telephone interview with the licensee or his/her designee as soon as possible upon conclusion of a site investigation and document in the investigation report or notice of deficiency why he/she did not conduct a face-to-face exit interview.
(f) The complaint investigator may interview residents and/or facility staff in private, and inspect relevant licensee records without the prior consent of the licensee.
(g) The complaint investigator shall notify the licensee orally or in writing when the complaint investigation is complete. If notified orally, such notification shall be documented on the reverse of the complaint form.
(h) If the complaint investigation discloses deficiencies, the complaint investigator shall prepare a written notice of deficiency, listing all deficiencies. The complaint investigator shall provide a written notice of deficiency to the licensee or his/her designee, in person before leaving the facility, or by certified mail. If mailed, the notice of deficiency shall be postmarked within ten (10) working days of completion of the complaint investigation, pursuant to subsection (g) of this regulation. Completion of the complaint investigation is when all evidence has been inspected and witnesses who are relevant to the allegations have been interviewed. If any Class A deficiencies have been cited, before leaving the facility the complaint investigator shall provide the written notice of deficiency to the licensee or his/her designee.
(i) The notice of deficiency shall specify:
(1) The section number, title, and code of each statute or regulation which has been violated;
(2) The manner in which the licensee failed to comply with a specified statute or regulation, and the particular place or area of the facility in which it occurred;
(3) The date by which each deficiency shall be corrected; and
(4) The amount of civil penalty to be assessed in accordance with Section 10547 and the date the Department shall begin to assess the penalty, if the licensee fails to correct the noticed deficiencies or comply by the date in the approved corrective action plan.
(j) The notice of deficiency shall require the licensee to correct deficiencies as specified below:
(1) Class A deficiencies shall be abated or eliminated immediately upon receipt of the notice of deficiency by the licensee or his/her designee;
(2) Class B deficiencies shall be corrected within thirty (30) days of receipt of the notice of deficiency unless the complaint investigator determines, based on review, that the deficiency is sufficiently serious to require correction within a shorter period of time. In that event, the complaint investigator shall explain how the deficiency jeopardizes the health or safety of the residents;
(3) Class C deficiencies shall be corrected within thirty (30) days of receipt of the notice of deficiency, unless the complaint investigator determines that the deficiency cannot be completely corrected within thirty (30) days. In that event, the complaint investigator shall specify in the notice of deficiency the time in which the deficiency shall be corrected and the reason why it cannot be corrected within thirty (30) days.
(k) If the licensee or his/her designee refuses to accept receipt of a written notice of deficiency, the date of the notice shall constitute the date of receipt.
(l) If so requested by the complainant, the Department shall notify the complainant, in writing, of the results of its investigation.
NOTE

Authority cited: Sections 11755, 11834.50 and 11835, Health and Safety Code. Reference: Sections 11834.01. 11834.31, 11834.34 and 11834.50, Health and Safety Code.
HISTORY

1. Renumbering and amendment of former section 10551 to section 10543 filed 4-18-94; operative 5-18-94 (Register 94, No. 16).
2. Repealer and new section filed 4-9-97 as an emergency; operative 4-9-97 (Register 97, No. 15). A Certificate of Compliance must be transmitted to OAL by 8-7-97 or emergency language will be repealed by operation of law on the following day.
3. Editorial correction of subsections (h) and (j)(2) (Register 97, No. 25).
4. Repealer and new section refiled 6-16-97 as an emergency; operative 8-7-97 (Register 97, No. 25). A Certificate of Compliance must be transmitted to OAL by 12-5-97 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 6-16-97 emergency, including amendment of subsections (c), (e) and (g), transmitted to OAL 10-29-97 and filed 12-15-97 (Register 97, No. 51).
§10544. Licensing Compliance Reviews.
Note     •     History

(a) The Department shall review each alcoholism or drug abuse recovery or treatment facility to determine compliance at least once during every period of licensure.
(b) Any authorized employee or agent of the Department may enter and inspect any alcoholism or drug abuse recovery or treatment facility at any reasonable time, upon presentation of proper identification, with or without advance notice, to determine compliance with the provisions of Chapter 7.5 (commencing with Section 11834.01), Part 2, Division 10.5 of the Health and Safety Code and the requirements of this chapter.
(c) The Department may interview residents and/or facility staff in private, and inspect relevant licensee records without the prior consent of the licensee.
(d) At the completion of the compliance review, the reviewer may conduct a face-to-face exit interview with the licensee or his/her designee to discuss any deficiencies noted. If the reviewer does not conduct a face-to-face exit interview, the reviewer shall conduct a telephone interview with the licensee or his/her designee as soon as possible upon conclusion of a site visit and document in the licensing report or notice of deficiency why he/she did not conduct a face-to-face exit interview. A licensing report is issued when there are no deficiencies; a notice of deficiency is issued when there are deficiencies.
(e) The reviewer shall prepare a written notice of deficiency listing all deficiencies.
(f) The notice of deficiency shall specify:
(1) The section number, title, and code of each statute or regulation which has been violated;
(2) The manner in which the licensee failed to comply with a specified statute or regulation, and the particular place or area of the facility in which it occurred;
(3) The date by which each deficiency shall be corrected; and
(4) The amount of civil penalty to be assessed in accordance with Section 10547 and the date the Department shall begin to assess the penalty, if the licensee fails to correct the noticed deficiencies in accordance with the corrective action plan.
(g) The reviewer shall provide the written notice of deficiency to the licensee or his/her designee:
(1) In person before leaving the facility; or
(2) By certified mail, postmarked within ten (10) working days of the completion of the licensing compliance review. If the reviewer mails the notice of deficiency to the licensee, a return receipt shall be requested.
(h) If any Class A deficiencies have been cited, before leaving the facility the reviewer shall provide the written notice of deficiency to the licensee or his/her designee.
(i) The notice of deficiency shall require the licensee to correct deficiencies as specified below:
(1) Class A deficiencies shall be abated or eliminated immediately upon receipt of the notice of deficiency by the licensee or his/her designee of the facility;
(2) Class B deficiencies shall be corrected within thirty (30) days of receipt of the notice of deficiency unless the reviewer determines, based on review, that the deficiency is sufficiently serious to require correction within a shorter period of time. In that event, the reviewer shall explain how the deficiency jeopardizes the health or safety of the residents;
(3) Class C deficiencies shall be corrected within thirty (30) days of receipt of the notice of deficiency, unless the reviewer determines that the deficiency cannot be completely corrected within thirty (30) days. In that event, the reviewer shall specify in the notice of deficiency the time in which the deficiency shall be corrected and the reason why it cannot be corrected within thirty (30) days.
(j) If the licensee or his/her designee refuses to accept receipt of a written notice of deficiency, the date of the notice shall constitute the date of receipt.
NOTE

Authority cited: Sections 11755, 11834.50 and 11835, Health and Safety Code. Reference: Sections 11834.01, 11834.35 and 11834.50, Health and Safety Code.
HISTORY

1. Renumbering of former section 10544 to section 10542 and renumbering and amendment of former section 10552 to section 10544 filed 4-18-94; operative 5-18-94 (Register 94, No. 16).  For prior history, see Register 93, No. 12.
2. Repealer and new section filed 4-9-97 as an emergency; operative 4-9-97 (Register 97, No. 15). A Certificate of Compliance must be transmitted to OAL by 8-7-97 or emergency language will be repealed by operation of law on the following day.
3. Change without regulatory effect amending subsection (d)(2) (as it existed prior to emergency repealer filed 4-9-97) submitted to OAL on 3-18-97 and filed 4-28-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 18). This amendment will be inserted in the prior existing text in the event the 4-9-97 emergency language is repealed pursuant to Government Code sections 11346.1 or 11349.6 and prior existing text is reinstated.
4. Repealer and new section refiled 6-16-97 as an emergency; operative 8-7-97 (Register 97, No. 25). A Certificate of Compliance must be transmitted to OAL by 12-5-97 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 6-16-97 emergency, including amendment of subsection (d), transmitted to OAL 10-29-97 and filed 12-15-97 (Register 97, No. 51).
§10545. Development of a Corrective Action Plan.
Note     •     History

(a) The licensee shall submit written verification of correction for each deficiency identified in the notice of deficiency to the manager of the Licensing and Certification Division, Department of Alcohol and Drug Programs, 1700 K Street, Sacramento, CA 95811-4037. The written verification shall substantiate that the deficiency has been corrected and specify the date when the deficiency was corrected. The written verification shall be postmarked no later than the date specified in the notice of deficiency.
(b) If the licensee cannot correct a Class B or C deficiency by the date specified in the notice of deficiency, the licensee shall submit a written corrective action plan to the manager of the Licensing and Certification Division, Department of Alcohol and Drug Programs, 1700 K Street, Sacramento, CA  95811-4037. The written corrective action plan shall be postmarked no later than the date specified in the notice of deficiency.
(c) The written corrective action plan shall:
(1) Specify what steps the licensee has taken to correct the deficiency;
(2) Substantiate why the deficiency cannot be corrected as specified in the notice of deficiency; and
(3) Specify when each deficiency will be corrected.
(d) In reviewing the licensee's corrective action plan, the Department shall consider:
(1) The potential hazard presented by the deficiency;
(2) The number of residents impacted;
(3) Documentation submitted by the licensee as applicable to substantiate:
(A) Lack of availability of funds, equipment, or personnel necessary to correct the deficiency;
(B) Estimated time necessary for delivery and installation of necessary equipment; and/or
(C) Estimated time necessary to make structural modifications.
(e) Within ten days of receipt by the Department of the written verification and/or corrective action plan, the Department shall notify the licensee, in writing by first class mail, whether the written verification and/or corrective action plan has been approved.
NOTE

Authority cited: Sections 11755, 11834.50 and 11835, Health and Safety Code.  Reference: Sections 11834.34 and 11834.50, Health and Safety Code.
HISTORY

1. New section filed 4-18-94; operative 5-18-94 (Register 94, No. 16).
2. New subsection (a), subsection relettering, and amendment of newly designated subsections (b), (c)(1) and (e) filed 4-9-97 as an emergency; operative 4-9-97 (Register 97, No. 15). A Certificate of Compliance must be transmitted to OAL by 8-7-97 or emergency language will be repealed by operation of law on the following day.
3. Change without regulatory effect amending subsections (a) and (d) (as they existed prior to emergency repealer filed 4-9-97) submitted to OAL on 3-18-97 and filed 4-28-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 18). These amendments will be inserted in the prior existing text in the event the 4-9-97 emergency language is repealed pursuant to Government Code sections 11346.1 or 11349.6 and prior existing text is reinstated.
4. New subsection (a), subsection reletering, and amendment of newly designated subsections (b), (c)(1) and (e) refiled 6-16-97 as an emergency; operative 8-7-97 (Register 97, No. 25). A Certificate of Compliance must be transmitted to OAL by 12-5-97 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 6-16-97 emergency transmitted to OAL 10-29-97 and filed 12-15-97 (Register 97, No. 51).
6. Change without regulatory effect amending subsections (a) and (b) filed 6-12-2007 pursuant to section 100, title 1, California Code of Regulations (Register 2007, No. 24).
7. Change without regulatory effect amending subsections (a) and (b) filed 3-6-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 10).
§10546. Follow-up Visit to Verify Correction of Deficiency.
Note     •     History

(a) The Department may conduct follow-up reviews to determine if the licensee has corrected all deficiencies specified in the notice of deficiency.
(b) If a follow-up review indicates that a deficiency has not been corrected on or before the date specified in the notice of deficiency or subsequent approved corrective action plan, the Department shall issue a notice of civil penalty pursuant to Section 10547 of this chapter.
NOTE

Authority cited: Sections 11755, 11834.50 and 11835, Health and Safety Code. Reference: Sections 11834.01, 11834.34 and 11834.50, Health and Safety Code.
HISTORY

1. Renumbering and amendment of former section 10553 to section 10546 filed 4-18-94; operative 5-18-94 (Register 94, No. 16). 
2. Amendment filed 4-9-97 as an emergency; operative 4-9-97 (Register 97, No. 15). A Certificate of Compliance must be transmitted to OAL by 8-7-97 or emergency language will be repealed by operation of law on the following day.
3. Amendment refiled 6-16-97 as an emergency; operative 8-7-97 (Register 97, No. 25). A Certificate of Compliance must be transmitted to OAL by 12-5-97 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 6-16-97 emergency transmitted to OAL 10-29-97 and filed 12-15-97 (Register 97, No. 51).
§10547. Assessment of Civil Penalties for Failure to Correct Compliance Deficiencies.
Note     •     History

(a) If a licensee fails to correct a deficiency by the date specified in the notice of deficiency or subsequent approved corrective action plan, the Department shall assess a civil penalty as indicated below:
(1) The Department shall assess a civil penalty of twenty-five ($25) dollars per day against the licensee for each Class C deficiency.
(2) The Department shall assess a civil penalty of fifty ($50) dollars per day against the licensee for each Class A or B deficiency.
(3) The maximum daily civil penalty for all deficiencies shall not exceed one hundred fifty ($150) dollars.
(b) The Department shall assess civil penalties from the date specified in the notice of deficiency or subsequent approved corrective action plan until the date the licensee submits written verification that the deficiency is corrected. The date of submission by the licensee shall be the date the written verification of correction is postmarked.
If a Departmental site visit determines that the licensee failed to correct the deficiency, the civil penalty shall continue to accrue from the date specified in the notice of deficiency.
(c) If the licensee repeats the same violation within a 12-month period, the Department shall assess a civil penalty against the licensee of one hundred fifty ($150) dollars.  The Department shall also assess a penalty of fifty ($50) dollars for each day from the date specified in the notice of deficiency until the Department receives written verification from the licensee that the deficiency is corrected. The date of receipt by the Department shall be the date the written verification of correction from the licensee is postmarked.
If a Departmental site visit determines that the licensee failed to correct the deficiency, the civil penalty shall continue to accrue from the date specified in the notice of deficiency.
(d) If a licensee, who was assessed a civil penalty in accordance with (c) of this section, repeats the same violation within 12 months of the second violation, the Department shall assess a civil penalty of one hundred fifty ($150) dollars for each day from the date specified in the notice of deficiency until the Department receives written verification from the licensee that the deficiency was corrected. The date of receipt by the Department shall be the date the written verification of correction from the licensee is postmarked.
If a Departmental site visit determines that the licensee failed to correct the deficiency, the civil penalty shall continue to accrue from the date specified in the notice of deficiency.
(e) If the Department assesses a civil penalty, the Department shall provide to the licensee a written notice of civil penalty, which shall specify:
(1) The amount of the civil penalty,
(2) The date upon which the civil penalty shall begin,
(3) The date payment is due,
(4) The address to which the payment is to be mailed or delivered, and
(5) The licensee's right to administrative review, pursuant to Section 10550.
(f) Civil penalties, assessed pursuant to this regulation and adjudicated pursuant to Section 10550, shall be paid by certified check or money order payable to the Department of Alcohol and Drug Programs.
(g) If a licensee fails to pay civil penalties, assessed pursuant to Section 10547 and adjudicated pursuant to Section 10550, the Department may file a claim in a court of competent jurisdiction or take other disciplinary action as necessary to recover the amount of the penalties.
NOTE

Authority cited: Sections 11755, 11834.50 and 11835, Health and Safety Code.  Reference: Sections 11834.34, 11834.36 and 11834.45, Health and Safety Code.
HISTORY

1. New section filed 4-18-94; operative 5-18-94 (Register 94, No. 16).
2. Amendment of subsections (b), (c) and (d), repealer of subsections (b)(1), (c)(1), and (d)(1), and repealer of designators for subsections (b)(2), (c)(2) and (d)(2) filed 4-9-97 as an emergency; operative 4-9-97 (Register 97, No. 15). A Certificate of Compliance must be transmitted to OAL by 8-7-97 or emergency language will be repealed by operation of law on the following day.
3. Change without regulatory effect amending subsections (b), (c) and (d) (as they existed prior to emergency repealer filed 4-9-97) submitted to OAL on 3-18-97 and filed 4-28-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 18). These amendments will be inserted in the prior existing text in the event the 4-9-97 emergency language is repealed pursuant to Government Code sections 11346.1 or 11349.6 and prior existing text is reinstated.
4. Amendment refiled 6-16-97 as an emergency; operative 8-7-97 (Register 97, No. 25). A Certificate of Compliance must be transmitted to OAL by 12-5-97 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 6-16-97 emergency, including amendment of subsection (b), transmitted to OAL 10-29-97 and filed 12-15-97 (Register 97, No. 51).
6. Change without regulatory effect amending subsection (c) filed 6-12-2007 pursuant to section 100, title 1, California Code of Regulations (Register 2007, No. 24).
§10548. Suspension or Revocation of Licensure.
Note     •     History

(a) The Department may seek suspension or revocation of a license, in accordance with Chapter 5 (commencing with Section 11500) of Part 1, Division 3, Title 2 of the Government Code, when:
(1) The licensee is issued a notice of deficiency for any action which has resulted in death, serious physical harm, or imminent danger to a resident of the facility; or 
(2) The licensee fails to correct any Class A deficiency by the date specified in the notice of deficiency; or
(3) The licensee repeatedly fails to correct Class B deficiencies; or
(4) The licensee has failed to pay civil penalties, assessed in accordance with Section 10547 and adjudicated pursuant to Section 10550.
(b) The Department shall deliver to the licensee, in person or by certified mail, an accusation and notice of suspension or revocation, which shall:
(1) Inform the licensee that the facility's license is being suspended or revoked and the effective date of the suspension or revocation;
(2) Explain the reason(s) for the suspension or revocation;
(3) Order the licensee to suspend operation of the facility as of the date specified on the notice; and
(4) Explain the licensee's right to a hearing and the procedure for requesting a hearing, pursuant to Chapter 5 (commencing with Section 11500) of Part 1, Division 3, Title 2 of the Government Code.
(c) Within fifteen (15) days of the date of receipt of the licensee's notice of defense to the accusation, the Department shall request the Office of Administrative Hearings to set the matter for hearing.
(d) Departmental action to suspend or revoke licensure shall comply with the requirements set forth in Chapter 5 (commencing with Section 11500) of Part 1, Division 3, Title 2 of the Government Code.
(e) Expiration, forfeiture, or surrender of a license shall not prohibit the Department from taking action to deny, suspend, or revoke licensure pursuant to the provisions of Chapter 7.5 (commencing with Section 11834.01), Division 10.5, of the Health and Safety Code or this chapter.
(f) The Department may suspend licensure of a facility prior to hearing when such action is necessary to protect residents of the facility from physical or mental abuse, abandonment or any other substantial threat to the residents' health or safety.  If the Department takes such action, the notice of suspension shall specify the licensee's legal right to petition the court to enjoin closure of the facility pursuant to Chapter 3 (commencing with Section 525), Title 7, Part 2 of the Code of Civil Procedure, in addition to the requirements of Subsection (b) of this regulation.
NOTE

Authority cited: Sections 11755, 11834.50 and 11835, Health and Safety Code.  Reference: Sections 11834.32, 11834.34, 11834.36, 11834.37, 11834.39 and 11834.45, Health and Safety Code; Chapter 3 (commencing with Section 525), Title 7, Part 2 of the Code of Civil Procedure; and Chapter 5 (commencing with Section 11500) of Part 1, Division 3, Title 2, Government Code.
HISTORY

1. Renumbering and amendment of former section 10542 to section 10548 filed 4-18-94; operative 5-18-94 (Register 94, No. 16).
2. Amendment of subsections (a)(3), (b)(1)-(b)(3) and (c) filed 4-9-97 as an emergency; operative 4-9-97 (Register 97, No. 15). A Certificate of Compliance must be transmitted to OAL by 8-7-97 or emergency language will be repealed by operation of law on the following day.
3. Editorial correction of subsection (a)(4) (Register 97, No. 25).
4. Amendment of subsections (a)(3), (b)(1)-(b)(3) and (c), including additional amendment of subsection (b)(3), refiled 6-16-97 as an emergency; operative 8-7-97 (Register 97, No. 25). A Certificate of Compliance must be transmitted to OAL by 12-5-97 or emergency language will be repealed by operation of law on the following day.
5. Editorial correction of subsections (a)(1)-(2) (Register 97, No. 51).
6. Certificate of Compliance as to 6-16-97 emergency transmitted to OAL 10-29-97 and filed 12-15-97 (Register 97, No. 51).
§10549. Unlicensed Facilities. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 11755, 11834.50 and 11835, Health and Safety Code.  Reference: Sections 11834.30, 11834.31, 11834.32 and 11834.45, Health and Safety Code.
HISTORY

1. New section filed 4-18-94; operative 5-18-94 (Register 94, No. 16).
2. Repealer filed 4-9-97 as an emergency; operative 4-9-97 (Register 97, No. 15). A Certificate of Compliance must be transmitted to OAL by 8-7-97 or emergency language will be repealed by operation of law on the following day.
3. Repealer refiled 6-16-97 as an emergency; operative 8-7-97 (Register 97, No. 25). A Certificate of Compliance must be transmitted to OAL by 12-5-97 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 6-16-97 emergency transmitted to OAL 10-29-97 and filed 12-15-97 (Register 97, No. 51).
Article 7. Licensing Appeals
§10550. Administrative Review of Civil Penalties.
Note     •     History

(a) The licensee may appeal a notice of civil penalty by forwarding a written request for review to the Director, Department of Alcohol and Drug Programs, 1700 K Street, Sacramento, CA  95811-4037.
(b) The written request for review shall be postmarked within fifteen (15) working days of receipt by the licensee of the written notice of civil penalty.  The written request for review shall include:
(1) A statement of the statute or regulation which is at issue and the legal basis for the licensee's appeal.
(2) A statement of the facts supporting the licensee's position.
(c) Failure to submit the written request for review, pursuant to Subsection (b) of this regulation, shall be deemed a waiver of administrative review.
(d) Within fifteen (15) working days of receipt of the request for review, the Director or the Director's designee shall schedule and hold an informal conference with the licensee, unless the Director or the Director's designee and the licensee agree to settle the matter based upon the information submitted with the request for review.
(e) Failure to hold the informal conference within fifteen (15) working days of the receipt of the request shall be deemed a waiver of the civil penalties by the Department unless the licensee:
(1) Fails to attend the conference as scheduled,
(2) Waives the fifteen (15) working day requirement, or
(3) Waives his/her right to the informal conference.
(f) The licensee shall have the following rights at the informal conference:
(1) The right to be represented by legal counsel.
(2) The right to present oral and written evidence.
(3) The right to explain any mitigating circumstances.
(g) The representatives of the Department who issued the Notice of Deficiency or the Notice of Civil Penalties shall attend the informal conference and present evidence and information, oral or written, in substantiation of the alleged violation.
(h) The conference shall be conducted as an informal proceeding, and shall not be conducted in the manner of a judicial hearing under the Administrative Procedure Act (Chapter 5 (commencing with Section 11500) Part 1, Division 3, Title 2 of the Government Code), and need not be conducted according to the technical rules relating to evidence and witnesses.
(i) Neither the licensee nor the Department shall have the right to subpoena any witness to attend the informal conference.  However, both the licensee and the Department may present any witness to present evidence and information on its behalf at the conference.
(j) The proceedings at the informal conference may be recorded by either party on audio tape.
(k) The decision to affirm, modify, or dismiss the Notice of Civil Penalties shall be mailed by the Director or the Director's designee to the licensee postmarked no later than ten (10) working days from the date of the informal conference.  The decision shall state with particularity the reason for affirming, modifying, or dismissing the Notice of Civil Penalties.  A copy of the decision shall be transmitted to each party to the appeal.
(l) If the civil penalty, discussed at the informal conference, was assessed for failure to correct a Class A violation, the decision made at the informal conference shall be deemed final.
(m) If the civil penalty, discussed at the informal conference, was assessed for failure to correct a Class B or C violation, the decision shall include a statement from the Director or the Director's designee notifying the licensee of the right of further administrative appeal to the decision made at the informal conference.  A hearing may be requested in accordance with Chapter 5 (commencing with Section 11500) Part 1, Division 3, Title 2 of the Government Code. 
(1) The licensee may appeal the decision made at the informal conference by submitting a written request to the Director, Department of Alcohol and Drug Programs, 1700 K Street, Sacramento, CA  95811-4037, postmarked no later than ten (10) working days from the date of the decision.  Upon receipt of the request for appeal, the Department shall initiate administrative review and request that the matter be set for hearing.  The Department shall notify the licensee of the time and place of the hearing.
(2) Failure of the licensee to timely submit the written request for an administrative hearing shall be deemed a waiver of further administrative review and the decision of the Director or the Director's designee shall be deemed the final decision of the Department.
(3) In the event the licensee appeals the Department's proposed assessment of penalties, collection of the penalties shall be subject to the outcome of the final administrative appeal.
(4) A civil penalty shall be deemed final if:
(A) The licensee fails to appeal the civil penalty in a timely manner, pursuant to Subsections (c) and (m)(2) of this regulation; or
(B) A final determination has been made on an action previously pending administrative review.
(5) After deemed final, the civil penalty shall be paid to the Department within sixty (60) days of receipt of the notice of final adjudication. Failure to pay the civil penalty within sixty (60) days of receipt of the notice of final adjudication shall result in automatic termination of the license.
NOTE

Authority cited: Sections 11755, 11834.50 and 11835, Health and Safety Code. Reference: Sections 11834.34, 11834.36, 11834.37, 11834.45 and 11834.50, Health and Safety Code; and Chapter 5 (commencing with Section 11500), Part 1, Division 3, Title 2, Government Code.
HISTORY

1. Renumbering and amendment of former section 10554 to section 10550 filed 4-18-94; operative 5-18-94 (Register 94, No. 16).
2. Change without regulatory effect adopting new article 7 heading filed 11-17-94 pursuant to section 100, title 1, California Code of Regulations (Register 94, No. 46).
3. Amendment of subsections (h), (j), (m) and (m)(4), new subsection (m)(5) and amendment of Note filed 4-9-97 as an emergency; operative 4-9-97 (Register 97, No. 15). A Certificate of Compliance must be transmitted to OAL by 8-7-97 or emergency language will be repealed by operation of law on the following day.
4. Editorial correction of subsection (g) (Register 97, No. 25).
5. Amendment of subsections (g), (h), (j), (m) and (m)(4), new subsection (m)(5) and amendment of Note refiled 6-16-97 as an emergency; operative 8-7-97 (Register 97, No. 25). A Certificate of Compliance must be transmitted to OAL by 12-5-97 or emergency language will be repealed by operation of law on the following day.
6. Editorial correction of subsection (h) (Register 97, No. 51).
7. Certificate of Compliance as to 6-16-97 emergency, including amendment of subsection (k) and further amendment of subsection (m), transmitted to OAL 10-29-97 and filed 12-15-97 (Register 97, No. 51).
8. Change without regulatory effect amending subsections (a) and (m)(1) filed 6-12-2007 pursuant to section 100, title 1, California Code of Regulations (Register 2007, No. 24).
9. Change without regulatory effect amending subsections (a) and (m)(1) filed 3-6-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 10).
§10551. Serious Deficiencies. [Repealed]
Note     •     History

NOTE

Authority cited: Section 11834.13, Health and Safety Code. Reference: Section 11834.14(d), Health and Safety Code.
HISTORY

1. New section filed 2-7-85 as an emergency; operative 2-7-85 (Register 85, No. 8).
2. Repealed by operation of law 2-1-86. Readoption of section filed 1-24-86 as an emergency; operative 2-1-86 (Register 86, No. 4).
3. Repealed by operation of law 6-2-86. Readoption of section filed 5-30-86 as an emergency; operative 6-1-86 (Register 86, No. 22).
4. Repealed by operation of law 9-29-86. Readoption of section filed 9-26-86 as an emergency; operative 9-29-86. A Certificate of Compliance must be transmitted to OAL no later than 1-27-87, or section will be repealed by operation of law (Gov. C. 11346.1(g)) (Register 86, No. 39).
5. Readoption of section filed 1-26-87 as an emergency; operative 1-27-87. A Certificate of Compliance must be transmitted to OAL no later than 5-26-87, or section will be repealed by operation of law (Gov. C. 11346.1(g)) (Register 87, No. 5).
6. Readoption of section filed 5-26-87 as an emergency; operative 5-26-87. A Certificate of Compliance must be transmitted to OAL no later than 9-23-87, or section will be repealed by operation of law (Gov. C. 11346.1(g)) (Register 87, No. 22).
7. Repealer and new section transmitted to OAL 9-23-87 and filed 10-23-87; operative 10-23-87 (Register 87, No. 43).
8. Renumbering of former section 10551 to section 10543 filed 4-18-94; operative 5-18-94 (Register 94, No. 16).
9. Change without regulatory effect  repealing article heading filed 11-17-94 pursuant to section 100, title 1, California Code of Regulations (Register 94, No. 46).
§10552. Deficiencies in Compliance. [Repealed]
Note     •     History

NOTE

Authority cited: Section 11834.13, Health and Safety Code. Reference: Section 11834.14(d), Health and Safety Code.
HISTORY

1. New section filed 2-7-85 as an emergency; operative 2-7-85 (Register 85, No. 8).
2. Repealed by operation of law 2-1-86. Readoption of section filed 1-24-86 as an emergency; operative 2-1-86 (Register 86, No. 4).
3. Repealed by operation of law 6-2-86. Readoption of section filed 5-30-86 as an emergency; operative 6-1-86 (Register 86, No. 22).
4. Repealed by operation of law 9-29-86. Readoption of section filed 9-26-86 as an emergency; operative 9-29-86. A Certificate of Compliance must be transmitted to OAL no later than 1-27-87, or section will be repealed by operation of law (Gov. C. 11346.1(g)) (Register 86, No. 39).
5. Readoption of section filed 1-26-87 as an emergency; operative 1-27-87. A Certificate of Compliance must be transmitted to OAL no later than 5-26-87, or section will be repealed by operation of law (Gov. C. 11346.1(g)) (Register 87, No. 5).
6. Readoption of section filed 5-26-87 as an emergency; operative 5-26-87. A Certificate of Compliance must be transmitted to OAL no later than 9-23-87, or section will be repealed by operation of law (Gov. C. 11346.1(g)) (Register 87, No. 22).
7. Repealer and new section transmitted to OAL 9-23-87 and filed 10-23-87; operative 10-23-87 (Register 87, No. 43).
8. Renumbering of former section 10552 to 10544 filed 4-18-94; operative 5-18-94 (Register 94, No. 16).
§10553. Follow-Up Visits to Determine Compliance. [Repealed]
Note     •     History

NOTE

Authority cited: Section 11834.13, Health and Safety Code. Reference: Section 11834.14(d), Health and Safety Code.
HISTORY

1. New section filed 2-7-85 as an emergency; operative 2-7-85 (Register 85, No. 8).
2. Repealed by operation of law 2-1-86. Readoption of section filed 1-24-86 as an emergency; operative 2-1-86 (Register 86, No. 4).
3. Repealed by operation of law 6-2-86. Readoption of section filed 5-30-86 as an emergency; operative 6-1-86 (Register 86, No. 22).
4. Repealed by operation of law 9-29-86. Readoption of section filed 9-26-86 as an emergency; operative 9-29-86. A Certificate of Compliance must be transmitted to OAL no later than 1-27-87, or section will be repealed by operation of law (Gov. C. 11346.1(g)) (Register 86, No. 39).
5. Readoption of section filed 1-26-87 as an emergency; operative 1-27-87. A Certificate of Compliance must be transmitted to OAL no later than 5-26-87, or section will be repealed by operation of law (Gov. C. 11346.1(g)) (Register 87, No. 5).
6. Readoption of section filed 5-26-87 as an emergency; operative 5-26-87. A Certificate of Compliance must be transmitted to OAL no later than 9-23-87, or section will be repealed by operation of law (Gov. C. 11346.1(g)) (Register 87, No. 22).
7. Repealer and new section transmitted to OAL 9-23-87 and filed 10-23-87; operative 10-23-87 (Register 87, No. 43).
8. Renumbering of former section 10553 to section 10546 filed 4-18-94; operative 5-18-94 (Register 94, No. 16).
§10554. Administrative Review. [Repealed]
Note     •     History

NOTE

Authority cited: Section 11834.13, Health and Safety Code. Reference: Section 11834.14(d), Health and Safety Code.
HISTORY

1. New section filed 2-7-85 as an emergency; operative 2-7-85 (Register 85, No. 8).
2. Repealed by operation of law 2-1-86. Readoption of section filed 1-24-86 as an emergency; operative 2-1-86 (Register 86, No. 4).
3. Repealed by operation of law 6-2-86. Readoption of section filed 5-30-86 as an emergency; operative 6-1-86 (Register 86, No. 22).
4. Repealed by operation of law 9-29-86. Readoption of section filed 9-26-86 as an emergency; operative 9-29-86. A Certificate of Compliance must be transmitted to OAL no later than 1-27-87, or section will be repealed by operation of law (Gov. C. 11346.1(g)) (Register 86, No. 39).
5. Readoption of section filed 1-26-87 as an emergency; operative 1-27-87. A Certificate of Compliance must be transmitted to OAL no later than 5-26-87, or section will be repealed by operation of law (Gov. C. 11346.1(g)) (Register 87, No. 5).
6. Readoption of section filed 5-26-87 as an emergency; operative 5-26-87. A Certificate of Compliance must be transmitted to OAL no later than 9-23-87, or section will be repealed by operation of law (Gov. C. 11346.1(g)) (Register 87, No. 22).
7. Repealer and new section transmitted to OAL 9-23-87 and filed 10-23-87; operative 10-23-87 (Register 87, No. 43).
8. Renumbering of former section 10554 to section 10550 filed 4-18-94; operative 5-18-94 (Register 94, No. 16).
Subchapter 3. Compliance Requirements
Article 1. Physical Environment
§10561. Reporting Requirements.
Note     •     History

(a) Each licensee or applicant shall follow the prescribed procedures of Section 10561(b) of this subchapter in the occurrence of any events identified in Section 10561(b)(1) of this subchapter.
(b) Upon the occurrence of any of the events identified in Section 10561(b)(1) of this subchapter the licensee shall make a telephonic report to department licensing staff within one (1) working day. The telephonic report is to be followed by a written report in accordance with Section 10561(b)(2) of this subchapter to the department within seven (7) days of the event. If a report to local authorities exists which meets the requirements cited, a copy of such a report will suffice for the written report required by the department.
(1) Events reported shall include:
(A) Death of any resident from any cause.
(B) Any facility related injury of any resident which requires medical treatment.
(C) All cases of communicable disease reportable under Section 2502 of Title 17, California Code of Regulations shall be reported to the local health officer in addition to the department.
(D) Poisonings.
(E) Catastrophes such as flooding, tornado, earthquake or any other natural disaster.
(F) Fires or explosions which occur in or on the premises.
(2) Information provided shall include the following:
(A) Residents' name, age, sex, and date of admission.
(B) Date, time, and nature of event.
(C) Attending physician's name, findings and treatment, if any.
(c) Within ten (10) working days of the following occurrence, the licensee shall report to the Department any:
(1) Organizational changes specified in the application.
(2) Change in the licensee's or applicant's mailing address.
(3) Change of the administrator of the facility. Such notification shall include the new administrator's name, address and qualifications.
NOTE

Authority cited: Section 11834.50, Health and Safety Code. Reference: Sections 11834.01 and 11834.50, Health and Safety Code.
HISTORY

1. New section filed 2-7-85 as an emergency; operative 2-7-85 (Register 85, No. 8).
2. Repealed by operation of law 2-1-86. Readoption of section filed 1-24-86 as an emergency; operative 2-1-86 (Register 86, No. 4).
3. Repealed by operation of law 6-2-86. Readoption of section filed 5-30-86 as an emergency; operative 6-1-86 (Register 86, No. 22).
4. Repealed by operation of law 9-29-86. Readoption of section filed 9-26-86 as an emergency; operative 9-29-86. A Certificate of Compliance must be transmitted to OAL no later than 1-27-87, or section will be repealed by operation of law (Gov. C. 11346.1(g)) (Register 86, No. 39).
5. Readoption of section filed 1-26-87 as an emergency; operative 1-27-87. A Certificate of Compliance must be transmitted to OAL no later than 5-26-87, or section will be repealed by operation of law (Gov. C. 11346.1(g)) (Register 87, No. 5).
6. Readoption of section filed 5-26-87 as an emergency; operative 5-26-87. A Certificate of Compliance must be transmitted to OAL no later than 9-23-87, or section will be repealed by operation of law (Gov. C. 11346.1(g)) (Register 87, No. 22).
7. Repealer and new section transmitted to OAL 9-23-87 and filed 10-23-87; operative 10-23-87 (Register 87, No. 43).
8. Change without regulatory effect  repealing article 6 heading and adopting new subchapter 3 and article 1 filed 11-17-94 pursuant to section 100, title 1, California Code of Regulations (Register 94, No. 46).
9. Change without regulatory effect amending subsection (b)(1)(C) and Note filed 6-15-99 pursuant to section 100, title 1, California Code of Regulations (Register 99, No. 25).
10. Change without regulatory effect amending subsections (c)-(c)(3) filed 6-12-2007 pursuant to section 100, title 1, California Code of Regulations (Register 2007, No. 24).
§10562. Finances.
Note     •     History

(a) The licensee shall maintain the following financial documents:
(1) An annual line item budget which includes all revenues and operation costs necessary to achieve its stated goals and objectives.
(2) Monthly financial operating statements which reflect the revenue and expenditure line items identified in the budget as specified in Section 10562(a)(1) of this subchapter.
(b) Documents required by Section 10562(a)(1)(2) of this subchapter shall be available for the department's review.
(c) The licensee shall submit additional financial information to demonstrate its ability to achieve its goals and objectives upon request of the department.
NOTE

Authority cited: Section 11834.50, Health and Safety Code. Reference: Sections 11834.01 and 11834.50, Health and Safety Code.
HISTORY

1. New section filed 2-7-85 as an emergency; operative 2-7-85 (Register 85, No. 8).
2. Repealed by operation of law 2-1-86. Readoption of section filed 1-24-86 as an emergency; operative 2-1-86 (Register 86, No. 4).
3. Repealed by operation of law 6-2-86. Readoption of section filed 5-30-86 as an emergency; operative 6-1-86 (Register 86, No. 22).
4. Repealed by operation of law 9-29-86. Readoption of section filed 9-26-86 as an emergency; operative 9-29-86. A Certificate of Compliance must be transmitted to OAL no later than 1-27-87, or section will be repealed by operation of law (Gov. C. 11346.1(g)) (Register 86, No. 39).
5. Readoption of section filed 1-26-87 as an emergency; operative 1-27-87. A Certificate of Compliance must be transmitted to OAL no later than 5-26-87, or section will be repealed by operation of law (Gov. C. 11346.1(g)) (Register 87, No. 5).
6. Readoption of section filed 5-26-87 as an emergency; operative 5-26-87. A Certificate of Compliance must be transmitted to OAL no later than 9-23-87, or section will be repealed by operation of law (Gov. C. 11346.1(g)) (Register 87, No. 22).
7. Repealer and new section transmitted to OAL 9-23-87 and filed 10-23-87; operative 10-23-87 (Register 87, No 43).
8. Change without regulatory effect amending Note filed 6-15-99 pursuant to section 100, title 1, California Code of Regulations (Register 99, No. 25).
§10563. Accountability.
Note     •     History

The licensee, whether an individual or other entity, is accountable for the general supervision of the licensed facility, and for the establishment of policies concerning its operation.
NOTE

Autority cited: Section 11834.50, Health and Safety Code. Reference: Sections 11834.01 and 11834.50, Health and Safety Code.
HISTORY

1. New section filed 2-7-85 as an emergency; operative 2-7-85 (Register 85, No. 8).
2. Repealed by operation of law 2-1-86. Readoption of section filed 1-24-86 as an emergency; operative 2-1-86 (Register 86, No. 4).
3. Repealed by operation of law 6-2-86. Readoption of section filed 5-30-86 as an emergency; operative 6-1-86 (Register 86, No. 22).
4. Repealed by operation of law 9-29-86. Readoption of section filed 9-26-86 as an emergency; operative 9-29-86. A Certificate of Compliance must be transmitted to OAL no later than 1-27-87, or section will be repealed by operation of law (Gov. C. 11346.1(g)) (Register 86, No. 39).
5. Readoption of section filed 1-26-87 as an emergency; operative 1-27-87. A Certificate of Compliance must be transmitted to OAL no later than 5-26-87, or section will be repealed by operation of law (Gov. C. 11346.1(g)) (Register 87, No. 5).
6. Readoption of section filed 5-26-87 as an emergency; operative 5-26-87. A Certificate of Compliance must be transmitted to OAL no later than 9-23-87, or section will be repealed by operation of law (Gov. C. 11346.1(g)) (Register 87, No. 22).
7. Repealer and new section transmitted to OAL 9-23-87 and filed 10-23-87; operative 10-23-87 (Register 87, No. 43).
8. Change without regulatory effect amending Note filed 6-15-99 pursuant to section 100, title 1, California Code of Regulations (Register 99, No. 25).
Article 2. Staffing Standards
§10564. Personnel Requirements.
Note     •     History

(a) Facility administrator qualifications
(1) The facility administrator shall demonstrate abilities and competency in the following areas:
(A) Knowledge of the requirements for providing the type of alcoholism or drug abuse recovery or treatment services needed by residents.
(B) Knowledge of and ability to comply with applicable law and regulations. 
(C) Ability to direct the work of others, when applicable.
(D) Ability to develop and manage the facility's alcohol or drug abuse recovery or treatment services and budget.
(E) Ability to recruit, employ, train, and evaluate qualified staff, and to terminate employment of staff, if applicable to the facility.
(2) Each licensee shall make provision for continuing operation and administration during any absence of the regular administrative personnel.
(3) The licensee, if an individual, or any member of the governing board of the licensed corporation or association, shall be permitted to be the facility administrator provided that he/she meets the qualifications specified in this section, and in applicable regulations.
(b) Staff Qualifications
(1) Facility personnel including volunteers shall be competent to provide the services necessary to meet resident needs and shall be adequate in numbers necessary to meet such needs. Competence shall be demonstrated by accrued work, personal, and/or educational experience and/or on-the-job performance.
(2) The department shall have the authority to require any licensee to provide additional staff whenever the department determines and documents that existing staff is unable to provide services as described in the plan of operation submitted to the department. The licensee shall be informed in writing of the reasons for the department's determination. The following factors shall be taken into consideration in determining the need for additional staff:
(A) Needs of the particular residents;
(B) Extent of the services provided by the facility; and
(C) Physical arrangements of the particular facility.
(3) All personnel shall be trained or shall have experience which provides knowledge of the skills required in the following areas, as appropriate to the job assigned, and as evidenced by safe and effective job performance:
(A) General knowledge of alcohol and/or drug abuse and alcoholism and the principles of recovery.
(B) Housekeeping and sanitation principles.
(C) Principles of communicable disease prevention and control.
(D) Recognition of early signs of illness and the need for professional assistance.
(E) Availability of community services and resources.
(F) Recognition of individuals under the influence of alcohol and/or drugs. 
(G) Principles and nutrition, food preparation and storage, and menu planning. 
(c) In addition to the requirements of (b) of this regulation, program staff who provide counseling services (as defined in Section 13005) shall be licensed, certified, or registered to obtain certification pursuant to Chapter 8 (commencing with Section 13000). 
(d) Program staff who provide counseling services (as defined in Section 13005) shall comply with the code of conduct, pursuant to Section 13060, developed by the organization by which they were certified or registered 
(e) All personnel shall be in good health.
(1) Except as specified in (3) below, good physical health shall be verified by a health screening, including a test for tuberculosis, performed under licensed medical supervision not more than sixty (60) days prior to or seven (7) days after employment with tuberculosis testing renewable every year.
Personnel with a known record of tuberculosis or record of positive testing shall not be required to be retested if a physician verifies the individual has been under regular care and monitoring for tuberculosis. Such verification will be renewed annually.
(2) A health screening report signed by the person performing such screening shall be made for each person specified above, and shall indicate the following: 
(A) The person's physical qualifications to perform assigned duties.
(B) The presence of any health condition that would create a hazard to the person, residents or other staff members.
(3) The good physical health of each volunteer who works in the facility shall be verified by a statement signed by each volunteer affirming that he/she is in good health, and a test for tuberculosis performed not more than sixty (60) days prior to or seven (7) days after initial presence in the facility and annually thereafter. At the discretion of the licensee, tuberculosis testing need not be required for volunteers whose functions do not necessitate frequent or prolonged contact with residents.
Volunteers with a known record of tuberculosis or record of positive testing shall not be required to be retested if a physician verifies the individual has been under regular care and monitoring for tuberculosis. Such verification will be renewed annually.
(f) Personnel with evidence of physical illness that poses a threat to the health and safety of residents shall be temporarily relieved of their duties. 
(g) Residents shall not be used as substitutes for required staff but shall be permitted to participate in duties and tasks as a voluntary part of their program of activities.
(h) When regular staff members are absent, there shall be coverage by personnel capable of performing assigned tasks as evidenced by on-the-job performance, experience or training. Residents shall not be utilized to fulfill this requirement.
(i) Personnel shall provide services without physical or verbal abuse, exploitation or prejudice.
(j) All personnel shall be instructed to report observation or evidence of violations of personal rights as specified in section 10569 of this subchapter. 
(k) The licensee shall develop, maintain, and implement an ongoing training program for all staff in the areas identified in section 10564 (b)(3) of this subchapter in addition to specific training related to their duties. Staff participation in the training program shall be documented and maintained on file for three (3) years.
(l) The licensee shall maintain personnel records for all staff, including program administrators, containing: 
(1) Name, address, telephone number, position, duties, and date of employment; and 
(2) Resumes, applications, and/or transcripts documenting work experience and/or education used to meet the requirements of this regulation. 
(3) Personnel records for staff who provide counseling services (as defined in Section 13005) shall also contain: 
(A) Written documentation of licensure, certification, or registration to obtain certification pursuant to Chapter 8 (commencing with Section 13000); and 
(B) A copy of the code of conduct of the registrant's or certified AOD counselor's certifying organization pursuant to Section 13060. 
NOTE

Authority cited: Section 11834.50, Health and Safety Code. Reference: Section 11834.27, Health and Safety Code.
HISTORY

1. New section filed 2-7-85 as an emergency; operative 2-7-85 (Register 85, No. 8). 
2. Repealed by operation of law 2-1-86. Readoption of section filed 1-24-86 as an emergency; operative 2-1-86 (Register 86, No. 4).
3. Repealed by operation of law 6-2-86. Readoption of section filed 5-30-86 as an emergency; operative 6-1-86 (Register 86, No. 22).
4. Repealed by operation of law 9-29-86. Readoption of section filed 9-26-86 as an emergency; operative 9-29-86 (Register 86, No. 39). A Certificate of Compliance must be transmitted to OAL no later than 1-27-87 or section will be repealed by operation of law (Government Code section 11346.1(g)).
5. Readoption of section filed 1-26-87 as an emergency; operative 1-27-87 (Register 87, No. 5). A Certificate of Compliance must be transmitted to OAL no later than 5-26-87 or section will be repealed by operation of law (Government Code section 11346.1(g)).
6. Readoption of section filed 5-26-87 as an emergency; operative 5-26-87 (Register 87, No. 22). A Certificate of Compliance must be transmitted to OAL no later than 9-23-87 or section will be repealed by operation of law (Government Code section 11346.1(g)).
7. Repealer and new section transmitted to OAL 9-23-87 and filed 10-23-87; operative 10-23-87 (Register 87, No. 43).
8. Amendment of subsections (a) and (b) filed 12-27-89 as an emergency; operative 1-1-90 (Register 90, No. 1). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed by operation of law on 5-1-90.
9. Amendment of subsections (a) and (b) refiled 4-30-90 as an emergency; operative 4-30-90 (Register 90, No. 22). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed by operation of law on 8-28-90.
10. Certificate of Compliance as to 4-30-90 order including amendment of NOTE transmitted to OAL 8-27-90 and filed 9-26-90 (Register 90, No. 44).
11. Change without regulatory effect adopting new article 2 heading filed 11-17-94 pursuant to section 100, title 1, California Code of Regulations (Register 94, No. 46).
12. Change without regulatory effect amending Note filed 6-15-99 pursuant to section 100, title 1, California Code of Regulations (Register 99, No. 25).
13. New subsections (c)-(d), subsection relettering, repealer of subsection designator for former subsections (c)(1)(A) and (c)(3)(A), new subsections (l)-(l)(3)(B) and amendment of Note filed 3-25-2005; operative 4-1-2005 pursuant to Government Code section 11343.4 (Register 2005, No. 12). 
§10565. Personnel Records.
Note     •     History

(a) Personnel records shall be completed and maintained for each employee, shall be available to the department for review, and shall contain the following information:
(1) Employee's full name.
(2) Driver's license number, class, and expiration date if the employee is to transport residents.
(3) Date of employment.
(4) Home address and phone number.
(5) Past experience, including types of employment and former employers.
(6) Duty statement.
(7) Termination date if no longer employed by the facility.
(b) All personnel shall have on file the record of the health screening as specified in Section 10564(c)(1), (2) of this subchapter.
(c) All records shall be maintained at the facility site. The licensee shall be permitted to retain such records in a central administrative location provided that they are readily available to the department at the facility site upon request.
(d) Personnel records shall be retained for three years after the termination date of employment.
NOTE

Authority cited: Section 11834.50, Health and Safety Code. Reference: Section 11834.50, Health and Safety Code.
HISTORY

1. New section filed 2-7-85 as an emergency; operative 2-7-85 (Register 85, No. 8).
2. Repealed by operation of law 2-1-86. Readoption of section filed 1-24-86 as an emergency; operative 2-1-86 (Register 86, No. 4).
3. Repealed by operation of law 6-2-86. Readoption of section filed 5-30-86 as an emergency; operative 6-1-86 (Register 86, No. 22).
4. Repealed by operation of law 9-29-86. Readoption of section filed 9-26-86 as an emergency; operative 9-29-86. A Certificate of Compliance must be transmitted to OAL no later than 1-27-87, or section will be repealed by operation of law (Gov. C. 11346.1(g)) (Register 86, No. 39).
5. Readoption of section filed 1-26-87 as an emergency; operative 1-27-87. A Certificate of Compliance must be transmitted to OAL no later than 5-26-87, or section will be repealed by operation of law (Gov. C. 11346.1(g)) (Register 87, No. 5).
6. Readoption of section filed 5-26-87 as an emergency; operative 5-26-87. A Certificate of Compliance must be transmitted to OAL no later than 9-23-87, or section will be repealed by operation of law (Gov. C. 11346.1(g)) (Register 87, No. 22).
7. Repealer and new section transmitted to OAL 9-23-87 and filed 10-23-87; operative 10-23-87 (Register 87, No. 43).
8. Change without regulatory effect amending Note filed 6-15-99 pursuant to section 100, title 1, California Code of Regulations (Register 99, No. 25).
Article 3. Program Services
§10566. Admission Agreements.
Note     •     History

(a) Fees assessed in consideration for resident recovery or treatment services shall be addressed in individual written agreements at time of admission.
(b) Admission agreements shall specify the following:
(1) Services to be provided.
(2) Payment provisions.
(A) Amount assessed. 
(B) Payment schedule.
(C) Refund policy.
(3) Those action, circumstances or conditions which may result in resident eviction from the facility.
(4) The consequences when a resident relapses and consumes alcohol and/or nonhealth sustaining drugs.
(5) Conditions under which the agreement may be terminated.
(c) Such agreements shall be dated and signed by the resident and the licensee no later than seven (7) days following admission. When a facility admits an individual solely for detoxification services, as defined in section 10501(a) of this subchapter, the facility shall be exempt from this requirement.
(d) Modifications to the original agreement shall be made whenever circumstances covered in the agreement change, and shall be dated and signed by the resident and the licensee.
(e) The licensee shall retain the original copy of the agreement and shall provide a copy to the resident.
(f) The licensee shall comply with all terms and conditions set forth in the admission agreement.
(g) The admission agreement shall be automatically terminated by the death of the resident. No liability or debt shall accrue after the date of death.
NOTE

Authority cited: Section 11834.50, Health and Safety Code. Reference: Sections 11834.01, 11834.10 and 11841(b), Health and Safety Code.
HISTORY

1. New section filed 2-7-85 as an emergency; operative 2-7-85 (Register 85, No. 8).
2. Repealed by operation of law 2-1-86. Readoption of section filed 1-24-86 as an emergency; operative 2-1-86 (Register 86, No. 4).
3. Repealed by operation of law 6-2-86. Readoption of section filed 5-30-86 as an emergency; operative 6-1-86 (Register 86, No. 22).
4. Repealed by operation of law 9-29-86. Readoption of section filed 9-26-86 as an emergency; operative 9-29-86 (Register 86, No. 39). A Certificate of Compliance must be transmitted to OAL no later than 1-27-87 or section will be repealed by operation of law (Government Code section 11346.1(g)).
5. Readoption of section filed 1-26-87 as an emergency; operative 1-27-87 (Register 87, No. 5). A Certificate of Compliance must be transmitted to OAL no later than 5-26-87 or section will be repealed by operation of law (Government Code section 11346.1(g)). 
6. Readoption of section filed 5-26-87 as an emergency; operative 5-26-87 (Register 87, No. 22). A Certificate of Compliance must be transmitted to OAL no later than 9-23-87 or section will be repealed by operation of law (Government Code section 11346.1(g)).
7. Repealer and new section transmitted to OAL 9-23-87 and filed 10-23-87; operative 10-23-87 (Register 87, No. 43).
8. Amendment of subsection (a) filed 1-2-90 as an emergency; operative 1-1-90 (Register 90, No. 1). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed by operation of law on 5-1-90.
9. Amendment of subsection (a) refiled 4-30-90 as an emergency; operative 4-30-90 (Register 90, No. 22). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed by operation of law on 8-28-90.
10. Certificate of Compliance as to 4-30-90 order including amendment of NOTE transmitted to OAL 8-27-90 and filed 9-26-90 (Register 90, No. 44).
11. Change without regulatory effect adopting new article 3 heading filed 11-17-94 pursuant to section 100, title 1, California Code of Regulations (Register 94, No. 46).
12. Change without regulatory effect amending Note filed 6-15-99 pursuant to section 100, title 1, California Code of Regulations (Register 99, No. 25).
13. Change without regulatory effect amending subsection (c) filed 2-24-2000 pursuant to section 100, title 1, California Code of Regulations (Register 2000, No. 8).
§10567. Resident Health Screening.
Note     •     History

(a) Every resident shall complete a health questionnaire which shall identify any health problems or conditions which require medical attention, or which are of such a serious nature as to preclude the person from participating in the program.
(b) Every resident shall be tested for tuberculosis under licensed medical supervision within six (6) months prior to or thirty (30) days after admission and annually thereafter if continuous participation is maintained.
(1) Residents with a known record of tuberculosis or record of positive testing shall not be required to be retested if a physician verifies the individual has been under regular care and monitoring for tuberculosis.
(c) Licensee's staff shall carefully review each resident's health questionnaire, interview each resident regarding information given, and ensure that:
(1) A resident seeks and obtains medical or dental assistance for any significant health problems while remaining in residency; or
(2) Be referred to an appropriate facility which can provide required service.
(d) A licensee that primarily provides detoxification services will be exempt from the requirement of Section 10567(b) of this subchapter.
(e) The licensee is responsible for ensuring that each resident is provided with a safe, clean, and healthful environment.
NOTE

Authority cited: Section 11834.50, Health and Safety Code. Reference: Sections 11834.01 and 11834.50, Health and Safety Code.
HISTORY

1. New section filed 2-7-85 as an emergency; operative 2-7-85 (Register 85, No. 8).
2. Repealed by operation of law 2-1-86. Readoption of section filed 1-24-86 as an emergency; operative 2-1-86 (Register 86, No. 4).
3. Repealed by operation of law 6-2-86. Readoption of section filed 5-30-86 as an emergency; operative 6-1-86 (Register 86, No. 22).
4. Repealed by operation of law 9-29-86. Readoption of section filed 9-26-86 as an emergency; operative 9-29-86. A Certificate of Compliance must be transmitted to OAL no later than 1-27-87, or section will be repealed by operation of law (Gov. C. 11346.1(g)) (Register 86, No. 39).
5. Readoption of section filed 1-26-87 as an emergency; operative 1-27-87. A Certificate of Compliance must be transmitted to OAL no later than 5-26-87, or section will be repealed by operation of law (Gov. C. 11346.1(g)) (Register 87, No. 5).
6. Readoption of section filed 5-26-87 as an emergency; operative 5-26-87. A Certificate of Compliance must be transmitted to OAL no later than 9-23-87, or section will be repealed by operation of law (Gov. C. 11346.1(g)) (Register 87, No. 22).
7. Repealer and new section transmitted to OAL 9-23-87 and filed 10-23-87; operative 10-23-87 (Register 87, No. 43).
8. Change without regulatory effect amending Note filed 6-15-99 pursuant to section 100, title 1, California Code of Regulations (Register 99, No. 25).
§10568. Resident Records.
Note     •     History

(a) A separate, complete, and current record shall be maintained in the facility for each resident.
(b) Each record shall contain information including but not limited to the following:
(1) Name of resident.
(2) Birthdate.
(3) Sex.
(4) Date of Admission.
(5) A signed copy of the admission agreement specified in Section 10566 of this subchapter.
(6) Health screening record, as specified in Section 10567.
(7) Record of any illness or injury requiring treatment by a physician or dentist and for which the facility provided assistance or referral for the resident in meeting necessary medical and dental needs.
(8) Record of any permitted current medication including the name of the person who prescribed the medication and instructions for its use.
(9) Date and reason for termination of services.
(c) All information and records obtained from or regarding residents shall be confidential and maintained in conformity with Title 42, Subchapter A, Part 2 Sections 2.1 through 2.67-1, Code of Federal Regulations, hereby incorporated by reference into these regulations.
(d) Resident records shall be updated as necessary to ensure current accuracy.
(e) Original or photographic reproduction of all resident records shall be retained for at least three (3) years following termination of service to the resident.
(f) A licensee that primarily provides detoxification services may be exempt from the requirements of Section 10568(b)(5),(9) of this subchapter.
NOTE

Authority cited: Section 11834.50, Health and Safety Code. Reference: Section 11834.01, Health and Safety Code.
HISTORY

1. New section filed 2-7-85 as an emergency; operative 2-7-85 (Register 85, No. 8).
2. Repealed by operation of law 2-1-86. Readoption of section filed 1-24-86 as an emergency; operative 2-1-86 (Register 86, No. 4).
3. Repealed by operation of law 6-2-86. Readoption of section filed 5-30-86 as an emergency; operative 6-1-86 (Register 86, No. 22).
4. Repealed by operation of law 9-29-86. Readoption of section filed 9-26-86 as an emergency; operative 9-29-86. A Certificate of Compliance must be transmitted to OAL no later than 1-27-87, or section will be repealed by operation of law (Gov. C. 1346.1(g)) (Register 86, No. 39).
5. Readoption of section filed 1-26-87 as an emergency; operative 1-27-87. A Certificate of Compliance must be transmitted to OAL no later than 5-26-87, or section will be repealed by operation of law (Gov. C. 11346.1(g)) (Register 87, No. 5).
6. Readoption of section filed 5-26-87 as an emergency; operative 5-26-87. A Certificate of Compliance must be transmitted to OAL no later than 9-23-87, or section will be repealed by operation of law (Gov. C. 11346.1(g)) (Register 87, No. 22).
7. Repealer and new section transmitted to OAL 9-23-87 and filed 10-23-87; operative 10-23-87 (Register 87, No. 43).
8. Change without regulatory effect amending subsection (c) and Note filed 6-15-99 pursuant to section 100, title 1, California Code of Regulations (Register 99, No. 25).
9. Change without regulatory effect amending subsection (c) filed 6-12-2007 pursuant to section 100, title 1, California Code of Regulations (Register 2007, No. 24).
§10569. Personal Rights.
Note     •     History

(a) Each resident shall have personal rights which include, but are not limited to, the following:
(1) The right to confidentiality as provided for in Title 42, Subchapter A, Part 2 Sections 2.1 through 2.67-1, Code of Federal Regulations.
(2) To be accorded dignity in personal relationships with staff and other persons.
(3) To be accorded safe, healthful and comfortable accommodations to meet his or her needs.
(4) To be free from intellectual, emotional and/or physical abuse.
(5) To be informed by the licensee of the provisions of law regarding complaints including but not limited to the address and telephone number of the department.
(6) To be free to attend religious services or activities of his or her choice and to have visits from a spiritual advisor provided that these services or activities do not conflict with facility program requirements. Participation in religious services will be voluntary only.
(b) All residents shall be personally advised of, and given at admission, a copy of the rights specified in (a)(1) through (6) above.
NOTE

Authority cited: Section 11834.50, Health and Safety Code. Reference: Sections 11834.01 and 11834.50, Health and Safety Code.
HISTORY

1. New section filed 2-7-85 as an emergency; operative 2-7-85 (Register 85, No. 8).
2. Repealed by operation of law 2-1-86. Readoption of section filed 1-24-86 as an emergency; operative 2-1-86 (Register 86, No. 4).
3. Repealed by operation of law 6-2-86. Readoption of section filed 5-30-86 as an emergency; operative 6-1-86 (Register 86, No. 22).
4. Repealed by operation of law 9-29-86. Readoption of section filed 9-26-86 as an emergency; operative 9-29-86. A Certificate of Compliance must be transmitted to OAL no later than 1-27-87, or section will be repealed by operation of law (Gov. C. 11346.1(g)) (Register 86, No. 39).
5. Readoption of section filed 1-26-87 as an emergency; operative 1-27-87. A Certificate of Compliance must be transmitted to OAL no later than 5-26-87, or section will be repealed by operation of law (Gov. C. 11346.1(g)) (Register 87, No. 5).
6. Readoption of section filed 5-26-87 as an emergency; operative 5-26-87. A Certificate of Compliance must be transmitted to OAL no later than 9-23-87, or section will be repealed by operation of law (Gov. C. 11346.1(g)) (Register 87, No. 22).
7. Repealer and new section transmitted to OAL 9-23-87 and filed 10-23-87; operative 10-23-87 (Register 87, No. 43).
8. Change without regulatory effect amending subsection (a)(1) and Note filed 6-15-99 pursuant to section 100, title 1, California Code of Regulations (Register 99, No. 25).
§10570. Telephones.
Note     •     History

All facilities shall have adequate telephone service on the premises for use in emergencies.
NOTE

Authority cited: Section 11834.50, Health and Safety Code. Reference: Sections 11834.01 and 11834.50, Health and Safety Code.
HISTORY

1. New section filed 2-7-85 as an emergency; operative 2-7-85 (Register 85, No. 8).
2. Repealed by operation of law 2-1-86. Readoption of section filed 1-24-86 as an emergency; operative 2-1-86 (Register 86, No. 4).
3. Repealed by operation of law 6-2-86. Readoption of section filed 5-30-86 as an emergency; operative 6-1-86 (Register 86, No. 22).
4. Repealed by operation of law 9-29-86. Readoption of section filed 9-26-86 as an emergency; operative 9-29-86. A Certificate of Compliance must be transmitted to OAL no later than 1-27-87, or section will be repealed by operation of law (Gov. C. 11346.1(g)) (Register 86, No. 39).
5. Readoption of section filed 1-26-87 as an emergency; operative 1-27-87. A Certificate of Compliance must be transmitted to OAL no later than 5-26-87, or section will be repealed by operation of law (Gov. C. 11346.1(g)) (Register 87, No. 5).
6. Readoption of section filed 5-26-87 as an emergency; operative 5-26-87. A Certificate of Compliance must be transmitted to OAL no later than 9-23-87, or section will be repealed by operation of law (Gov. C. 11346.1(g)) (Register 87, No. 22).
7. Repealer and new section transmitted to OAL 9-23-87 and filed 10-23-87; operative 10-23-87 (Register 87, No. 43).
8. Change without regulatory effect amending Note filed 6-15-99 pursuant to section 100, title 1, California Code of Regulations (Register 99, No. 25).
§10571. Transportation.
Note     •     History

(a) Only drivers licensed for the type of vehicle operated shall be permitted to transport residents.
(b) Manufacturer's rated seating capacity of vehicles shall not be exceeded.
(c) Motor vehicles used to transport residents shall be maintained in a safe operating condition.
NOTE

Authority cited: Section 11834.50, Health and Safety Code. Reference: Sections 11834.01 and 11834.50, Health and Safety Code.
HISTORY

1. New section filed 2-7-85 as an emergency; operative 2-7-85 (Register 85, No. 8).
2. Repealed by operation of law 2-1-86. Readoption of section filed 1-24-86 as an emergency; operative 2-1-86 (Register 86, No. 4).
3. Repealed by operation of law 6-2-86. Readoption of section filed 5-0-86 as an emergency; operative 6-1-86 (Register 86, No. 22).
4. Repealed by operation of law 9-29-86. Readoption of section filed 9-26-86 as an emergency; operative 9-29-86. A Certificate of Compliance must be transmitted to OAL no later than 1-27-87, or section will be repealed by operation of law (Gov. C. 11346.1(g)) (Register 86, No. 39).
5. Readoption of section filed 1-26-87 as an emergency; operative 1-27-87. A Certificate of Compliance must be transmitted to OAL no later than 5-26-87, or section will be repealed by operation of law (Gov. C. 11346.1(g)) (Register 87, No. 5).
6. Readoption of section filed 5-26-87 as an emergency; operative 5-26-87. A Certificate of Compliance must be transmitted to OAL no later than 9-23-87, or section will be repealed by operation of law (Gov. C. 11346.1(g)) (Register 87, No. 22).
7. Repealer and new section transmitted to OAL 9-23-87 and filed 10-23-87; operative 10-23-87 (Register 87, No. 43).
8. Change without regulatory effect amending Note filed 6-15-99 pursuant to section 100, title 1, California Code of Regulations (Register 99, No. 25).
§10572. Health-Related Services.
Note     •     History

(a) The licensee shall ensure that residents receive necessary first aid and information about and/or referral to needed medical or dental services.
(b) During the provision of alcoholism or drug abuse recovery or treatment services as defined in section 10501(a) of this subchapter there shall be at least one person in the facility who is capable of providing cardiopulmonary resuscitation and first aid, notwithstanding section 10572(b)(1) of this subchapter. Individuals providing cardiopulmonary resuscitation and first aid shall be qualified by the American Red Cross or other recognized agencies.
(1) Facilities providing detoxification services shall ensure that at least one person is always on the premises who is capable of providing cardio-pulmonary resuscitation and first aid.
(c) First aid supplies shall be maintained and be readily available in the facility.
(1) The supplies shall be maintained and be readily available in the facility.
(A) A current edition of a first aid manual approved by the American Red Cross, the American Medical Association or a state or federal health agency. 
(B) Sterile first aid dressings.
(C) Bandages or roller bandages.
(D) Adhesive tape.
(E) Scissors.
(F) Tweezers.
(G) Thermometers.
(H) Antiseptic solution.
(d) The following information shall be readily available:
(1) The name, address and telephone number of emergency agencies, including but not limited to the fire department, crisis center or paramedical unit.
(2) The name and telephone number of an ambulance service.
(3) It is recommended that residents sign consent forms in advance to permit the authorization of emergency medical care.
(e) No person, who, within the previous 24 hours, has consumed, used, or is still otherwise under the influence of alcohol or drugs as specified in section 10501(a), shall be permitted on the premises except for individuals admitted for detoxification or withdrawal. The licensee shall have specific written rules and policies and procedures to enforce this provision.
(f) Licit medications which are permitted by the licensee shall be controlled as specified by the licensee's written goals, objectives and procedures. Licit medications which have any depressive, stimulative, or any other psychoactive characteristic shall not be used by any resident, staff, volunteer, or other person, and shall not be kept on the premises, except when the medication is prescribed by an individual authorized to do so pursuant to section 4036, chapter 9, division 2 of the Business and Professions Code, and who has full knowledge that the medication is to be used by a person affiliated with an alcoholism or drug abuse recovery or treatment facility.
(g) Prescription medications which are not removed by the resident upon termination of services shall be destroyed by the facility administrator, or a designated substitute, and one other adult who is not a resident. Both shall sign a record, to be retained for at least one (1) year, which lists the following: 
(1) Name of the resident.
(2) The prescription number and the name of the pharmacy.
(3) The drug name, strength and quantity destroyed.
(4) The date of destruction.
NOTE

Authority cited: Section 11834.50, Health and Safety Code. Reference: Sections 11834.01 and 11834.50, Health and Safety Code.
HISTORY

1. New section filed 2-7-85 as an emergency; operative 2-7-85 (Register 85, No. 8).
2. Repealed by operation of law 2-1-86. Readoption of section filed 1-24-86 as an emergency; operative 2-1-86 (Register 86, No. 4).
3. Repealed by operation of law 6-2-86. Readoption of section filed 5-30-86 as an emergency; operative 6-1-86 (Register 86, No. 22).
4. Repealed by operation of law 9-29-86. Readoption of section filed 9-26-86 as an emergency; operative 9-29-86 (Register 86, No. 39). A Certificate of Compliance must be transmitted to OAL no later than 1-27-87 or section will be repealed by operation of law (Government Code section 11346.1(g)).
5. Readoption of section filed 1-26-87 as an emergency; operative 1-27-87 (Register 87, No. 5). A Certificate of Compliance must be transmitted to OAL no later than 5-26-87 or section will be repealed by operation of law (Government Code section 11346.1(g)).
6. Readoption of section filed 5-26-87 as an emergency; operative 5-26-87 (Register 87, No. 22). A Certificate of Compliance must be transmitted to OAL no later than 9-23-87 or section will be repealed by operation of law (Government Code section 11346.1(g)).
7. Repealer and new section transmitted to OAL 9-23-87 and filed 10-23-87; operative 10-23-87 (Register 87, No. 43).
8. Amendment of subsections (b) and (f) filed 12-27-89 as an emergency; operative 1-1-90 (Register 90, No. 1). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed by operation of law on 5-1-90.
9. Amendment of subsections (b) and (f) refiled 4-30-90 as an emergency; operative 4-30-90 (Register 90, No. 22). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed by operation of law on 8-28-90.
10. Certificate of Compliance as to 4-30-90 order including amendment of NOTE transmitted to OAL 8-27-90 and filed 9-26-90 (Register 90, No. 44).
11. Change without regulatory effect amending subsection (e) filed 9-23-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 39).
12. Change without regulatory effect amending Note filed 6-15-99 pursuant to section 100, title 1, California Code of Regulations (Register 99, No. 25).
13. Change without regulatory effect amending subsections (b) and (e) filed 2-24-2000 pursuant to section 100, title 1, California Code of Regulations (Register 2000, No. 8).
§10573. Food Service.
Note     •     History

(a) In facilities providing meals to residents, the following shall apply:
(1) The total daily diet for residents shall be of the quality and in the quantity necessary to meet the needs of the residents and shall meet the standards set forth in the ``Recommended Dietary Allowances'', ninth edition, 1980 adopted by the Food and Nutrition Board of the National Research Council of the National Academy of Science, hereby incorporated by reference, adjusted to the age, activity, and environment of the group involved. All food shall be selected, stored, prepared and served in a safe and healthful manner.
(2) Where all food is provided by the facility, arrangements shall be made so that each resident has available at least three meals per day. Not more than fifteen (15) hours shall elapse between the third meal on one day and first meal of the following day.
(3) Where meal service within a facility is elective, arrangements shall be made to ensure availability of a daily food intake meeting the requirement of (a)(1) above for all residents.
(4) Between meal nourishment shall be available for all residents unless limited by dietary restrictions prescribed by a physician.
(5) Menus shall be written at least one (1) week in advance and copies of the menus as served shall be dated and kept on file for at least 30 days. Menus shall be made available for review by the residents and the department upon request.
(6) Modified diets shall be provided, if prescribed by a resident's physician as a medical necessity.
(7) All foods shall be selected, transported, stored, prepared and served so as to be free from contamination and spoilage and shall be fit for human consumption. Food in damaged containers shall not be accepted, used or retained.
(8) Liquid milk shall be pasteurized. Powdered milk shall be mixed only in proportions specified in instructions on the package.
(9) Except upon written approval by the department, meat, poultry and meat food products shall be inspected consistent with applicable state or federal laws. Written evidence of inspection as required by law shall be available for all products not obtained from commercial markets.
(10) Home canned foods from outside sources shall not be used. The following shall apply for all foods canned at the facility:
(A) All fruits and vegetables shall be canned in accordance with the standards identified in ``Home Canning of Fruits and Vegetables'', University of California, Division of Agricultural and Natural Resources, Leaflet Number 21392, dated July 1984, hereby incorporated by reference.
(B) All fish shall be canned or otherwise preserved in accordance with ``Canned and Freezing Fish at Home'', University of California, Division of Agricultural Sciences, Leaflet number 2425, dated June 1981, hereby incorporated by reference.
(11) If food is prepared off the facility premises, the following shall apply:
(A) The preparation source shall meet all applicable requirements for commercial food services.
(B) The facility shall have the capability to receive and serve food and to cleanup.
(12) All persons engaged in food preparation and service shall observe personal hygiene and food services sanitation practices which protect the food from contamination.
(13) Residents involved in detoxification services may engage in food preparation provided their involvement does not pose a risk to their personal safety or the health and safety of other residents.
(14) All foods or beverages capable of supporting rapid and progressive growth of microorganisms which can infect or intoxicate food shall be stored in covered containers at 45 degrees Fahrenheit (7.2 degrees Celsius) or less.
(15) Pesticides and other similar toxic substances shall not be stored in food storerooms, kitchen areas, food preparation areas, or areas where kitchen equipment or utensils are stored.
(16) Soaps, detergents, cleaning compounds or similar substances shall be stored in areas separate from food supplies.
(17) All kitchen, food preparation, and storage areas shall be kept clean, free from litter and rubbish. Measures shall be taken to keep all such areas free from rodents and other vermin.
(18) All food shall be protected against contamination. Contaminated food shall be discarded immediately.
(19) All equipment, fixed or mobile, dishes, and utensils shall be kept clean, and maintained in good repair.
(20) All dishes and utensils used for eating, drinking and preparing food shall be cleaned and sanitized after each usage.
(A) Dishwashing machines shall reach a temperature of 165 degrees Fahrenheit (74 degrees Celsius) during the washing and/or drying cycle to ensure that dishes and utensils are cleaned and sanitized.
(B) Facilities not using dishwashing machines shall clean and sanitize dishes and utensils by an alternative comparable method.
(21) Equipment necessary for the storage, preparation and service of food shall be provided, and shall be properly maintained.
(22) Tableware and tables, dishes, and utensils shall be provided in the quantity necessary to serve the residents.
(b) The department may require the licensee to provide written information, including menus, regarding the food used over a given period when it is necessary to determine if the licensee is in compliance with the food service requirements in the regulations in this subchapter. The department shall specify in writing the written information required from the licensee.
(1) Menus will not be required for a period more than thirty (30) days preceding the request made by the department.
NOTE

Authority cited: Section 11834.50, Health and Safety Code. Reference: Sections 11834.01 and 11834.50, Health and Safety Code.
HISTORY

1. New section filed 2-7-85 as an emergency; operative 2-7-85 (Register 85, No. 8).
2. Repealed by operation of law 2-1-86. Readoption of section filed 1-24-86 as an emergency; operative 2-1-86 (Register 86, No. 4).
3. Repealed by operation of law 6-2-86. Readoption of section filed 5-30-86 as an emergency; operative 6-1-86 (Register 86, No. 22).
4. Repealed by operation of law 9-29-86. Readoption of section filed 9-26-86 as an emergency; operative 9-29-86. A Certificate of Compliance must be transmitted to OAL no later than 1-27-87, or section will be repealed by operation of law (Gov. C. 11346.1(g)) (Register 86, No. 39).
5. Readoption of section filed 1-26-87 as an emergency; operative 1-27-87. A Certificate of Compliance must be transmitted to OAL no later than 5-26-87, or section will be repealed by operation of law (Gov. C. 11346.1(g)) (Register 87, No. 5).
6. Readoption of section filed 5-26-87 as an emergency; operative 5-26-87. A Certificate of Compliance must be transmitted to OAL no later than 9-23-87, or section will be repealed by operation of law (Gov. C. 11346.1(g)) (Register 87, No. 22).
7. Repealer and new section transmitted to OAL 9-23-87 and filed 10-23-87; operative 10-23-87 (Register 87, No. 43).
8. Change without regulatory effect amending Note filed 6-15-99 pursuant to section 100, title 1, California Code of Regulations (Register 99, No. 25).
§10574. Activities.
Note     •     History

The licensee shall demonstrate that it provides adequate opportunities for residents to participate in activities consistent with stated goals and objectives.
NOTE

Authority cited: Section 11834.50, Health and Safety Code. Reference: Sections 11834.01 and 11834.50, Health and Safety Code.
HISTORY

1. New section filed 2-7-85 as an emergency; operative 2-7-85 (Register 85, No. 8).
2. Repealed by operation of law 2-1-86. Readoption of section filed 1-24-86 as an emergency; operative 2-1-86 (Register 86, No. 4).
3. Repealed by operation of law 6-2-86. Readoption of section filed 5-30-86 as an emergency; operative 6-1-86 (Register 86, No. 22).
4. Repealed by operation of law 9-29-86. Readoption of section filed 9-26-86 as an emergency; operative 9-29-86. A Certificate of Compliance must be transmitted to OAL no later than 1-27-87, or section will be repealed by operation of law (Gov. C. 11346.1(g)) (Register 86, No. 39).
5. Readoption of section filed 1-26-87 as an emergency; operative 1-27-87. A Certificate of Compliance must be transmitted to OAL no later than 5-26-87, or section will be repealed by operation of law (Gov. C. 11346.1(g)) (Register 87, No. 5).
6. Readoption of section filed 5-26-87 as an emergency; operative 5-26-87. A Certificate of Compliance must be transmitted to OAL no later than 9-23-87, or section will be repealed by operation of law (Gov. C. 11346.1(g)) (Register 87, No. 22).
7. Repealer and new section transmitted to OAL 9-23-87 and filed 10-23-87; operative 10-23-87 (Register 87, No. 43).
8. Change without regulatory effect amending Note filed 6-15-99 pursuant to section 100, title 1, California Code of Regulations (Register 99, No. 25).
Article 4. Physical Environment
§10580. Alterations to Existing Buildings or New Facilities.
Note     •     History

(a) Prior to major construction or alterations, licensee shall notify the department of the proposed change.
(b) The department may require that the licensee have a building inspection by a local inspector if the department suspects that a hazard to the residents' heath and safety exists.
NOTE

Authority cited: Section 11834.50, Health and Safety Code. Reference: Sections 11834.01 and 11834.50, Health and Safety Code.
HISTORY

1. New section filed 2-7-85 as an emergency; operative 2-7-85 (Register 85, No. 8).
2. Repealed by operation of law 2-1-86. Readoption of section filed 1-24-86 as an emergency; operative 2-1-86 (Register 86, No. 4).
3. Repealed by operation of law 6-2-86. Readoption of section filed 5-30-86 as an emergency; operative 6-1-86 (Register 86, No. 22).
4. Repealed by operation of law 9-29-86. Readoption of section filed 9-26-86 as an emergency; operative 9-29-86. A Certificate of Compliance must be transmitted to OAL no later than 1-27-87, or section will be repealed by operation of law (Gov. C. 11346.1(g)) (Register 86, No. 39).
5. Readoption of section filed 1-26-87 as an emergency; operative 1-27-87. A Certificate of Compliance must be transmitted to OAL no later than 5-26-87, or section will be repealed by operation of law (Gov. C. 11346.1(g)) (Register 87, No. 5).
6. Readoption of section filed 5-26-87 as an emergency; operative 5-26-87. A Certificate of Compliance must be transmitted to OAL no later than 9-23-87, or section will be repealed by operation of law (Gov. C. 11346.1(g)) (Register 87, No. 22).
7. Repealer and new section transmitted to OAL 9-23-87 and filed 10-23-87; operative 10-23-87 (Register 87, No. 43).
8. Change without regulatory effect renumbering  article heading filed 11-17-94 pursuant to section 100, title 1, California Code of Regulations (Register 94, No. 46).
9. Change without regulatory effect amending Note filed 6-15-99 pursuant to section 100, title 1, California Code of Regulations (Register 99, No. 25).
§10581. Buildings and Grounds.
Note     •     History

(a) Facilities shall be clean, safe, sanitary and in good repair at all times for the safety and well-being of residents, employees and visitors.
(1) The licensee shall take measures to keep the facility free of flies and other insects.
(2) The licensee shall provide for the safe disposal of contaminated water and chemicals used for cleaning purposes.
(3) The facility must be separate and secure. Facility living, sleeping, bathing and toiletry areas shall be enclosed by permanent walls, floors, ceilings and doors.
(A) This is not to preclude the use of more than one building in meeting the requirements for licensure.
(B) This is not to preclude the use of a wing(s) of a building or floor(s) of a building in meeting the requirements for licensure.
(4) Facility access by individuals who are neither residents, facility staff, volunteers, nor authorized visitors shall be limited and monitored by the facility.
(b) All residents shall be protected against hazards within the facility through provision of protective devices including but not limited to nonslip material on rugs.
(c) All outdoor and indoor passageways, stairways, inclines, ramps, open porches and other areas of potential hazard shall be kept free of obstruction.
(d) General permanent or portable storage space shall be available for the storage of facility equipment and supplies. Facility equipment and supplies shall be stored in appropriate space and shall not be stored in space designated for other activities.
(e) All in-ground pools and above-ground pools which cannot be emptied after each use shall have an operative pump and filtering system.
(f) Where female and male residents are housed in the same facility, the licensee shall ensure minimal personal security and privacy which will include but not be limited to the following:
(1) Separate and adequate toilet, hand washing, and bathing facilities for females and males. Such facilities shall be in proximity of designated sleeping quarters.
(2) Separate and adequate sleeping areas for females and males. Such areas shall be enclosed by permanent walls which extend from the floor to the ceiling and a permanent door.
(3) Twenty-four (24) hour staff coverage.
NOTE

Authority cited: Section 11834.50, Health and Safety Code. Reference: Sections 11834.01 and 11834.50, Health and Safety Code.
HISTORY

1. New section filed 2-7-85 as an emergency; operative 2-7-85 (Register 85, No. 8).
2. Repealed by operation of law 2-1-86. Readoption of section filed 1-24-86 as an emergency; operative 2-1-86 (Register 86, No. 4).
3. Repealed by operation of law 6-2-86. Readoption of section filed 5-30-86 as an emergency; operative 6-1-86 (Register 86, No. 22).
4. Repealed by operation of law 9-29-86. Readoption of section filed 9-26-86 as an emergency; operative 9-29-86. A Certificate of Compliance must be transmitted to OAL no later than 1-27-87, or section will be repealed by operation of law (Gov. C. 11346.1(g)) (Register 86, No. 39).
5. Readoption of section filed 1-26-87 as an emergency; operative 1-27-87. A Certificate of Compliance must be transmitted to OAL no later than 5-26-87, or section will be repealed by operation of law (Gov. C. 11346.1(g)) (Register 87, No. 5).
6. Readoption of section filed 5-26-87 as an emergency; operative 5-26-87. A Certificate of Compliance must be transmitted to OAL no later than 9-23-87, or section will be repealed by operation of law (Gov. C. 11346.1(g)) (Register 87, No. 22).
7. Repealer and new section transmitted to OAL 9-23-87 and filed 10-23-87; operative 10-23-87 (Register 87, No. 43).
8. Change without regulatory effect amending subsections (f)(1) and (f)(3) and amending Note filed 6-15-99 pursuant to section 100, title 1, California Code of Regulations (Register 99, No. 25).
§10582. Outdoor and Indoor Activity Space.
Note     •     History

The licensee shall provide indoor and outdoor activity space for residents according to the program goals and objectives.
NOTE

Authority cited: Section 11834.50, Health and Safety Code. Reference: Sections 11834.01 and 11834.50, Health and Safety Code.
HISTORY

1. New section filed 2-7-85 as an emergency; operative 2-7-85 (Register 85, No. 8).
2. Repealed by operation of law 2-1-86. Readoption of section filed 1-24-86 as an emergency; operative 2-1-86 (Register 86, No. 4).
3. Repealed by operation of law 6-2-86. Readoption of section filed 5-30-86 as an emergency; operative 6-1-86 (Register 86, No. 22).
4. Repealed by operation of law 9-29-86. Readoption of section filed 9-26-86 as an emergency; operative 9-29-86. A Certificate of Compliance must be transmitted to OAL no lter than 1-27-87, or section will be repealed by operation of law (Gov. C. 11346.1(g)) (Register 86, No. 39).
5. Readoption of section filed 1-26-87 as an emergency; operative 1-27-87. A Certificate of Compliance must be transmitted to OAL no later than 5-26-87, or section will be repealed by operation of law (Gov. C. 11346.1(g)) (Register 87, No. 5).
6. Readoption of section filed 5-26-87 as an emergency; operative 5-26-87. A Certificate of Compliance must be transmitted to OAL no later than 9-23-87, or section will be repealed by operation of law (Gov. C. 11346.1(g)) (Register 87, No. 22).
7. Repealer and new section transmitted to OAL 9-23-87 and filed 10-23-87; operative 10-23-87 (Register 87, No. 43).
8. Change without regulatory effect amending Note filed 6-15-99 pursuant to section 100, title 1, California Code of Regulations (Register 99, No. 25).
§10583. Storage Space.
Note     •     History

(a) There shall be space available for storage of residents' personal belongings.
(b) There shall be space available for storage of equipment and supplies necessary to implement the planned activity program.
(c) There shall be space available for storage of staff members' immediate personal belongings.
(d) There shall be space available for storage of the facility records specified in this chapter.
(e) Storage space may be either permanent or portable.
NOTE

Authority cited: Section 11834.50, Health and Safety Code. Reference: Sections 11834.01 and 11834.50, Health and Safety Code.
HISTORY

1. New section filed 2-7-85 as an emergency; operative 2-7-85 (Register 85, No. 8).
2. Repealed by operation of law 2-1-86. Readoption of section filed 1-24-86 as an emergency; operative 2-1-86 (Register 86, No. 4).
3. Repealed by operation of law 6-2-86. Readoption of section filed 5-30-86 as an emergency; operative 6-1-86 (Register 86, No. 22).
4. Repealed by operation of law 9-29-86. Readoption of section filed 9-26-86 as an emergency; operative 9-29-86. A Certificate of Compliance must be transmitted to OAL no later than 1-27-87, or section will be repealed by operation of law (Gov. C. 11346.1(g)) (Register 86, No. 39).
5. Readoption of section filed 1-26-87 as an emergency; operative 1-27-87. A Certificate of Compliance must be transmitted to OAL no later than 5-26-87, or section will be repealed by operation of law (Gov. C. 11346.1(g)) (Register 87, No. 5).
6. Readoption of section filed 5-26-87 as an emergency; operative 5-26-87. A Certificate of Compliance must be transmitted to OAL no later than 9-23-87, or section will be repealed by operation of law (Gov. C. 11346.1(g)) (Register 87, No. 22).
7. Repealer and new section transmitted to OAL 9-23-87 and filed 10-23-87; operative 10-23-87 (Register 87, No. 43).
8. Change without regulatory effect amending Note filed 6-15-99 pursuant to section 100, title 1, California Code of Regulations (Register 99, No. 25).
§10584. Fixtures, Furniture, Equipment and Supplies.
Note     •     History

(a) A comfortable temperature for residents shall be maintained at all times.
(b) All window screens shall be in good repair and be free of insects, dirt and other debris.
(c) The licensee shall provide lamps or lights as necessary in all rooms and other areas to ensure the safety of all persons in the facility.
(d) Hot water faucets used by residents for personal care shall meet the following requirements:
(1) Hot water delivered to plumbing fixtures used by residents shall not be less than 105 degrees Fahrenheit (40.5 degrees Celsius) and not more than 130 degrees Fahrenheit (54.4 degrees Celsius).
(2) Taps delivering water at 131 degrees Fahrenheit (54.9 degrees Celsius) or above shall be prominently identified by warning signs.
(e) All toilets, handwashing and bathing facilities shall be maintained in safe and sanitary operating conditions.
(f) Solid waste shall be stored, located and disposed in such a manner that will not transmit communicable diseases, emit odors, create a nuisance, or provide a breeding place or food source for insects or rodents.
(1) All containers, including moveable bins, used for storage of solid waste shall have tight-fitting covers that are kept in place. The containers and covers shall be in good repair, leakproof and rodent-proof.
(2) Solid waste containers, including moveable bins, receiving putrescible waste shall be emptied at least once per week or more often if necessary to comply with (f) above.
(g) The licensee shall provide clean linen in good repair, including lightweight, warm blankets, top and bottom bed sheets, pillow cases, mattress pads, bath towels, and wash cloths. The quantity of linen provided shall permit changing, at a minimum, once a week or with greater frequency if needed.
(h) Adequate bathing, handwashing and toilet facilities shall be provided with the maximum ratio of one facility per eight (8) residents. Space for each resident's toilet articles shall be provided.
(i) The facility shall provide each resident with an individual bed maintained in good repair, equipped with good springs and a clean mattress and supplied with pillow(s), linen and lightweight warm blankets which are clean and in good repair. Bunk beds are not excluded provided they otherwise meet these requirements.
NOTE

Authority cited: Section 11834.50, Health and Safety Code. Reference: Sections 11834.01 and 11834.50, Health and Safety Code.
HISTORY

1. New section filed 2-7-85 as an emergency; operative 2-7-85 (Register 85, No. 8).
2. Repealed by operation of law 2-1-86. Readoption of section filed 1-24-86 as an emergency; operative 2-1-86 (Register 86, No. 4).
3. Repealed by operation of law 6-2-86. Readoption of section filed 5-30-86 as an emergency; operative 6-1-86 (Register 86, No. 22).
4. Repealed by operation of law 9-29-86. Readoption of section filed 9-26-86 as an emergency; operative 9-29-86. A Certificate of Compliance must be transmitted to OAL no later than 1-27-87, or section will be repealed by operation of law (Gov. C. 11346.1(g)) (Register 86, No. 39).
5. Readoption of section filed 1-26-87 as an emergency; operative 1-27-87. A Certificate of Compliance must be transmitted to OAL no later than 5-26-87, or section will be repealed by operation of law (Gov. C. 11346.1(g)) (Register 87, No. 5).
6. Readoption of section filed 5-26-87 as an emergency; operative 5-26-87. A Certificate of Compliance must be transmitted to OAL no later than 9-23-87, or section will be repealed by operation of law (Gov. C. 11346.1(g)) (Register 87, No. 22).
7. Repealer and new section transmitted to OAL 9-23-87 and filed 10-23-87; operative 10-23-87 (Register 87, No. 43).
8. Editorial correction of subsection (d)(1) and History 6 (Register 95, No. 43).
9. Change without regulatory effect amending Note filed 6-15-99 pursuant to section 100, title 1, California Code of Regulations (Register 99, No. 25).
Article 5. Adolescents in Adult Alcoholism or Drug Abuse Recovery or Treatment Facilities [Repealed]
§10589. Waivers to Treat Adolescents in Adult Facilities. [Repealed]
Note     •     History

NOTE

Authority cited: Sections 11755 and 11834.50, Health and Safety Code. Reference: Section 11834.50, Health and Safety Code.
HISTORY

1. Change without regulatory effect renumbering and relocating  article heading and renumbering and amending former section 10521 to new section 10589 filed 11-17-94 pursuant to section 100, title 1, California Code of Regulations (Register 94, No. 46).
2. Repealer of former subchapter 3, article 5 (sections 10589-10598) and section filed 3-18-97; operative 4-17-97 (Register 97, No. 12).
§10590. General. [Repealed]
Note     •     History

NOTE

Authority cited: Section 11834.13, Health and Safety Code. Reference: Sections 11834.10, 11834.11, and 11834.19, Health and Safety Code.
HISTORY

1. New section filed 10-23-87; operative 10-23-87 (Register 87, No. 43). 
2. Amendment of subsections (a) and (b) filed 12-27-89 as an emergency; operative 1-1-90 (Register 90, No. 1). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed by operation of law on 5-1-90.
3. Amendment of subsections (a) and (b) refiled 4-30-90 as an emergency; operative 4-30-90 (Register 90, No. 22). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed by operation of law on 8-28-90.
4. Certificate of Compliance as to 4-30-90 order including amendment of NOTE transmitted to OAL 8-27-90 and filed 9-26-90 (Register 90, No. 44).
5. Change without regulatory effect relocating and renumbering article heading filed 11-17-94 pursuant to section 100, title 1, California Code of Regulations (Register 94, No. 46).
6. Repealer filed 3-18-97; operative 4-17-97 (Register 97, No. 12).
§10591. Waiver Required. [Repealed]
Note     •     History

NOTE

Authority cited: Section 11834.13, Health and Safety Code. Reference: Sections 11834.10, 11834.11, 11834.14(d), and 11834.19, Health and Safety Code.
HISTORY

1. New section filed 10-23-87; operative 10-23-87 (Register 87, No. 43). 
2. Amendment of subsections (a)-(c) filed 12-27-89 as an emergency; operative 1-1-90 (Register 90, No. 1). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed by operation of law on 5-1-90.
3. Amendment of subsections (a)-(c) refiled 4-30-90 as an emergency; operative 4-30-90 (Register 90, No. 22). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed by operation of law on 8-28-90.
4. Certificate of Compliance as to 4-30-90 order including amendment of NOTE transmitted to OAL 8-27-90 and filed 9-26-90 (Register 90, No. 44).
5. Repealer filed 3-18-97; operative 4-17-97 (Register 97, No. 12).
§10592. Serious Deficiencies. [Repealed]
Note     •     History

NOTE

Authority cited: Section 11834.13, Health and Safety Code. Reference: Section 11834.14 (c), (d), Health and Safety Code.
HISTORY

1. New section filed 10-23-87; operative 10-23-87 (Register 87, No. 43).
2. Repealer filed 3-18-97; operative 4-17-97 (Register 97, No. 12).
§10593. Reporting Requirements. [Repealed]
Note     •     History

NOTE

Authority cited: Section 11834.13, Health and Safety Code. Reference: Section 11834.14(c), (d), Health and Safety Code.
HISTORY

1. New section filed 10-23-87; operative 10-23-87 (Register 87, No. 43).
2. Repealer filed 3-18-97; operative 4-17-97 (Register 97, No. 12).
§10594. Personnel Requirements. [Repealed]
Note     •     History

NOTE

Authority cited: Section 11834.13, Health and Safety Code. Reference: Sections 11834.10, 11834.11, 11834.14(c), (d) and 11834.19, Health and Safety Code.
HISTORY

1. New section filed 10-23-87; operative 10-23-87 (Register 87, No. 43). 
2. Amendment of subsection (a) filed 12-27-89 as an emergency; operative 1-1-90 (Register 90, No.1). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed by operation of law on 5-1-90.
3. Amendment of subsection (a) refiled 4-30-90 as an emergency; operative 4-30-90 (Register 90, No. 22). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed by operation of law on 8-28-90.
4. Certificate of Compliance as to 4-30-90 order including amendment of NOTE transmitted to OAL 8-27-90 and filed 9-26-90 (Register 90, No. 44).
5. Repealer filed 3-18-97; operative 4-17-97 (Register 97, No. 12).
§10595. Admission Agreements. [Repealed]
Note     •     History

NOTE

Authority cited: Section 11834.13, Health and Safety Code. Reference: Section 11834.14(c), Health and Safety Code.
HISTORY

1. New section filed 10-23-87; operative 10-23-87 (Register 87, No. 43).
2. Repealer filed 3-18-97; operative 4-17-97 (Register 97, No. 12).
§10596. Resident Records. [Repealed]
Note     •     History

NOTE

Authority cited: Section 11834.13, Health and Safety Code. Reference: Section 11834.14(d), Health and Safety Code.
HISTORY

1. New section filed 10-23-87; operative 10-23-87 (Register 87, No. 43).
2. Repealer filed 3-18-97; operative 4-17-97 (Register 97, No. 12).
§10597. Additional Services. [Repealed]
Note     •     History

NOTE

Authority cited: Section 11834.13, Health and Safety Code. Reference: Sections 11834.10, 11834.11, 11834.14 (c), and 11834.19, Health and Safety Code.
HISTORY

1. New section filed 10-23-87; operative 10-23-87 (Register 87, No. 43). 
2. Amendment of subsection (b) filed 12-27-89 as an emergency; operative 1-1-90 (Register 90, No. 1). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed by operation of law on 5-1-90.
3. Amendment of subsection (b) refiled 4-30-90 as an emergency; operative 4-30-90 (Register 90, No. 22). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed by operation of law on 8-28-90.
4. Certificate of Compliance as to 4-30-90 order including amendment of NOTE transmitted to OAL 8-27-90 and filed 9-26-90 (Register 90, No. 44).
5. Repealer filed 3-18-97; operative 4-17-97 (Register 97, No. 12).
Subchapter 4. Additional Requirements for Facilities Providing Services to Adolescents in Adult Facilities
Article 1. Application and Purpose of Subchapter
§10598. Application and Purpose of Subchapter.
Note     •     History

The regulations in this Subchapter shall apply to all alcoholism or drug abuse recovery or treatment facilities which have a waiver or are in the process of obtaining a waiver to provide nonmedical alcoholism or drug abuse recovery or treatment, or detoxification services to adolescents.
NOTE

Authority cited: Sections 11755, 11834.50 and 11835, Health and Safety Code. Reference: Section 11834.50, Health and Safety Code.
HISTORY

1. New section filed 10-23-87; operative 10-23-87 (Register 87, No. 43).
2. Repealer of section and new subchapter 4, article 1 (section 10598) and section filed 3-18-97; operative 4-17-97 (Register 97, No. 12).
Article 2. Waivers to Treat Adolescents in Adult Facilities
§10599. Departmental Authority to Grant Waivers.
Note     •     History

The Department may grant a waiver, which will allow a licensed alcoholism or drug abuse recovery or treatment facility to serve adolescents fourteen (14) years of age and older, when the licensee documents in writing that:
(a) A need for such services exists, and
(b) Adolescent-specific services are otherwise unavailable in the county. Lack of available services shall be supported by a written statement from the county alcohol or drug program administrator of the county in which the facility is located.
NOTE

Authority cited: Sections 11755, 11834.50 and 11835, Health and Safety Code. Reference: Section 11834.50, Health and Safety Code.
HISTORY

1. New subchapter 4, article 2 (sections 10599-10612) and section filed 3-18-97; operative 4-17-97 (Register 97, No. 12).
§10600. Requirement for Waiver.
Note     •     History

The licensee shall obtain a waiver from the Department, in accordance with this Subchapter, before admitting or providing services to an adolescent.
NOTE

Authority cited: Sections 11755, 11834.50 and 11835, Health and Safety Code. Reference: Section 11834.50, Health and Safety Code.
HISTORY

1. New section filed 10-23-87; operative 10-23087 (Register 87, No. 43).
2. Change without regulatory effect renumbering  article heading filed 11-17-94 pursuant to section 100, title 1, California Code of Regulations (Register 94, No. 46).
3. Repealer of former subchapter 3, article 6 (sections 10600-10612) and section, and new section filed 3-18-97; operative 4-17-97 (Register 97, No. 12).
§10601. Prohibition Against Providing Adolescent Services Without a Waiver.
Note     •     History

The licensee shall not admit or provide services to an adolescent prior to obtaining a waiver from the Department in accordance with this Subchapter. The letter, issued by the Department to approve the waiver, shall stipulate that the licensee may provide recovery, treatment, or detoxification services to a specified maximum number of adolescents, for a specific period of time. The waiver approval letter shall be displayed in conjunction with the license.
NOTE

Authority cited: Sections 11755, 11834.50 and 11835, Health and Safety Code. Reference: Section 11834.50, Health and Safety Code.
HISTORY

1. New section filed 10-23-87; operative 10-23-87 (Register 87, No. 43).
2. Repealer and new section filed 3-18-97; operative 4-17-97 (Register 97, No. 12).
§10602. Limitation on Capacity.
Note     •     History

(a) Facilities with a total capacity of one (1) to ten (10) residents may be granted a waiver to serve one (1) adolescent. Facilities with a total capacity of eleven (11) to twenty (20) residents may be granted a waiver to serve two (2) adolescents. Facilities with a total capacity of twenty-one or more residents may be granted a waiver to serve three (3) adolescents.
(b) The Department shall not approve a waiver to serve more than three (3) adolescents in any facility.
(c) Adolescent participation in an alcoholism or drug abuse recovery or treatment facility shall be limited to minors fourteen (14) years of age or older.
(d) Upon approval of a waiver, a male adolescent fourteen (14) years of age or older may be admitted to a facility which provides services to male adults only.
(e) Upon approval of a waiver, a female adolescent fourteen (14) years of age or older may be admitted to facility which provides services to female adults only.
(f) Male and female adolescents may be admitted to a facility which provides services to both male and female adults only when:
(1) The licensee has developed and enforces a policy which addresses the following issues:
(A) Staff/client, staff/staff, and client/client relationships;
(B) Sexual harassment; and
(C) Violent assaults;
(2) A trained, paid, staff member shall be on duty an awake at all times;
(3) The licensee has developed and implemented staff training which identifies areas unique to adolescent growth and development and teaches appropriate responses to the unique needs of the adolescent population to be served;
(4) The licensee has made provisions for groups which are limited to the gender of the adolescent to be served; and
(5) The licensee has identified appropriate community resources.
(g) The licensee shall comply with the criminal records clearance requirements of Article 4 (commencing with Section 10624) of this Subchapter to admitting or providing services to an adolescent.
NOTE

Authority cited: Sections 11755, 11834.50 and 11835, Health and Safety Code. Reference: Section 11834.50, Health and Safety Code.
HISTORY

1. New section filed 10-23-87; operative 10-23-87 (Register 87, No. 43).
2. Repealer and new section filed 3-18-97; operative 4-17-97 (Register 97, No. 12).
§10603. Who May Request a Waiver.
Note     •     History

Any applicant for licensure or any licensed alcoholism or drug abuse recovery or treatment facility may request a waiver to provide services to adolescents in accordance with this Subchapter.
NOTE

Authority cited: Sections 11755, 11834.50 and 11835, Health and Safety Code. Reference: Section 11834.50, Health and Safety Code.
HISTORY

1. New section filed 10-23-87; operative 10-23-87 (Register 87, No. 43).
2. Repealer and new section filed 3-18-97; operative 4-17-97 (Register 97, No. 12).
§10604. Content of Request for Waiver.
Note     •     History

The written request for waiver shall include:
(a) A plan for:
(1) Continuing the education for adolescent residents in accordance with state law, and
(2) Provision of supervised study time;
(b) Intake policies and procedures;
(c) A copy of the admission agreement used for adolescent residents;
(d) Policies and procedures for removal and/or discharge of adolescent residents from the facility;
(e) Policies and procedures for disciplining adolescent residents;
(f) The documentation required in Section 10605; and
(g) Fingerprint forms for individuals identified in Section 10624, per procedure in Section 10625.
NOTE

Authority cited: Sections 11755, 11834.50 and 11835, Health and Safety Code. Reference: Section 11834.50, Health and Safety Code.
HISTORY

1. New section filed 10-23-87; operative 10-23-87 (Register 87, No. 43).
2. Repealer and new section filed 3-18-97; operative 4-17-97 (Register 97, No. 12).
§10605. Documentation to be Submitted with Waiver.
Note     •     History

The licensee shall attach to the written request for waiver a written statement from the county alcohol or drug program administrator of the county in which the facility is located. The written statement shall document that:
(a) A need for such services exists; and
(b) Adolescent-specific services are otherwise unavailable in the county.
NOTE

Authority cited: Sections 11755, 11834.50 and 11835, Health and Safety Code. Reference: Section 11834.50, Health and Safety Code.
HISTORY

1. New section filed 10-23-87; operative 10-23-87 (Register 87, No. 43).
2. Repealer and new section filed 3-18-97; operative 4-17-97 (Register 97, No. 12).
§10606. Where to Submit Request for Waiver.
Note     •     History

(a) The licensee shall submit the written request for waiver and documentation required in accordance with Section 10605 to the Licensing and Certification Division, Department of Alcohol and Drug Programs, 1700 K Street, Sacramento, CA 95811-4037.
(b) Subsequent to the Department's approval of the waiver, the licensee shall maintain on file a copy of the request for waiver.
NOTE

Authority cited: Sections 11755, 11834.50 and 11835, Health and Safety Code. Reference: Section 11834.50, Health and Safety Code.
HISTORY

1. New section filed 10-23-87; operative 10-23-87 (Register 87, No. 43).
2. Repealer and new section filed 3-18-97; operative 4-17-97 (Register 97, No. 12).
3. Change without regulatory effect amending subsection (a) filed 6-12-2007 pursuant to section 100, title 1, California Code of Regulations (Register 2007, No. 24).
4. Change without regulatory effect amending subsection (a) filed 3-6-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 10).
§10607. Departmental Review of Request for Waiver.
Note     •     History

(a) The Department shall review the written request for waiver to determine if it complies with the requirements of this Subchapter.
(b) The Department shall not approve a waiver prior to approval of a criminal records clearance, pursuant to Article 4 (commencing with Section 10624) of this Subchapter.
NOTE

Authority cited: Sections 11755, 11834.50 and 11835, Health and Safety Code. Reference: Section 11834.50, Health and Safety Code.
HISTORY

1. New section filed 10-23-87; operative 10-23-87 (Register 87, No. 43).
2. Repealer and new section filed 3-18-97; operative 4-17-97 (Register 97, No. 12).
§10608. Approval of Waiver.
Note     •     History

The Department shall approve the request for waiver if it complies with the requirements of this Subchapter, including the criminal records clearance provisions of Sections 10624 through 10631.
NOTE

Authority cited: Sections 11755, 11834.50 and 11835, Health and Safety Code. Reference: Section 11834.50, Health and Safety Code.
HISTORY

1. New section filed 10-23-87; operative 10-23-87 (Register 87, No. 43).
2. Repealer and new section filed 3-18-97; operative 4-17-97 (Register 97, No. 12).
3. Change without regulatory effect amending section filed 6-12-2007 pursuant to section 100, title 1, California Code of Regulations (Register 2007, No. 24).
§10609. Renewal of Waiver.
Note     •     History

The Department shall reassess the need for a waiver in conjunction with the extension of the period of licensure, as discussed in Section 10529.
NOTE

Authority cited: Sections 11755, 11834.50 and 11835, Health and Safety Code. Reference: Section 11834.50, Health and Safety Code.
HISTORY

1. New section filed 10-23-87; operative 10-23-87 (Register 87, No. 43).
2. Repealer and new section filed 3-18-97; operative 4-17-97 (Register 97, No. 12).
3. Change without regulatory effect amending section filed 6-12-2007 pursuant to section 100, title 1, California Code of Regulations (Register 2007, No. 24).
§10610. Voluntary Surrender of Waiver.
Note     •     History

At any time, after submission of the request for waiver, the licensee may voluntarily surrender the waiver by so notifying the Department in writing and returning to the Department the waiver approval letter.
NOTE

Authority cited: Sections 11755, 11834.50 and 11835, Health and Safety Code. Reference: Section 11834.50, Health and Safety Code.
HISTORY

1. New section filed 10-23-87; operative 10-23-87 (Register 87, No. 43).
2. Repealer and new section filed 3-18-97; operative 4-17-97 (Register 97, No. 12).
§10611. Denial of Waiver.
Note     •     History

The Department shall deny the request for waiver if it does not comply with the requirements of this Subchapter, including the criminal records clearance provisions of Sections 10624 through 10631.
NOTE

Authority cited: Sections 11755, 11834.50 and 11835, Health and Safety Code. Reference: Section 11834.50, Health and Safety Code.
HISTORY

1. New section filed 10-23-87; operative 10-23-87 (Register 87, No. 43).
2. Repealer and new section filed 3-18-97; operative 4-17-97 (Register 97, No. 12).
§10612. Termination of Waiver.
Note     •     History

(a) The Department shall terminate a waiver when Departmental review indicates that the licensee is not in compliance with the requirements of this Subchapter, including the criminal records clearance provisions of Sections 10624 through 10631.
(b) The waiver shall terminate immediately upon oral or written notification by the Department. The Department shall follow-up oral notification by letter within ten days.
NOTE

Authority cited: Sections 11755, 11834.50 and 11835, Health and Safety Code. Reference: Section 11834.50, Health and Safety Code.
HISTORY

1. New section filed 10-23-87; operative 10-23-87 (Register 87, No. 43).
2. Repealer and new section filed 3-18-97; operative 4-17-97 (Register 97, No. 12).
Article 3. Compliance Requirements
§10613. Admission of Adolescents.
Note     •     History

(a) In addition to the requirements of Section 10566, the licensee shall develop and implement intake procedures.
(b) At the time of admission, the licensee shall provide the adolescent resident and the adolescent's authorized representative with a written admission agreement which meets the requirements of Section 10566.
(1) Within seven (7) days of the resident's admission, the admission agreement shall be dated and signed by:
(A) The adolescent resident,
(B) The adolescent's authorized representative, and
(C) The licensee.
(2) Modifications to the original agreement shall be dated and signed by:
(A) The adolescent resident,
(B) The adolescent's authorized representative, and
(C) The licensee.
(3) The licensee shall:
(A) Retain in the adolescent resident's record the original copy of the signed admission agreement and any modifications, and
(B) Provide a copy of the signed admission agreement and any modifications to the adolescent resident and to the adolescent's authorized representative.
(c) The licensee shall comply with all terms and conditions set forth in the admission agreement.
NOTE

Authority cited: Sections 11755, 11834.50 and 11835, Health and Safety Code. Reference: Section 11834.50, Health and Safety Code.
HISTORY

1. New subchapter 4, article 3 (sections 10613-10623) and section filed 3-18-97; operative 4-17-97 (Register 97, No. 12).
2. Change without regulatory effect amending subsection (b) filed 6-12-2007 pursuant to section 100, title 1, California Code of Regulations (Register 2007, No. 24).
§10614. Consent of Authorized Representative.
Note     •     History

(a) The licensee shall permit any adolescent resident to act on his/her own behalf and shall not require such adolescent resident to have an authorized representative, provided that the adolescent has:
(1) Applied for services pursuant to Family Code Section 6929(b), or
(2) Been emancipated pursuant to Part 6 (commencing with Section 7000) Division 11 of the Family Code.
(b) The licensee shall require all adolescents, other than those covered in (a)(1) or (2) of this regulation, to have an authorized representative.
(c) The licensee shall not detain an adolescent resident against the will of the adolescent's parent, legal guardian, or conservator. In those cases where law permits the adolescent to contract for or consent to treatment without the consent of an authorized representative, the adolescent shall not be detained in the facility against his/her will. This provision shall not be construed to preclude nor to prohibit attempts to persuade an adolescent resident to remain at the facility.
NOTE

Authority cited: Sections 11755, 11834.50 and 11835, Health and Safety Code. Reference: Section 11834.50, Health and Safety Code.
HISTORY

1. New section filed 3-18-97; operative 4-17-97 (Register 97, No. 12).
§10615. Staffing Requirements.
Note     •     History

(a) An alcoholism or drug abuse recovery or treatment facility granted a waiver to serve adolescents shall provide supervision of adolescent residents by program staff twenty-four (24) hours per day, seven (7) days per week. Residents shall not be used to fulfill this requirement.
(b) The licensee shall comply with criminal record clearance requirements of Article 4 (commencing with Section 10624):
(1) Prior to approval of a waiver, and
(2) Continuously after approval of the waiver.
(c) In addition to the requirements of Section 10564, the following shall apply to facilities granted a waiver to provide services to adolescents:
(1) The licensee shall ensure that adequate numbers of trained staff are consistently available to provide the services and supervision required and to meet the requirements otherwise identified in this Subchapter.
(2) All individuals who have supervisory responsibility or frequent or routine contact with adolescent residents shall meet the criminal record clearance requirements of Article 4 (commencing with Section 10624).
(d) From 7:00 a.m. to 10:00 p.m. there shall be two staff members on site and awake when adolescents are present.
(e) From 10:00 p.m. to 7:00 a.m. there shall be at least one (1) staff member on site and awake.
NOTE

Authority cited: Sections 11755, 11834.50 and 11835, Health and Safety Code. Reference: Section 11834.50, Health and Safety Code.
HISTORY

1. New section filed 3-18-97; operative 4-17-97 (Register 97, No. 12).
2. Change without regulatory effect amending subsection (e) filed 6-12-2007 pursuant to section 100, title 1, California Code of Regulations (Register 2007, No. 24).
§10616. Development of Needs and Services Plan.
Note     •     History

(a) In addition to the requirements of Section 10566, the licensee shall develop a needs and services plan for each adolescent resident.
(b) The needs and services plan shall identify:
(1) The adolescent's educational needs and the services which will meet those needs, if the adolescent's residency is to exceed fourteen (14) days;
(2) Restrictions and limitations on visitation with family members and others;
(3) Anticipated length of program participation.
(c) The licensee shall maintain the adolescent resident's needs and services plan in the adolescent resident's record.
NOTE

Authority cited: Sections 11755, 11834.50 and 11835, Health and Safety Code. Reference: Section 11834.50, Health and Safety Code.
HISTORY

1. New section filed 3-18-97; operative 4-17-97 (Register 97, No. 12).
§10618. Buildings and Grounds.
Note     •     History

In addition to the requirements specified in Section 10581(a) through (f), the following requirements shall apply to facilities which provide services to adolescents:
(a) Only adolescent residents of the same sex shall share a bedroom.
(b) No adolescent resident shall be required to sleep in a room used for other activities.
(c) A recreation room shall be available for planned activities, relaxation, and recreation of adolescent residents exclusively.
NOTE

Authority cited: Sections 11755, 11834.50 and 11835, Health and Safety Code. Reference: Section 11834.50, Health and Safety Code.
HISTORY

1. New section filed 3-18-97; operative 4-17-97 (Register 97, No. 12).
2. Change without regulatory effect amending first paragraph filed 6-15-99 pursuant to section 100, title 1, California Code of Regulations (Register 99, No. 25).
§10619. Discipline Policies and Procedures.
Note     •     History

(a) The licensee shall develop and utilize written policies and procedures regarding the discipline of adolescent residents.
(1) The licensee's policies and procedures shall comply with the requirements of this regulation.
(2) Facility staff, adolescent residents, and the adolescent resident's authorized representatives shall receive copies of the licensee's policies and procedures regarding the discipline of adolescent residents.
(b) Acceptable forms of discipline may include:
(1) Restriction in an unlocked living or sleeping area;
(2) Prohibition against attendance at or participation in planned activities; and/or
(3) Prohibition against the use of entertainment devices, such as television, radios, cassette recorders, or compact disc players.
(c) At no time shall discipline violate the personal rights of the adolescent resident, as identified in Section 10569.
(d) Nothing in this part is intended to interfere with any system which assigns privileges in accordance with program advancement.
NOTE

Authority cited: Sections 11755, 11834.50 and 11835, Health and Safety Code. Reference: Section 11834.50, Health and Safety Code.
HISTORY

1. New section filed 3-18-97; operative 4-17-97 (Register 97, No. 12).
§10620. Removal/Discharge of Adolescents.
Note     •     History

(a) The licensee shall develop and utilize written procedures regarding removal/discharge of adolescent residents from the facility.
(b) The licensee shall not remove or discharge an adolescent resident from the facility unless the licensee has obtained prior written approval from the adolescent's authorized representative for the removal/discharge.
(c) Nothing in this regulation shall be construed to prohibit an adolescent resident from being removed from the facility under emergency circumstances by an authorized person or agency. Examples of such circumstances include:
(1) Removal by law enforcement officers when an adolescent resident is arrested;
(2) Removal for the health and safety of the adolescent resident;
(3) Removal because the continued presence of the adolescent resident represents a threat to the health and safety of others within the facility.
(d) The licensee shall document in the adolescent resident's record any removal/discharge. Documentation shall include:
(1) The reasons for removal and/or discharge, and
(2) The name and address of the individual to whom the adolescent resident was released and the individual's relationship to the adolescent resident.
NOTE

Authority cited: Sections 11755, 11834.50 and 11835, Health and Safety Code. Reference: Section 11834.50, Health and Safety Code.
HISTORY

1. New section filed 10-23-87; operative 10-23-87 (Register 87, No. 43). 
2. Amendment of subsection (a) filed 12-27-89 as an emergency; operative 1-1-90 (Register 90, No. 1). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed by operation of law on 5-1-90.
3. Amendment of subsection (a) refiled 4-30-90 as an emergency; operative 4-30-90 (Register 90, No. 22). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed by operation of law on 8-28-90.
4. Certificate of Compliance as to 4-30-90 order including amendment of NOTE transmitted to OAL 8-27-90 and filed 9-26-90 (Register 90, No. 44).
5. Change without regulatory effect renumbering  article heading filed 11-17-94 pursuant to section 100, title 1, California Code of Regulations (Register 94, No. 46).
6. Repealer of former subchapter 3, article 7 (sections 10620-10626) and section, and new section filed 3-18-97; operative 4-17-97 (Register 97, No. 12).
7. Change without regulatory effect amending subsection (d) filed 6-12-2007 pursuant to section 100, title 1, California Code of Regulations (Register 2007, No. 24).
§10621. Personnel Records.
Note     •     History

In addition to the requirements of Section 10565, the licensee shall develop and utilize a dated, monthly time schedule for facility staff and volunteers.
(a) The schedule shall clearly identify the individuals providing services and/or coverage and the days and hours to be worked.
(b) The schedule shall be posted in the facility where it is convenient for staff reference.
(c) The licensee shall keep the monthly time schedules on file for one year.
NOTE

Authority cited: Sections 11755, 11834.50 and 11835, Health and Safety Code. Reference: Section 11834.50, Health and Safety Code.
HISTORY

1. New section filed 10-23-87; operative 10-23-87 (Register 87, No. 43).
2. Repealer and new section filed 3-18-97; operative 4-17-97 (Register 97, No. 12).
§10622. Records of Adolescent Residents.
Note     •     History

In addition to the information required in Section 10568, the licensee shall obtain and record the following in each adolescent resident's record:
(a) The name, address, and telephone number of the adolescent's authorized representative;
(b) A consent form, completed by the adolescent's authorized representative, permitting the facility to authorize medical care;
(c) An assessment of the adolescent's educational needs, if the term of residency exceeds fourteen (14) days; and
(d) A copy of the adolescent's needs and service plan.
NOTE

Authority cited: Sections 11755, 11834.50 and 11835, Health and Safety Code. Reference: Section 11834.50, Health and Safety Code.
HISTORY

1. New section filed 10-23-87; operative 10-23-87 (Register 87, No. 43).
2. Repealer and new section filed 3-18-97; operative 4-17-97 (Register 97, No. 12).
§10623. Mandatory Reports.
Note     •     History

The licensee shall notify the adolescent resident's authorized representative if the adolescent resident:
(a) Is removed from or leaves the facility, or
(b) Is not enrolled in or regularly attending school.
NOTE

Authority cited: Sections 11755, 11834.50 and 11835, Health and Safety Code. Reference: Section 11834.50, Health and Safety Code.
HISTORY

1. New section filed 10-23-87; operative 10-23-87 (Register 87, No. 43). 
2. Amendment of subsections (b) and (c) filed 12-27-89 as an emergency; operative 1-1-90 (Register 90, No. 1). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed by operation of law on 5-1-90.
3. Amendment of subsections (b) and (c) refiled 4-30-90 as an emergency; operative 4-30-90 (Register 90, No. 22). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed by operation of law on 8-28-90.
4. Certificate of Compliance as to 4-30-90 order including amendment of NOTE transmitted to OAL 8-27-90 and filed 9-26-90 (Register 90, No. 44).
5. Repealer and new section filed 3-18-97; operative 4-17-97 (Register 97, No. 12).
Article 4. Criminal Records Clearance
§10624. Criminal Record Review.
Note     •     History

(a) All individuals who have supervisory responsibility for adolescent residents or frequent or routine contact with adolescent residents of an alcoholism or drug abuse recovery or treatment facility shall be subject to a criminal record review prior to their involvement in the provision of services to adolescents. Residents shall not be required to meet the requirements of this article.
(b) The Department shall conduct a criminal record review of all persons specified in Subsection (a) of this regulation and shall have the authority to approve or deny an individual's involvement in the provision of adolescent services based upon the results of such review.
NOTE

Authority cited: Sections 11755, 11834.50 and 11835, Health and Safety Code. Reference: Section 11834.50, Health and Safety Code.
HISTORY

1. New section filed 10-23-87; operative 10-23-87 (Register 87, No. 43). 
2. Amendment of subsection (d) filed 12-27-89 as an emergency; operative 1-1-90 (Register 90, No. 1). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed by operation of law on 5-1-90.
3. Amendment of subsection (d) refiled 4-30-90 as an emergency; operative 4-30-90 (Register 90, No. 22). A Certificate of Compliance must be transmitted to OAL within 120 days or emergency language will be repealed by operation of law on 8-28-90.
4. Certificate of Compliance as to 4-30-90 order including amendment of NOTE transmitted to OAL 8-27-90 and filed 9-26-90 (Register 90, No. 44).
5. Repealer of section, and new subchapter 4, article 4 (sections 10624-10631) and section filed 3-18-97; operative 4-17-97 (Register 97, No. 12).
§10625. Fingerprinting.
Note     •     History

(a) All individuals subject to criminal review shall be fingerprinted. Fingerprints shall be recorded on current Application for Employment forms [BID 7 (5/90)] designated by the California Department of Justice. The fingerprinting service utilized shall be secured by the applicant/licensee.
(b) All current processing fees required by the Department of Justice shall be submitted with completed fingerprint forms by the applicant/licensee to the Department.
(c) The quality of prints shall be reviewed by the Department prior to forwarding to the California Department of Justice for processing. The Department's quality review process shall be completed within five (5) working days from receipt of the completed fingerprint forms.
(d) The Department shall return fingerprint forms to the applicant/licensee under any one of the following conditions:
(1) The applicant/licensee fails to submit the required processing fee for each completed fingerprint form.
(2) The fingerprints fail to meet the quality standards required for processing as determined by the California Department of Justice.
(3) Fingerprint forms are incomplete.
NOTE

Authority cited: Sections 11755, 11834.50 and 11835, Health and Safety Code. Reference: Section 11834.50, Health and Safety Code.
HISTORY

1. New section filed 10-23-87; operative 10-23-87 (Register 87, No. 43).
2. Editorial correction of subsection (c)(1) (Register 95, No. 43).
3. Repealer and new section filed 3-18-97; operative 4-17-97 (Register 97, No. 12).
§10626. Review of Criminal History Summaries.
Note     •     History

(a) Criminal history summaries shall be reviewed by the Department to determine if an individual has been convicted of any crimes specified in Subsections (c) or (d) of this regulation. The Department shall complete this review process within ten (10) working days of receipt of the criminal history summary from the Department of Justice.
(b) If the review discloses the individual has no record of being convicted for any crimes specified in Subsections (c) or (d) of this regulation, the Department shall approve a criminal record clearance and notify the applicant/licensee within seven (7) working days from completion of the review process.
(c) If the review discloses the individual has been convicted of or is the subject of any criminal investigation relating to any felony or a misdemeanor perpetrated against a child, the Department shall deny a criminal record clearance and so notify the applicant/licensee within seven (7) working days from completion of the review process. Conviction for any felony or misdemeanor perpetrated against a child, committed outside the State of California, shall be considered a felony or misdemeanor perpetrated against a child, for the purpose of these regulations, if such offense would have been a crime if it had been committed in California. Any individual so convicted shall be permanently prohibited from participating in the provision of adolescent services.
(d) If the review discloses the individual has been convicted of any alcohol or drug-related crime, a violation of Division 10 of the Health and Safety Code which is also known as the Uniform Controlled Substances Act, the Department shall take the following action:
(1) For any felony or misdemeanor conviction, within the last three (3) years, not perpetrated against a child, the Department shall notify the individual and the applicant/licensee, within seven (7) days of completion of the review process, that the individual is prohibited from being involved in the provision of services at a facility serving adolescents.
(2) Notwithstanding Section 10626(d)(1) of this subchapter, a two year limitation shall apply to a conviction for violation of those statutes enumerated in Labor Code Section 432.8.
(3) Conviction for a violation or attempted violation of an offense committed outside the State of California shall be administered pursuant to this section if such offense would have been a crime under one of the above sections if committed in California.
NOTE

Authority cited: Sections 11755, 11834.50 and 118135, Health and Safety Code. Reference: Section 11834.50, Health and Safety Code.
HISTORY

1. New section filed 10-23-87; operative 10-23-87 (Register 87, No. 43).
2. Repealer and new section filed 3-18-97; operative 4-17-97 (Register 97, No. 12).
3. Change without regulatory effect amending subsections (a)-(c) filed 6-12-2007 pursuant to section 100, title 1, California Code of Regulations (Register 2007, No. 24).
§10630. Monitoring of Subsequent Conviction Data.
Note     •     History

(a) The Department shall monitor all subsequent conviction data received from the California Department of Justice for individuals with an approved or conditional criminal record clearance.
(b) Upon receipt of information that an individual participating in the provision of adolescent services has been convicted of a crime specified in Section 10626(c) or Section 10626(d) of this article, or any crime which the Department determines has direct bearing upon the individual's ability to perform her/his responsibilities in the provision of adolescent services, the Department shall notify the licensee. For crimes specified in Section 10626(c), the time limitations specified in Subsections 10626(d)(1) and (d)(2) shall apply.
(c) Upon notification that an individual has been convicted as specified in Subsection (b) of this regulation, the licensee shall terminate the individual's involvement in the provision of services to adolescents effective the date the Department's notice is received.
(1) If an individual is convicted of a crime as specified in Section 10626(c) of this article, the individual shall be permanently prohibited from participating in the provision of adolescent services in accordance with Section 10626(c) of this article.
(d) The licensee shall notify the Department in writing of any individual with an approved criminal record clearance who ceases involvement in the provision of adolescent services during the previous month by the fifteenth (15) day of the current month.
NOTE

Authority cited: Sections 11755, 11834.50 and 118135, Health and Safety Code. Reference: Section 11834.50, Health and Safety Code.
HISTORY

1. New section filed 3-18-97; operative 4-17-97 (Register 97, No. 12).
2. Change without regulatory effect amending subsection (b) filed 6-12-2007 pursuant to section 100, title 1, California Code of Regulations (Register 2007, No. 24).
§10631. Storage of Criminal History Summaries.
Note     •     History

All criminal history summaries are confidential and shall be stored in compliance with Article 1 (commencing with Section 700), Chapter 7, Division 1, Title 11, California Code of Regulations.
NOTE

Authority cited: Sections 11755, 11834.50 and 118135, Health and Safety Code. Reference: Section 11834.50, Health and Safety Code.
HISTORY

1. New section filed 3-18-97; operative 4-17-97 (Register 97, No. 12).
Chapter 5.5. Licensure and Certification Fees for Outpatient Programs and Residential Alcoholism or Drug Abuse Recovery or Treatment Facilities
§10700. Purpose of Chapter.
Note     •     History

This chapter shall implement the process for assessing licensure and/or certification fees for all outpatient programs or residential alcoholism or drug abuse recovery or treatment facilities, regardless of the form of organization or ownership, that are or seek to be certified pursuant to Chapter 7 (commencing with Section 11830.1) and/or licensed pursuant to Chapter 7.5 (commencing with Section 11834.01), Part 2, Division 10.5 of the Health and Safety Code. 
NOTE

Authority cited: Sections 11755, 11833.04, 11834.50 and 11835, Health and Safety Code. Reference: Section 11833.02, Health and Safety Code. 
HISTORY

1. New chapter 5.5 (sections 10700-10701) and section filed 6-29-2009 as an emergency; operative 6-29-2009 (Register 2009, No. 27). A Certificate of Compliance must be transmitted to OAL by 12-28-2009 or emergency language will be repealed by operation of law on the following day.
2. New chapter 5.5 (sections 10700-10701) and section refiled 12-21-2009 as an emergency; operative 12-27-2009 (Register 2009, No. 52). A Certificate of Compliance must be transmitted to OAL by 3-29-2010 or emergency language will be repealed by operation of law on the following day. 
3. Certificate of Compliance as to 12-21-2009 order transmitted to OAL 3-10-2010 and filed 4-20-2010 (Register 2010, No. 17).
§10701. Fees.
Note     •     History

(a) Outpatient programs and residential alcoholism or drug abuse recovery or treatment facilities, regardless of the form of organization or ownership, shall pay fees for applications and for continued licensure and/or certification as provided in this regulation, until such time as any new fees or fee changes are enacted in accordance with Section 11833.02(d) of the Health and Safety Code. As used in this regulation, “initial/extension fees” means fees for initial two-year period of licensure and fees for biennial renewal. 
(1) Residential Licensure Fees

	(A) Initial Residential Licensure Application Fee	$ 2,773.00 
	(B) Biennial Residential Licensure
	 Initial/Extension Fee	$ 147.00 (per bed)
	(C) Adolescent Waiver Application Fee	$ 1,370.00
	(D) Dependent Children Application Fee	$ 958.00
	(E) Increase in Bed Capacity Application Fee	$ 940.00
	(F) Facility Relocation Application Fee	$ 916.00
(2) Outpatient Certification Fees

	(A) Initial Outpatient Certification Application Fee	$ 2,664.00
	(B) Biennial Outpatient Certification Initial/
	 Extension Fee	$ 3,452.00
	(C) Facility Relocation Application Fee	$ 916.00
(3) Combined Residential Licensure and Certification Fees

	(A) Initial Combined Residential Licensure and
	  Certification Application Fee	$ 3,698.00
	(B) Biennial Combined Residential Licensure and
	 Certification Initial/Extension Fee 	$ 147.00 (per bed) (C) Adolescent Waiver Application Fee	$ 1,370.00
	(D) Dependent Children Application Fee	$ 958.00
	(E) Increase in Bed Capacity Application Fee	$ 940.00
	(F) Facility Relocation Application Fee	$ 916.00
(4) In addition, residential facilities that are approved for an increase in bed capacity will pay the per bed licensure and/or certification fee for each treatment bed added to the facility. Expansion bed fees will be prorated to the next expiration date of the license/certification. 
(b) The Department shall not commence review of any application which does not include all fees which are due at the time of application. The Department shall not renew any license or certification unless all fees are paid prior to the expiration date. All fees are nonrefundable, shall be paid by check or money order, made payable to the Department of Alcohol and Drug Programs, and submitted with the completed application to the Department of Alcohol and Drug Programs at 1700 K Street, Sacramento, CA 95811-4037. 
(c) Upon approval of an application for initial licensure and/or certification, the Department shall notify the applicant in writing of the amount of fee due for initial biennial licensure, certification, or combined licensure and certification. The applicant shall pay initial biennial licensure, certification, or combined licensure and certification fees by check or money order within 30 days of the date of the notice. Upon receipt of the fee, the Department shall issue the license or certification. 
NOTE

Authority cited: Sections 11755, 11833.04, 11834.50 and 11835, Health and Safety Code. Reference: Section 11833.02, Health and Safety Code. 
HISTORY

1. New section filed 6-29-2009 as an emergency; operative 6-29-2009 (Register 2009, No. 27). A Certificate of Compliance must be transmitted to OAL by 12-28-2009 or emergency language will be repealed by operation of law on the following day. This regulation replaces fees that were originally implemented in ADP Bulletin 07-11, dated 10-11-2007, as authorized by Health and Safety Code section 11833.04, subdivision (a).
2. New section refiled 12-21-2009 as an emergency; operative 12-27-2009 (Register 2009, No. 52). A Certificate of Compliance must be transmitted to OAL by 3-29-2010 or emergency language will be repealed by operation of law on the following day. This regulation replaces fees that were originally implemented in ADP Bulletin 07-11, dated 10-11-2007, as authorized by Health and Safety Code section 11833.04, subdivision (a).
3. Certificate of Compliance as to 12-21-2009 order, including amendment of subsections (b) and (c), transmitted to OAL 3-10-2010 and filed 4-20-2010 (Register 2010, No. 17).
Chapter 6. Nondiscrimination in Programs or Activities Receiving State Financial Assistance
Article 1. General Definitions
§10800. Definitions.
Note     •     History

As used in this Chapter, the following terms shall apply:
(a) Article 9.5. ``Article 9.5'' means the provisions of Assembly Bill 803, Statutes of 1977, Chapter 972. This section of Chapter 1 of Part 1 of Division 3 of Title 2 of the Government Code of California (commencing with Section 11135) provides for nondiscrimination in programs or activities receiving state financial assistance and provides the legal basis for these regulations.
(b) Aid, Benefits or Services. ``Aid, benefits or services'' mean advantages, gains, privileges, and interests which accrue to an ultimate beneficiary by reason of state financial assistance.
(c) Department. ``Department'' means the State Department of Alcohol and Drug Programs, established pursuant to Section 11750 of the Health and Safety Code.
(d) Facility. ``Facility'' means all or any portion of buildings, structures, vehicles, equipment, vessels, roads, walks, or parking lots, used in providing aid, benefits or services supported from state financial assistance.
(e) May. ``May'' means permissive.
(f) Program or Activity. ``Program or activity'' means the collection of services receiving state financial assistance from the Department used to alleviate alcohol related problems and/or the problems associated with the misuse and abuse of drugs. This includes services supported by other funds or resources which are used to meet matching requirements or other conditions necessary for recipients to receive the state financial assistance.
(g) Recipient. ``Recipient'' means any contractor, grantee, local agency, or person, who receives state financial assistance from the Department. Recipient includes those who receive state financial assistance directly from the Department or through another recipient including any successor, assignee, or transferee of a recipient. Recipient excludes the ultimate beneficiary and state agencies.
(h) Shall. ``Shall'' means mandatory.
(i) State Financial Assistance. ``State financial assistance'' means any grant, entitlement, loan, cooperative agreement, contract or any other arrangement by which the Department provides or otherwise makes available to recipients, funds or the services of state personnel. This excludes procurement contracts or contracts for insurance or guaranty.
(j) Ultimate Beneficiary. ``Ultimate beneficiary'' means any person protected by the provisions of Article 9.5 who receives, applies for, or is unlawfully deterred from receiving or applying for the aid, benefits or services of program or activity receiving state financial assistance.
NOTE

Authority cited: Section 11138, Government Code. Reference: Sections 11135, 11136, 11137, 11138 and 11139, Government Code.
HISTORY

1. New Subchapter 6 (Articles 1-10, Sections 10800-10924, not consecutive) filed 1-18-83; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 83, No. 4).
Article 2. General Provisions
§10805. Purpose.
Note

The purpose of this Subchapter is to implement Article 9.5, which is designed to eliminate discrimination on the basis of ethnic group identification, religion, age, sex, color, or physical or mental disability in any program or activity receiving state financial assistance.
NOTE

Authority cited: Section 11138, Government Code. Reference: Section 11135, Government Code.
§10807. Application.
Note

This Subchapter applies to each recipient of state financial assistance from the Department of Alcohol and Drug Programs.
NOTE

Authority cited: Section 11138, Government Code. Reference: Section 11135, Government Code.
§10809. Legal Scope.
Note

The rights and remedies under this Subchapter are not exclusive and do not affect rights and remedies provided elsewhere by law or contract, especially rights and remedies relating to employment under the California Fair Employment and Housing Act, Government Code Section 12900 et seq.
NOTE

Authority cited: Section 11138, Government Code. Reference: Section 11139, Government Code.
§10811. Duration of Obligation.

The recipient shall be obligated to comply with this Subchapter for the period during which state financial assistance is received. NOTE: Authority cited: Section 11138, Government Code. Reference: Section 11135, Government Code.
Article 3. Discriminatory Practices Relating to All Groups Protected by Article 9.5
§10820. Discriminatory Practices Applicable to All Recipients.
Note

(a) In carrying out a program or activity, a recipient shall not, on the basis of ethnic group identification, religion, age, sex, color, or physical or mental disability:
(1) Deny an ultimate beneficiary the opportunity to participate in or benefit from a program or activity;
(2) Deny an ultimate beneficiary an opportunity to participate in or benefit from a program or activity which is as effective or equal to that afforded others; to be effective said program or activity shall afford an equal opportunity to obtain the same result, to gain the same benefit, or to reach the same level of achievement as that provided to others;
(3) Make selections of sites or locations of facilities in which to conduct a program or activity that have the purpose or effect of excluding ultimate beneficiaries from, denying them the benefits of, or otherwise subjecting them to discrimination.
(b) The discriminatory practices set forth in Subsection (a) of this Section shall not be construed to be all inclusive.
NOTE

Authority cited: Section 11138, Government Code. Reference: Sections 11135 and 11139, Government Code.
Article 4. Discriminatory Practices Relating to Ethnic Group Identification
§10826. Definitions.
Note

As used in this Article, the following terms shall apply:
(a) Alternative Communication Services. ``Alternative communication services'' means the method used or available for purposes of communicating with an ultimate beneficiary unable to read, speak or write in the English language. This includes, but is not limited to, the provision of the services of a multilingual employee or an interpreter for the benefit of an ultimate beneficiary and the provision of written materials in a language other than English.
(b) Ethnic Group. ``Ethnic group'' means a social group with a cultural and social system that claims or is accorded special status on the basis of traits such as religious, linguistic, ancestral or physical characteristics.
(c) Ethnic Group Identification. ``Ethnic group identification'' means the possession of the traits or physical characteristics common to a particular cultural and social system from which a person or his or her ancestors originated.
NOTE

Authority cited: Section 11138, Government Code. Reference: Section 11135, Government Code.
§10828. Discrimination Prohibited.
Note

A recipient shall not:
(a) Discriminate against an ultimate beneficiary because of his or her ethnic group identification.
(b) Discriminate against an ultimate beneficiary because of his or her membership in an organization identified with, or seeking to promote the interests of, a specific ethnic group or because his or her name, or that of his or her spouse, is believed to reflect an ethnic group.
(c) Fail to take appropriate steps to ensure that alternative communication services are available to ultimate beneficiaries, except where determined that such a requirement would place an undue hardship on the recipient.
(1) Undue hardship is determined by consideration of, but not limited to, the following:
(A) The overall size of the recipient's program or activity with respect to the number of employees, the number and type of facilities, and the size of the budget; and
(B) The nature and cost of the accommodation needed.
NOTE

Authority cited: Section 11138, Government Code. Reference: Sections 11135 and 11139, Government Code.
Article 5. Discriminatory Practices Relating to Religion
§10833. Definitions.
Note

As used in this Article, the following term shall apply:
Religion. ``Religion'' means a person's sincere and meaningful beliefs which occupy a place of importance in his or her life including or parallel to that filled by a belief in a traditional God. This includes organized sects whose beliefs are common to a number of people, as well as intensely personal convictions which some may find incomprehensible or incorrect.
NOTE

Authority cited: Section 11138, Government Code. Reference: Section 11135, Government Code.
§10835. Application to Religious Organizations.
Note     •     History

Programs or activities receiving state financial assistance which are provided by non-profit religious corporations or associations shall comply with the provisions of this subchapter.
NOTE

Authority cited: Section 11138, Government Code. Reference: Sections 11135 and 11139, Government Code.
HISTORY

1. Editorial correction filed 3-2-83 (Register 83, No. 10).
§10837. Discrimination Prohibited.
Note

A recipient shall not discriminate against an ultimate beneficiary on the basis of his or her religion.
NOTE

Authority cited: Section 11138, Government Code. Reference: Sections 11135 and 11139, Government Code.
§10839. Reasonable Accommodation.
Note

(a) A recipient shall accommodate an ultimate beneficiary's religion unless the recipient can demonstrate that the accommodation is unreasonable because it would impose an undue hardship.
(b) In determining whether a reasonable accommodation would impose an undue hardship on the recipient, factors to be considered include, but are not limited to:
(1) The overall size of the recipient's program or activity with respect to the number of employees, the number and type of facilities, and the size of budget;
(2) The nature and cost of the accommodation needed; and
(3) Reasonable notice to the recipient from the ultimate beneficiary of the need for accommodation.
NOTE

Authority cited: Section 11138, Government Code. Reference: Sections 11135 and 11139, Government Code.
Article 6. Discriminatory Practices Relating to Age
§10845. Discrimination Prohibited.
Note

A recipient shall not discriminate against an ultimate beneficiary on the basis of his or her age.
NOTE

Authority cited: Section 11138, Government Code. Reference: Sections 11135 and 11139, Government Code.
Article 7. Discriminatory Practices Relating to Sex
§10850. Definitions.
Note

As used in this Article, the following terms shall apply:
(a) Sex. ``Sex'' means an ultimate beneficiary's gender; however, nothing herein shall limit protections due an individual on account of pregnancy, childbirth, or related medical conditions.
(b) Sexual Stereotype. ``Sexual stereotype'' means an assumption about an individual based on a myth or generalization about the individual's gender or mannerisms.
NOTE

Authority cited: Section 11138, Government Code. Reference: Section 11135, Government Code.
§10852. Discrimination Prohibited.
Note

A recipient shall not:
(a) Discriminate against an ultimate beneficiary on the basis of his or her sex.
(b) Adopt or use any rule, policy, or practice which has the purpose or effect of differentiating on the basis of sex.
(c) Differentiate on the basis of sex in asking about the family or marital status of an ultimate beneficiary in determining whether he or she satisfies the criteria for participation in a program or activity. However, the ultimate beneficiary may be required to provide information relevant and necessary for determining whether he or she satisfies validly imposed criteria for participation in the program or activity in question, including any other former names by which such person has been known.
(d) Adopt or use any rule, policy or practice which provides differential treatment to men and women on the basis of sex or sexual stereotype which is not relevant to determining fitness for participation in the program or activity.
(e) Permit harassment of an ultimate beneficiary on the basis of his or her sex or on the basis of sexual stereotype.
NOTE

Authority cited: Section 11138, Government Code. Reference: Sections 11135 and 11139, Government Code.
Article 8. Discriminatory Practices Relating to Color
§10860. Definitions.
Note

As used in this Article, the following term shall apply:
Color. ``Color'' means the basis for distinguishing a population by the physical characteristics of complexion or skin tone; this includes, for example, Asians, Blacks, Filipinos, Spanish speaking/surnamed, American Indians, Eskimos or Polynesians.
NOTE

Authority cited: Section 11138, Government Code. Reference: Section 11135, Government Code.
§10862. Discrimination Prohibited.
Note

A recipient shall not discriminate against an ultimate beneficiary on the basis of his or her color.
NOTE

Authority cited: Section 11138, Government Code. Reference: Sections 11135 and 11139, Government Code.
Article 9. Discriminatory Practices Relating to Physical or Mental Disability
§10870. Definitions.
Note

As used in this Article, the following terms shall apply:
(a) Disability. ``Disability'' means any condition or characteristic that renders a person a disabled person.
(b) Disabled Person. ``Disabled person'' means any person who has a physical or mental impairment which substantially limits one or more major life activities, has a record of such impairment, or is regarded as having such an impairment.
(c) Has a Record of Such an Impairment. ``Has a record of such an impairment'' means has a history of, or has been misclassified as having, a mental or physical impairment that substantially limits one or more major life activities.
(d) Is Regarded as Having an Impairment. ``Is regarded as having an impairment'' means:
(1) Has a physical or mental impairment that does not substantially limit major life activities but is treated by a recipient as constituting such a limitation;
(e) Major Life Activities. ``Major life activities'' means functions necessary to be self-sufficient such as caring for oneself, walking, seeing, hearing, speaking, breathing, learning, and working.
(f) Physical or Mental Impairment. ``Physical or mental impairment'' means:
(1) Any physiological disorder or condition, cosmetic disfigurement, or anatomical loss affecting one or more of the following body systems: neurological; musculoskeletal; special sense organs; respiratory, including speech organs; cardiovascular; reproductive; digestive; genitourinary; hemic and lymphatic; skin; and endocrine; or
(2) Any mental or psychological disorder, such as mental retardation, organic brain syndrome, emotional or mental illness, and specific learning disabilities.
(3) The term ``physical or mental impairment'' includes, but is not limited to, such diseases and conditions as orthopedic, visual, speech and hearing impairment, cerebral palsy, epilepsy, muscular dystrophy, multiple sclerosis, cancer, heart disease, diabetes, mental retardation, emotional illness, and drug addiction and alcoholism.
(g) Qualified Disabled Person. ``Qualified disabled person'' means:
(1) With respect to employment, a disabled person who, with reasonable accommodation, can perform the essential functions of the job in question. The term does not include any individual who is an alcoholic or drug abuser whose current use of alcohol or drugs prevents such person from performing the duties of the job in question or whose employment, by reason of such current alcohol or drug abuse, would constitute a direct threat to property or the safety of others; and
(2) With respect to other programs or activities, a disabled person who meets the essential eligibility requirements of such programs or activities.
NOTE

Authority cited: Section 11138, Government Code. Reference: Section 11135, Government Code.
§10872. Discrimination Prohibited.
Note

A recipient shall not:
(a) Discriminate against an ultimate beneficiary on the basis of his or her physical or mental disability.
(b) Deny a qualified disabled person the opportunity to participate in a program or activity which also serves non-disabled persons.
(c) Fail to take appropriate steps to ensure that communications with ultimate beneficiaries are available to persons with impaired vision or hearing.
(d) Deny aid, benefits or services to a qualified disabled person because a recipient's facilities are inaccessible to or unusable by such person.
NOTE

Authority cited: Section 11138, Government Code. Reference: Sections 11135 and 11139, Government Code.
§10874. Program Accessibility
Note

A recipient shall operate each program or activity in such a manner that the program or activity, when viewed in its entirety, is readily accessible to disabled persons. This shall not be construed to mean that a recipient must make each of its existing facilities or every part of a facility accessible to and usable by disabled persons.
NOTE

Authority cited: Section 11138, Government Code. Reference: Sections 11135 and 11139, Government Code.
§10875. Self Evaluation.
Note     •     History

(a) A recipient with 15 or more employees shall, within one year of the effective date of this section:
(1) Evaluate, with the assistance of interested persons, including persons protected under this Article or organizations representing same, its current policies and practices and the effects thereof that do not or may not meet the provisions of this Article;
(2) Modify, after consultation with interested persons, including persons protected under this Article or organizations representing same, any policies and practices that do not meet the provisions of this Article; and
(3) Take, after consultation with interested persons, including persons protected under this Article or organizations representing same, appropriate steps to eliminate the effects of any discrimination that resulted from adherence to such policies and practices.
(b) A recipient with 15 or more employees who begins receiving state financial assistance after the effective date of this section shall comply with subsection (a)(1), (2) and (3) of this section within a year of the effective date of such recipient's contract.
(c) For at least three years following completion of the evaluation referred to in subsection (a)(1) of this section, maintain on file, make available for public inspection, and provide to the Department upon request:
(1) A list of the interested persons consulted;
(2) A description of the areas examined and any problems identified; and
(3) A description of any modifications made and any steps taken.
(d) A self-evaluation performed by a recipient as required by a federal agency under the provisions of Section 504 of the Rehabilitation Act of 1973 (29 USC Section 794 and 45 CFR 84.6(c)) will satisfy the provisions of subsection (a)(1) of this section.
NOTE

Authority cited: Section 11138, Government Code. Reference: Sections 11135 and 11139, Government Code.
HISTORY

1. New section filed 3-2-83; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 83, No. 10).
§10876. Methods of Ensuring Program Accessibility.
Note

(a) A recipient shall comply with the provisions of Section 10874 through such means as redesign of equipment, reassignment of classes or other services to accessible buildings, assignment of aides to beneficiaries, home visits, delivery of services at alternate accessible sites, alteration of existing facilities, or other methods that result in making its program or activities accessible to disabled persons.
(b) A recipient is not required to make structural changes in existing facilities where other methods are effective in achieving compliance with Section 10874.
(c) If a recipient with fewer than fifteen employees finds, after consultation with a disabled person seeking its services, that there is no method of complying with Section 10874 other than by making structural changes to its existing facilities, the recipient shall be permitted by the Department to refer the disabled person to other providers of alcohol and drug abuse services whose programs or activities are accessible.
NOTE

Authority cited: Section 11138, Government Code. Reference: Sections 11135 and 11139, Government Code.
§10878. Time Period for Compliance
Note     •     History

(a) A recipient shall comply with the requirement of Section 10874 within sixty days of the effective date of this section, except where structural changes in facilities are necessary. Structural changes may be made within three years of the effective date of this section, but in any event, as expeditiously as possible.
(b) A recipient who begins receiving state financial assistance after the effective date of this section shall comply with the requirement of Section 10874 within sixty days of the effective date of such recipient's contract, except where structural changes in facilities are necessary. Structural changes may be made within three years of the effective date of such recipient's contract, but in any event, as expeditiously as possible.
NOTE

Authority cited: Section 11138, Government Code. Reference: Sections 11135 and 11139, Government Code.
HISTORY

1. New section filed 3-2-83; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 83, No. 10).
§10880. Program Accessibility Transition Plan.
Note     •     History

(a) In the event that structural changes to facilities are necessary to meet the provisions of Section 10874, a recipient shall develop within six months of the effective date of this section, a transition plan setting forth the steps necessary to complete such changes. The plan shall be developed with the assistance of interested persons, including disabled persons or organizations representing disabled persons. A copy of the plan shall be made available for public inspection. The plan shall, at a minimum:
(1) Identify physical obstacles in the recipient's facilities that limit the accessibility of its program or activity to disabled persons;
(2) Describe in detail the methods that will be used to make the facilities accessible;
(3) Specify the schedule for taking the steps necessary to achieve full program accessibility and, if the time period of the transition plan is longer than one year, identify steps that will be taken during each year of the transition period; and
(4) Indicate the person responsible for implementation of the plan.
(b) The provisions of subsection (a) of this section shall apply to a recipient who begins receiving state financial assistance after the effective date of this Section except that the recipient shall devlop a transition plan within six months of the effective date of such recipient's contract.
(c) A transition plan developed by a recipient as required by a federal agency under the provisions of Section 504 of the Rehabilitation Act of 1973 (29 USC Section 794 and 45 CFR 84.22(e)) will satisfy the provisions of Subsection (a) of this Section.
NOTE

Authority cited: Section 11138, Government Code. Reference: Sections 11135 and 11139, Government Code.
HISTORY

1. New section filed 3-2-83; effective upon filing pursuant to Government Code 11346.2(d) (Register 83, No. 10).
§10882. Notice of the Availability of Accessible Facilities.
Note     •     History

Each recipient unable to comply with the provisions of Section 10874 within the sixty day period set forth in Section 10878 shall adopt and implement procedures to ensure that interested persons, including persons with impaired vision or hearing, can obtain information as to the existence and location of alcohol and drug abuse services, activities, and facilities that are accessible to and usable by disabled persons.
NOTE

Authority cited: Section 11138, Government Code. Reference: Sections 11135 and 11139, Government Code.
HISTORY

1. New section filed 3-2-83; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 83, No. 10).
Article 10. Compliance and Enforcement
§10890. Definitions.
Note

As used in this Article, the following terms shall apply:
(a) Good Cause. ``Good cause'' shall be established in the event of the death or incapacitating illness of a party or representative; an executed settlement or stipulation of facts; unavailability of a party or representative; or an unavoidable emergency.
(b) Probable Cause. ``Probable cause'' means having reason to believe; having more evidence for than against. A reasonable ground for belief is the existence of facts warranting the proceedings complained of.
(c) Reasonable Cause. ``Reasonable cause'' means the basis is such that the state of facts would lead a person of ordinary care and prudence to believe and conscientiously entertain honest and strong suspicion that a violation has occurred or is occurring.
NOTE

Authority cited: Section 11138, Government Code. Reference: Section 11136, Government Code.
§10892. Assurances.
Note     •     History

A recipient shall submit an assurance to the Department to certify that its program or activity is operated in compliance with this Subchapter.
NOTE

Authority cited: Section 11138, Government Code. Reference: Sections 11135, 11136 and 11137, Government Code.
HISTORY

1. Editorial correction filed 3-2-83 (Register 83, No. 10).
§10894. Recipient Compliance Reports.
Note

(a) Each recipient shall submit to the Department timely, complete, and accurate compliance reports as determined by the Department to be necessary to ascertain whether the recipient has complied or is complying with this Subchapter. In compiling these reports, data shall be collected which reflects the extent to which persons of a particular ethnic group identification, religion, age, sex, color, or physical or mental disability are ultimate beneficiaries.
(b) Where the Department determines that pre-existing reports and data required by other state or federal agencies meet requisite reporting and evaluation needs, the Department shall accept submission of such reports as a substitute or, if needed, as a complement to the required reports.
NOTE

Authority cited: Section 11138, Government Code. Reference: Sections 11135 and 11138, Government Code.
§10896. Access to Recipient Compliance Information.
Note

(a) Each recipient shall permit access by representatives of the Department during normal business hours to its books, records, accounts, other sources of information, and its facilities as may be pertinent to ascertain compliance with Article 9.5.
(b) Where any information required of a recipient is in the exclusive possession of any other agency, institution, or person, and that agency, institution, or person fails or refuses to furnish such information, the recipient shall so certify and set forth its efforts to obtain such information and the basis for the withholding of such information.
NOTE

Authority cited: Section 11138, Government Code. Reference: Sections 11135 and 11138, Government Code.
§10898. Information to the Public and Ultimate Beneficiaries.
Note     •     History

Each recipient shall make available to ultimate beneficiaries and other interested persons information regarding the provisions of Article 9.5 and its applicability to ultimate beneficiaries and its program or activity including the procedures for filing a complaint.
NOTE

Authority cited: Section 11138, Government Code. Reference: Sections 11135 and 11138, Government Code.
HISTORY

1. Editorial correction of Reference cite (Register 95, No. 43).
§10900. Recipients to Designate an Employee to Handle Inquiries and Complaints.
Note

Each recipient shall designate an employee to whom initial complaints or inquiries regarding Article 9.5 and this Subchapter can be directed.
NOTE

Authority cited: Section 11138, Government Code. Reference: Sections 11135 and 11138, Government Code.
§10902. Recipients to Familiarize Employees.
Note

Each recipient shall ensure that its employees are familiar with Article 9.5 and this Subchapter and when any employee has reason to believe that this Subchapter may have been violated, shall require such employee to so advise the employee referred to in Section 10900.
NOTE

Authority cited: Section 11138, Government Code. Reference: Sections 11136 and 11138, Government Code.
§10904. Recipient Noncompliance.
Note

Failure by a recipient to file timely, complete, and accurate reports or to permit access to compliance information shall be considered reasonable cause to believe that a recipient has violated the provisions of Article 9.5 and shall be grounds for investigation by the Department as set forth in Section 10914.
NOTE

Authority cited: Section 11138, Government Code. Reference: Sections 11135, 11136 and 11138, Government Code.
§10906. Complaints.
Note     •     History

(a) An ultimate beneficiary who believes himself or herself to be subject to discrimination prohibited by this Subchapter shall file a written complaint with the recipient or the Department no later than 120 days from the date of the alleged discrimination, or date of discovery of the alleged discrimination, unless the time for filing has been extended by the Department. The Department may extend the time for filing on the basis of good cause for a period not to exceed 90 days.
(b) Such complaint shall be initially filed with the recipient for informal resolution. Complaints may be filed with the Department prior to the completion of the informal complaint process.
NOTE

Authority cited: Section 11138, Government Code. Reference: Sections 11135 and 11136, Government Code.
HISTORY

1. Editorial correction of subsection (a) (Register 95, No. 43).
§10908. Recipient Informal Complaint Process.
Note     •     History

(a) Each recipient shall adopt procedures for the informal resolution of complaints of discrimination filed by an ultimate beneficiary. Such informal complaint resolution process shall adhere to the provisions set forth in Sections 10906 and 10910 of this Subchapter. Such informal complaint process shall be submitted to the Department for approval within 90 days after the effective date of this Section.
(b) A recipient who begins receiving state financial assistance after the effective date of this section shall comply with subsection (a) of this section within 90 days of the effective date of such recipient's contract.
NOTE

Authority cited: Section 11138, Government Code. Reference: Sections 11135 and 11136, Government Code.
HISTORY

1. New section filed 3-2-83; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 83, No. 10).
§10910. Time Period for Recipient Informal Complaint Resolution.
Note

Within 60 days of the filing of a complaint for informal resolution, the recipient shall attempt to informally resolve the complaint. By the end of such time period, the complainant shall be notified in writing of the resolution of such complaint, if any, and of the complainant's right to file such complaint with the Department if no informal resolution to the satisfaction of the complainant is achieved.
NOTE

Authority cited: Section 11138, Government Code. Reference: Sections 11135 and 11136, Government Code.
§10912. Filing of Complaint with the Department.
Note

(a) If informal resolution does not occur within 60 days after the filing of a complaint pursuant to Section 10906, the complainant may file the complaint, a summary of the attempts at informal resolution, and any other relevant documents with the Department for further action. Complaints shall be submitted to the Department within 30 days after the failure to reach informal resolution between the recipient and the complainant.
(b) Within ten working days after receipt of a complaint, the Department shall acknowledge receipt to the complainant and request the recipient to forward all files, records, or other documents with respect to the matter to the Department.
NOTE

Authority cited: Section 11138, Government Code. Reference: Sections 11135 and 11136, Government Code.
§10914. Investigation by the Department.
Note

(a) The Department shall conduct a prompt investigation whenever a complaint, a report, or other information indicates reasonable cause to believe that a recipient has failed to comply with this Subchapter. The investigation shall include compiling relevant evidence sufficient to enable it to determine whether there is probable cause to believe that a violation has occurred. Such compilation shall include, in addition to the materials from any informal resolution process, when appropriate:
(1) A review of the pertinent policies and practices of the recipient;
(2) A review of the circumstances under which the possible violation occurred;
(3) A full discussion with witnesses and the complainant, if any;
(4) An opportunity for parties to present evidence and information regarding the possible violation; and
(5) A review of any other factors relevant to a determination as to whether there is probable cause to believe that the recipient has failed to comply with this Subchapter.
NOTE

Authority cited: Section 11138, Government Code. Reference: Sections 11135 and 11136, Government Code.
§10916. Evidence Compilation Period: Department Informal Resolution.
Note

(a) The evidence compilation process referred to in Section 10914 shall be completed no later than 180 days from the date that a complaint was filed with the recipient or from the date when the Department otherwise had reasonable cause to believe that a violation of this Subchapter had occurred, whichever comes first.
(b) At any time prior to the expiration of such 180-day time period for compilation of evidence, the Department may informally resolve the complaint. Any such resolution may (if the Department determines that the substantial nature of the matters involved, the scope of the problems presented, or the probability that the facts which gave rise to the matter will recur) be set forth in a written conciliation agreement which the complainant has had an opportunity to review at least 20 days prior to the execution of such agreement by the Department and the recipient.
NOTE

Authority cited: Section 11138, Government Code. Reference: Sections 11135 and 11136, Government Code.
§10918. Department: Probable Cause Determination.
Note

No later than 7 days after the expiration of the 180-day evidence compilation period provided for in Section 10916, the Department shall, when the matter has not been informally resolved, file an accusation, pursuant to Section 11503 of the Government Code, on the basis of a finding that there is probable cause to believe that a violation has occurred. This accusation shall cause the Department to initiate the hearing process referred to in Government Code Section 11136. A copy of the accusation shall be provided to the complainant.
NOTE

Authority cited: Section 11138, Government Code. Reference: Sections 11135 and 11136, Government Code.
§10922. Department Enforcement Powers.
Note

Upon a determination, based on the hearing officer's proposed decision, that a recipient has violated this Subchapter, the Department, in addition to remedies provided by other laws, shall terminate all or part of the recipient's state financial assistance.
NOTE

Authority cited: Section 11138, Government Code. Reference: Sections 11136, 11137 and 11139, Government Code.
§10924. Retaliatory Action Prohibited.
Note

No recipient shall intimidate, threaten, coerce, or take adverse action against an ultimate beneficiary for the purpose of interfering with rights secured by Article 9.5 or this Subchapter, or because he or she has made a complaint, assisted, or otherwise participated in an investigation, proceeding, hearing, or any other activity undertaken to enforce this Subchapter.
NOTE

Authority cited: Section 11138, Government Code. Reference: Sections 11135, 11136 and 11139, Government Code.
Chapter 7. Resident Run Housing Program (RRHP)
§11000. Application and Purpose of Regulations.
Note     •     History

In accordance with Section 11755.2 of the Health and Safety Code and Section 1925, Subpart II, Part B, Title XIX of the Public Health and Service Act (Section 300x-25, Title 42, United States Code), this Chapter establishes the Resident Run Housing Program (RRHP), which provides small, interest-free, start-up loans of $4,000 or less, to private, non-profit entities to rent a house, apartment, or other housing to be used as a self-supporting, resident run, alcohol and drug-free, on-going group living arrangement for six or more individuals, who are recovering from alcoholism and/or drug addiction.
The regulations contained in this Chapter apply to loans made under the RRHP, loan applicants, co-applicants, and residents of RRHP group homes.
NOTE

Authority cited: Sections 11755 and 11755.2, Health and Safety Code. Reference: Sections 11755.2 and 11818, Health and Safety Code; and Section 300x-25, Title 42, United States Code.
HISTORY

1. New chapter 7 and section filed 4-12-95; operative 5-12-95 (Register 95, No. 15).
§11002. Definitions.
Note     •     History

(a) The following definitions shall apply to terminology used in Chapter 7:
(1) Application. “Application” means a written application for a loan through the Resident Run Housing Program (RRHP).
(2) Applicant. “Applicant” means a group or an organization applying for a RRHP loan.
(3) Charter Resident. “Charter resident” means any of the original residents of a RRHP group home.
(4) Co-Applicant. “Co-applicant” means each individual of a group applying for a RRHP loan.
(5) Days. “Days” means calendar days.
(6) Fund. “Fund” means the RRHP revolving fund mandated by Section 11755.2, Health and Safety Code, and Section 300x-25, Title 42, United States Code.
(7) Group Home. “Group home” means a house, apartment, or other building to be used as a self-supporting, resident run, alcohol and drug-free, on-going group living arrangement for six or more individuals who are recovering from alcoholism and/or drug addiction.
(8) Group Name. “Group name” means the fictitious name, specified in the written RRHP loan application, by which the residents of a RRHP group home shall be known for purposes of banking or other day-to-day household business.
(9) Income. “Income” means any wages, salary, compensation, or other benefits which a RRHP applicant or resident receives on a regular basis, and upon which the applicant depends to support his/her needs for food and shelter.
(10) Loan Officer. “Loan officer” means the Departmental analyst responsible for reviewing and processing loan applications for the RRHP program.
(11) Loan Review Committee. “Loan review committee” means a Departmental committee established to review RRHP loan applications.
(12) Minor or Minor Child. “Minor” or “minor child” means a person under 18 years of age who has not been emancipated pursuant to Part 6 (commencing with Section 7000), Division 11 of the Family Code.
(13) Network and Replacement Plan. “Network and replacement plan” means  a plan describing how the residents will:
(A) Develop relationships with the surrounding community;
(B) Replace residents who leave the group home; and
(C) Assist residents who become unemployed.
(14) Program. “Program” means the Resident Run Housing Program.
(15) Rent. “Rent” means all charges, other than deposits, to be paid on a regular basis by RRHP residents in exchange for the use and occupancy of a group, home, apartment, or other form of housing.
(16) Residents. “Residents” means individuals residing in a RRHP group home.
(17) Resident run. “Resident run” means democratically managed by the residents of the group home, so that:
(A) Each resident of the group home shall have an equal vote in any decision made regarding the group home; and
(B) Rules for the group home shall be determined by majority vote of the residents.
(18) Self-supporting. “Self-supporting” means that the residents of the group home pay all of their own on-going expenses, including rent, utilities, monthly RRHP loan payments, and other household expenses. Ability to be self-supporting shall be determined in accordance with the provisions of Section 11012(h).
NOTE

Authority cited: Sections 11755 and 11755.2, Health and Safety Code. Reference: Sections 11755.2 and 11818, Health and Safety Code; and Section 300x-25, Title 42, United States Code.
HISTORY

1. New section filed 4-12-95; operative 5-12-95 (Register 95, No. 15).
§11004. Who May Apply for a Loan.
Note     •     History

(a) A group of six or more individuals may apply for a RRHP loan, provided that:
(1) Each co-applicant shall be 18 years of age or older,
(2) Each co-applicant shall be recovering from alcoholism and/or drug addiction, and
(3) The group shall be organized for the purpose of establishing an alcohol and drug free [defined in accordance with Section 11012(f)], resident run group home.
(b) A non-profit alcohol and/or drug treatment provider may coordinate the establishment of a resident run group home and may apply for a loan on behalf of its proposed residents, provided that:
(1) The non-profit organization screens its potential residents utilizing the same procedures used by the Department as prescribed in Sections 11016 through 11018.
(2) The non-profit organization enters into a conditional admission agreement with the potential residents, which contains a release of information for the non-profit organization to proceed with the loan application on the residents' behalf.
(3) The non-profit organization submits all of the potential resident information to the Department for processing pursuant to Sections 11018.
(4) The non-profit organization agrees to be responsible for repayment of the loan through signature of a duly authorized representative on the promissory note.
NOTE

Authority cited: Sections 11755 and 11755.2, Health and Safety Code. Reference: Section 11755.2, Health and Safety Code; and Section 300x-25, Title 42, United States Code.
HISTORY

1. New section filed 4-12-95; operative 5-12-95 (Register 95, No. 15).
§11006. Amount of Loan.
Note     •     History

(a) The maximum loan amount to be approved per RRHP group shall be $4,000.
(b) The approved amount of each loan shall be contingent upon:
(1) The amount needed by the applicant for the items specified in Section 11008(a). The applicant shall provide a copy of detailed cost documentation, substantiating the amount needed for each item.
(2) The co-applicant's ability to be self-supporting and to repay the amount of the loan, determined in accordance with the provisions of Section 11012(h).
NOTE

Authority cited: Sections 11755 and 11755.2, Health and Safety Code. Reference: Section 11755.2, Health and Safety Code; and Section 300x-25, Title 42, United States Code.
HISTORY

1. New section filed 4-12-95; operative 5-12-95 (Register 95, No. 15).
§11008. Purpose of Loans.
Note     •     History

(a) Funds from loans made under the RRHP shall be used only for the items specified below:
(1) The first month's rent, last month's rent, and security deposit (if required by the landlord) for the rental of a house, apartment, or other building to be used as an alcohol and drug-free, group living arrangement, for six or more individuals recovering from alcoholism and/or drug addiction.
(2) Utility deposits for telephone, water, electricity, and gas.
(3) Purchase or rental of essential furniture and appliances.
(A) As used in the Chapter, “essential furniture” means beds, chairs, tables, sofas, dressers, and other furniture needed to create a comfortable living space. Window coverings are also allowable if not provided by the landlord.
(B) As used in the Chapter, “essential appliances” means a stove and refrigerator.
(C) The portion of the loan which may be applied to the purchase or rental of essential furniture and appliances shall not exceed a total of $500.
(D) Loans for essential furniture and appliances shall only be approved if the applicants provide detailed cost documentation and justification with the loan application.
(4) Minor renovations to property (e.g. converting a basement, attic, or garage into extra bedrooms) which will increase the number of residents the group home can accommodate.
(A) Loans for renovations shall only be approved if the group has negotiated a lease with the landlord for at least two years.
(B) The group shall submit, with its written loan application, a statement signed by its residents and by the landlord, stating what arrangements have been made to reimburse the group for the costs of permanent improvements made to the property.
(b) Funds from loans made under the RRHP shall not be used for the following items:
(1) Purchase of a building,
(2) Purchase or rental of furniture or appliances other than those listed in Subsection (a)(3) of this regulation,
(3) Payment of on-going monthly group living expenses (e.g. utilities, rent, groceries, household supplies),
(4) Purchase or rental of an automobile or other means of transportation, and
(5) Purchase or rental of recreational equipment (e.g. a television, stereo, pool table, ping-pong table), and
(6) The purchase of other household items (e.g. bed linens, kitchen utensils, drapery, blinds, curtains, window coverings).
NOTE

Authority cited: Sections 11755 and 11755.2, Health and Safety Code. Reference: Sections 11755.2 and 11818, Health and Safety Code; and Section 300x-25, Title 42, United States Code.
HISTORY

1. New section filed 4-12-95; operative 5-12-95 (Register 95, No. 15).
§11010. Terms of Loans.
Note     •     History

(a) Loans made under the RRHP shall be repaid within 24 months of the date the promissory note is signed.
(b) No interest or prepayment penalty shall be charged for loans made under the RRHP.
(c) Payments shall be due the first day of each month.
(1) The first monthly payment shall be due on the first day of the month following the month in which the loan is approved (e.g. if a loan is approved in January, the first payment shall be due February 1st).
(2) The date of receipt shall be the date shown on the Post Office's cancellation mark stamped on the payment remittance envelope. Payments shall be considered late if the date shown on the Post Office's cancellation mark is later than the sixteenth day of the month.
(e) Late charges, as set forth below, shall be assessed if the payment is not received by the sixteenth day of each month:

	Original Loan Amount	Late Penalty

	$    1 - $1,000	$20
	$1,001 - $3,000	$30
	$3,001 - $4,000	$40
NOTE

Authority cited: Sections 11755 and 11755.2, Health and Safety Code. Reference: Section 11002, Government Code; Section 11755.2, Health and Safety Code; and Section 300x-25, Title 42, United States Code.
HISTORY

1. New section filed 4-12-95; operative 5-12-95 (Register 95, No. 15).
§11012. Loan Requirements.
Note     •     History

(a) Each resident of the group home shall be considered a co-applicant for the loan.
(b) In signing the loan applications, each co-applicant shall assume liability for repaying the outstanding balance of the loan in its entirety in the event that the other co-applicants leave the group home, misappropriate the loan proceeds, or otherwise discontinue repayment of the RRHP loan.
(c) Each RRHP group home shall consist of no less than six residents, who are recovering from alcoholism and/or drug addiction.
(d) Minor children of group residents may live with their parents in the group home if:
(1) The parent makes arrangements to care for the child(ren) if the parent is expelled from the group home pursuant to Subsection (f)(2) of this regulation;
(2) The parent signs a written statement specifying the arrangements that have been made to care for the child(ren) if the parent is expelled from the group home;
(3) If the arrangements the parent has made involve the other residents of the group home, the residents shall sign a written statement  agreeing to comply with the arrangements the parent has made to care for the child(ren).
(e) All residents of the home shall be recovering from alcoholism or drug addiction.
(f) The group home shall be alcohol and drug free. As used in this chapter, “alcohol and drug free” means that:
(1) No alcohol or illicit drugs shall be allowed in the group home or on the premises.
(2) The group residents shall expel from the group home any resident who resumes using alcohol or illicit drugs.
(3) As used in this chapter, “illicit drugs” means any substance defined as a drug in Section 11014, Chapter 1, Division 10 of the Health and Safety Code, except:
(A) Drugs or medications prescribed by a licensed physician or other person authorized to prescribe drugs, pursuant to Section 4036, Chapter 9, Division 2 of the Business and Professions Code, and used in the dosage and frequency described; or
(B) Over-the-counter drugs or medications, used in the dosage and frequency described on the box, bottle, or package insert.
(g) The group home shall be habitable. As used in the chapter, “habitable” means that the group home shall have a minimum of:
(1) One working gas or electric stove,
(2) One working electric refrigerator,
(3) Hot and cold running water,
(4) One water flush toilet, in working condition,
(5) One bathtub, shower, or bath/shower combination, with hot and cold running water, and in working condition.
(6) Electric lighting,
(7) A working furnace or other form of heating,
(8) An individual bed for each resident and enough bedrooms to accommodate all residents of the house, so that no more than four residents are required to share a bedroom. Each bunk of a bunk bed shall be considered an individual bed for purposes of this regulation.
(h) The residents of the group home shall be self-supporting and able to repay the loan within two years. Ability to be self-supporting and to repay the loan within two years shall be determined as follows:
(A) Each co-applicant's share of monthly housing expenses shall be computed by adding the monthly rent, utilities, and group loan repayment together, then dividing the total by the total number of co-applicants.
(B) Each co-applicant's share of monthly housing expenses shall be compared to his/her income as stated on the written RRHP loan application.
(C) If the co-applicant's share of monthly housing expenses does not exceed forty percent of his/her monthly gross income and the total of his/her other personal expenses do not exceed sixty percent of his/her monthly gross income, the co-applicant shall be considered to be self-supporting and able to repay the loan within two years.
(i) The group home shall be resident run [defined in accordance with Section 11002(a)(17)].
NOTE

Authority cited: Sections 11755 and 11755.2, Health and Safety Code. Reference: Section 11002, Government Code; Section 11755.2, Health and Safety Code; and Section 300x-25, Title 42, United States Code.
HISTORY

1. New section filed 4-12-95; operative 5-12-95 (Register 95, No. 15).
§11014. How to Obtain Application Information.
Note     •     History

Application information may be obtained by contacting the Resident Run Housing Program, Department of Alcohol and Drug Programs, 1700 K Street, Sacramento, CA 95811-4037 [telephone: (916) 322-6937].
NOTE

Authority cited: Sections 11755 and 11755.2, Health and Safety Code. Reference: Section 11755.2, Health and Safety Code; and Section 300x-25, Title 42, United States Code.
HISTORY

1. New section filed 4-12-95; operative 5-12-95 (Register 95, No. 15).
2. Change without regulatory effect amending section filed 3-6-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 10).
§11016. Content of Loan Application.
Note     •     History

To apply for a RRHP loan, the applicants shall provide, in writing, the information listed in Subsections (a) and (b) of this regulation and the documentation listed in Subsection (c) below.
(a) Each co-applicant shall provide the following information:
(1) First and last name,
(2) Social Security number (optional),
(3) Driver's license or identification number,
(4) Birth date,
(5) Home and work telephone numbers,
(6) Present address,
(7) Employer's name and address,
(8) Job title,
(9) Length of employment at current job,
(10) The amount and source of monthly gross income,
(A) As used in this Chapter, “income” means earned wages or salary, or other compensation received on a regular or consistent basis, including:
Supplemental Security Income/State Supplement (SSI/SSP) payments,
State disability payments,
Aid to Families with Dependent Children (AFDC), general relief, food stamps, or other form of welfare payments, or
Spousal support (alimony) or child support.
(B) The following shall not be considered as income because they are one-time payments, rather than payments received on a regular, consistent basis:
One-time payments resulting from an insurance settlement or law suit,
Proceeds from gambling, lottery, ect.
Loans from friends or relatives,
Donations from benevolent organizations,
Taxable income which is not reported.
(11) The amount of the co-applicant's share of the monthly rent, utilities, and other household expenses for the group home;
(12) The name of the alcoholism and/or drug recovery or treatment program attended (if any) and the date completed or attended;
(13) Length of sobriety;
(14) The number of alcoholism and/or drug recovery or treatment program meetings attended weekly (if any).
(b) Each group of applicants shall provide the following information:
(1) The loan amount requested,
(2) The purpose of the loan,
(3) The name and street address of the proposed group home,
(4) The maximum number of residents who will live in the proposed group home,
(5) The number of bedrooms, number of beds, and size of the group home in square feet,
(6) The name, mailing address, and telephone number of the landlord of the proposed group home,
(7) The terms of the proposed lease or rental agreement,
(8) The total monthly rent, estimated monthly utility costs, and other household expenses for the group home.
(c) The applicants shall attach to the written loan applications copies of the following documents:
(1) A letter of recommendation for each co-applicant from a treatment or recovery program, such as Alcoholics Anonymous, Narcotics Anonymous, etc.,
(2) Documentation of income (e.g. copy of a pay stub, statement from employer, etc.) for each co-applicant,
(3) A copy of the group home operating rules, and,
(4) A copy of the group home's network and replacement plan.
(5) A copy of a lease, rental agreement, or statement signed by the proposed landlord, verifying the following information:
(A) The address of the proposed group home,
(B) The number of bedrooms and size (in square feet) of the proposed group home,
(C) The name, mailing address, and telephone number of the landlord of the proposed group home,
(D) The terms of the proposed lease or rental agreement,
(E) The total rent due per month,
(F) Whether first and last months' rent is required,
(G) The amount and purpose of any required deposits.
NOTE

Authority cited: Sections 11755 and 11755.2, Health and Safety Code. Reference: Sections 11755.2 and 11818, Health and Safety Code; and Sections 5, Title 5 and 300x-25, Title 42, United States Code.
HISTORY

1. New section filed 4-12-95; operative 5-12-95 (Register 95, No. 15).
§11017. Where to Submit Completed Applications.
Note     •     History

(a) Applicants shall submit completed loan applications to the Resident Run Housing Program, Department of Alcohol and Drug Programs, 1700 K Street, Sacramento, CA 95811-4037.
(b) Applicants may submit loan applications by facsimile (FAX) transmission [(916) 323-0653], however the Department shall not provide final approval of the loan application until it has received a written application containing the original signature of each co-applicant.
NOTE

Authority cited: Sections 11755 and 11755.2, Health and Safety Code. Reference: Section 11755.2, Health and Safety Code; and Section 300x-25, Title 42, United States Code.
HISTORY

1. New section filed 4-12-95; operative 5-12-95 (Register 95, No. 15).
2. Change without regulatory effect amending subsection (a) filed 3-6-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 10).
§11018. Application Review.
Note     •     History

The RRHP loan officer shall review the written RRHP loan application to determine that:
(a) The full name of each co-applicant applying for a RRHP loan and the group name appears on the loan application. The group name shall be used on the loan agreement, promissory note, and loan check;
(b) The purpose stated on the loan application complies with the purpose stated in Subsections 11008(a) or (b);
(c) Each co-applicant has certified in writing that he/she is recovering from alcoholism or drug addiction;
(d) The loan application is complete and that they include all necessary supporting documentation specified in Section 11016. If the loan application is not complete, the loan officer shall request the additional information or documentation;
(e) The applicants are self-supporting and able to repay the loan (determined in accordance with the provisions of Section 11012(h).
NOTE

Authority cited: Sections 11755 and 11755.2, Health and Safety Code. Reference: Sections 11755.2 and 11818, Health and Safety Code; and Sections 552(a), Title 5 and 300x-25, Title 42, United States Code.
HISTORY

1. New section filed 4-12-95; operative 5-12-95 (Register 95, No. 15).
§11020. Site Review.
Note     •     History

(a) When a group home has been located, the RRHP loan officer or designee shall meet with all of the applicants to:
(1) Document the identity of each applicant by viewing a driver's license or similar form of picture identification,
(2) Verify that a checking account has been established in the name of the resident run home, which requires the signature of at least two residents, and
(3) Review the rental agreement for a house, apartment, or other housing.
(b) The RRHP loan officer shall complete a site review to verify that:
(1) The group home:
(A) Exists,
(B) Is habitable, as defined in Section 11012(g),
(C) Is alcohol and drug free [defined in accordance with Section 11012(f)], and
(D) Is resident run [defined in accordance with Section 11002(a)(17)]; and
(2) There are at least six individuals who will reside in the group home.
(c) The site review shall also include:
(1) A review of the group home's operating rules and procedures, and a proposed network and replacement plan,
(2) Identification of the group home's elected officials, and
(3) Verification of the maximum number of residents that the group home can accommodate.
(d) The RRHP loan officer or designee shall complete the site review within three working days of the date the applicants locate a group home to rent.
NOTE

Authority cited: Sections 11755 and 11755.2, Health and Safety Code. Reference: Sections 11755.2 and 11818, Health and Safety Code; and Section 300x-25, Title 42, United States Code.
HISTORY

1. New section filed 4-12-95; operative 5-12-95 (Register 95, No. 15).
§11022. Loan Approval Process.
Note     •     History

(a) The Director shall establish an ad hoc RRHP Loan Review Committee, composed of Departmental staff and managers, to provide an impartial, objective review of RRHP loan applications.
(b) Upon completion of his/her review of the RRHP loan application, the readiness interview, and the site review, the RRHP Loan Officer shall make a recommendation to the Loan Review Committee to approve or disapprove the loan application, based on the results of his/her review. The loan Review Committee shall approve or disapprove the loan application within three working days of the site review.
(c) Approval or denial of the loan application shall require a majority vote by a quorum of the Loan Review Committee.
(d) Upon completion of the loan review committee's decision, the Loan Officer shall notify the applicants in writing whether their loan application was approved or denied and the reasons for denial.
NOTE

Authority cited: Sections 11755 and 11755.2, Health and Safety Code. Reference: Section 11755.2, Health and Safety Code; and Section 300x-25, Title 42, United States Code.
HISTORY

1. New section filed 4-12-95; operative 5-12-95 (Register 95, No. 15).
§11024. Appeal Process.
Note     •     History

(a) Applicants who are denied a RRHP loan may appeal the decision of the Loan Review Committee by sending a written request to the Director within 30 days of the date of denial. The appeal letter shall contain the application number (as shown on the Department's notice of denial) and the proposed group name, and the appeal letter shall specify the reason for appeal. Applicants shall send the request for appeal to the Director, Department of Alcohol and Drug Programs, 1700 K Street, Sacramento, CA 95811-4037.
(b) Within 10 days of receipt of a request for appeal, the Director or his/her designee shall acknowledge receipt of the appeal in writing and shall set a date for an administrative review interview. The administrative review interview shall be conducted by the Director or his/her designee with the applicants at a mutually convenient location. The Director or his/her designee may also invite a member of the Loan Review Committee to be present at the administrative review interview. The Department shall attempt to ensure that the location and time of the administrative review interview does not impose expense or hardship on the applicant(s).
(c) The administrative review interview shall be an informal process. The applicants shall be given an opportunity to state why they believe that the Loan Review Committee's decision to deny the loan was erroneous and the applicants may present evidence supporting the appeal.
(d) A site visit to the proposed rental property may be included in the administrative review interview.
(e) Within thirty days of the administrative review interview, the Director or his/her designee shall send his/her written decision to the applicants.
(f) The decision of the Director or his/her designee shall be considered binding.
NOTE

Authority cited: Sections 11755 and 11755.2, Health and Safety Code. Reference: Section 11755.2, Health and Safety Code; and Section 300x-25, Title 42, United States Code.
HISTORY

1. New section filed 4-12-95; operative 5-12-95 (Register 95, No. 15).
2. Change without regulatory effect amending subsection (a) filed 3-6-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 10).
§11026. Loan Agreement and Promissory Note.
Note     •     History

After a RRHP loan application is approved, the loan officer shall prepare a RRHP loan agreement, stating the terms and conditions of the loan, and a promissory note. The loan officer shall mail these two documents to the applicant. Both of these documents shall be signed by all of the co-applicants. The signatures on the promissory note shall be notarized. Both documents shall be signed and returned to the loan officer prior to disbursement of funds.
NOTE

Authority cited: Sections 11755 and 11755.2, Health and Safety Code. Reference: Section 11755.2, Health and Safety Code; and Section 300x-25, Title 42, United States Code.
HISTORY

1. New section filed 4-12-95; operative 5-12-95 (Register 95, No. 15).
§11028. Disbursement of Funds.
Note     •     History

(a) Upon receipt of the signed loan agreement and the signed, notarized promissory note, the RRHP loan officer shall authorize the preparation of the loan checks; one check payable to the group home's landlord for the first and last months' rent and security deposit, and the other check payable to the group home to cover other necessary expenditures in accordance with Section 11008.
(b) Loan checks shall be sent to the payees by registered or express mail upon receipt of the loan agreement and the promissory note.
NOTE

Authority cited: Sections 11755 and 11755.2, Health and Safety Code. Reference: Sections 11755.2 and 11818, Health and Safety Code; and Section 300x-25, Title 42, United States Code.
HISTORY

1. New section filed 4-12-95; operative 5-12-95 (Register 95, No. 15).
§11030. Payment Coupons.
Note     •     History

(a) After disbursing the RRHP loan funds to the group home, the loan officer shall mail payment coupons to the group. The payment coupons shall be used for making monthly loan payments.
(b) Payment coupons shall specify the following information for each loan:
(1) Account number,
(2) Amount of regular monthly payment,
(3) Amount of late payment, and
(4) Group name.
(c) Payment coupons may also be used to notify the Department when a resident moves into or out of the group home.
NOTE

Authority cited: Sections 11755 and 11755.2, Health and Safety Code. Reference: Section 11755.2, Health and Safety Code; and Section 300x-25, Title 42, United States Code.
HISTORY

1. New section filed 4-12-95; operative 5-12-95 (Register 95, No. 15).
§11032. Collection of Delinquent Accounts.
Note     •     History

(a) The RRHP loan officer shall notify the residents of the group home in writing if payment is not received by the sixteenth day of the month.
(b) The group home may make arrangements with the loan officer to defer a portion of the monthly payment on a case-by-case basis under the following conditions:
(1) If delinquency is due to serious and unforeseen hardship, including but not limited to the following:
(A) A majority of residents moved out of the home in the same month,
(B) Relocation of the home,
(C) Misappropriation of funds by a resident.
(2) If the group home is adhering to all other program requirements listed in this Chapter.
(c) If payment is not made within 90 days of the due date and serious or unforeseen hardship, as defined in (1) above, does not exist, the Department shall initiate legal proceedings which will allow it to intercept any monies due to residents of the group home from certain other State agencies including the Franchise Tax Board, the Board of Equalization, the Employment Development Department, the Lottery Commission, and the State Controller's Office.
NOTE

Authority cited: Sections 11755 and 11755.2, Health and Safety Code. Reference: Section 11755.2, Health and Safety Code; and Section 300x-25, Title 42, United States Code.
HISTORY

1. New section filed 4-12-95; operative 5-12-95 (Register 95, No. 15).
§11034. Loan Assumption.
Note     •     History

(a) By checking the appropriate box on the monthly loan payment coupon, residents of the group home shall notify the RRHP loan officer whenever a resident moves out of the home or a new resident moves in.
(b) Whenever there is a change in residents of the group home, the residents shall also file a group home report with the RRHP loan officer.
(c) All new residents shall file a record of loan assumption/transfer with the RRHP Loan Officer within thirty days of moving into the group home.
NOTE

Authority cited: Sections 11755 and 11755.2, Health and Safety Code. Reference: Section 11755.2, Health and Safety Code; and Section 300x-25, Title 42, United States Code.
HISTORY

1. New section filed 4-12-95; operative 5-12-95 (Register 95, No. 15).
§11036. Confidentiality of Information.
Note     •     History

All officers and employees of the Department shall keep strictly confidential all information, records, and applicant or resident data which may be obtained or compiled in the operation of the Resident Run Housing Program. All such information, records, and applicant or resident data shall be kept and maintained in strict confidentiality pursuant to Part 2 (commencing with Section 2.1), Title 42, Code of Federal Regulations.
NOTE

Authority cited: Sections 11755 and 11755.2, Health and Safety Code. Reference: Section 11755.2, Health and Safety Code; and Section 300x-25, Title 42, United States Code.
HISTORY

1. New section filed 4-12-95; operative 5-12-95 (Register 95, No. 15).
Chapter 8. Certification of Alcohol and Other Drug Counselors
Subchapter 1. Application and Purpose of Chapter and Definitions
§13000. Application and Purpose of Chapter.
Note     •     History

The regulations contained in this Chapter shall apply to all individuals providing counseling services in an alcohol or other drug (AOD) program, to all organizations certifying AOD counselors, and to all AOD programs, as defined in Section 13005. 
NOTE

Authority cited: Sections 11755 and 11834.50, Health and Safety Code. Reference: Sections 11833 and 11834.27, Health and Safety Code. 
HISTORY

1. New chapter 8 (subchapters 1-3), subchapter 1 (sections 13000-13005) and section filed 3-25-2005; operative 4-1-2005 pursuant to Government Code section 11343.4 (Register 2005, No. 12). 
§13005. Definitions.
Note     •     History

(a) The following definitions apply to terminology used in this Chapter: 
(1) “Alcohol and other drug (AOD) program” means any of the following: 
(A) A driving under the influence program licensed pursuant to Chapter 9 (commencing with Section 11836), Part 2, Division 10.5 of the Health and Safety Code (HSC), and the provisions of Chapter 3 (commencing with Section 9795), Division 4, Title 9 of the California Code of Regulations (CCR); 
(B) A narcotic treatment program licensed pursuant to Article 1, Chapter 10 (commencing with Section 11839), Part 2, Division 10.5, HSC, and the provisions of Chapter 4 (commencing with Section 9995), Division 4, Title 9, CCR; 
(C) A residential alcohol or drug abuse recovery or treatment program licensed pursuant to Chapter 7.5 (commencing with Section 11834.01), Part 2, Division 10.5, HSC, and the provisions of Chapter 5 (commencing with Section 10500), Division 4, Title 9, CCR; 
(D) An alcohol or drug recovery or treatment program certified to receive Medi-Cal reimbursement pursuant to Section 51200, Title 22, CCR; 
(E) An alcohol or drug recovery or treatment program certified pursuant to Section 11830, Chapter 7, Part 2, Division 10.5, HSC; or 
(F) An alcohol or drug recovery or treatment program funded pursuant to Part 2, Division 10.5, HSC (commencing with Section 11760). 
(2) “Certified AOD counselor” means an individual certified by a certifying organization pursuant to Section 13035. 
(3) “Certifying organization” means an organization approved to certify individuals as AOD counselors, as listed in Section 13035. 
(4) “Counseling services” means any of the following activities: 
(A) Evaluating participants', patients', or residents' AOD treatment or recovery needs, including screening prior to admission, intake, and assessment of need for services at the time of admission; 
(B) Developing and updating of a treatment or recovery plan; 
(C) Implementing the treatment or recovery plan; 
(D) Continuing assessment and treatment planning; 
(E) Conducting individual counseling sessions, group counseling sessions, face-to-face interviews, or counseling for families, couples, and other individuals significant in the life of the participants, patients, or residents; and 
(F) Documenting counseling activities, assessment, treatment and recovery planning, clinical reports related to treatment provided, progress notes, discharge summaries, and all other client related data. 
(5) “Days” means calendar days unless otherwise specified. 
(6) “Department” means the Department of Alcohol and Drug Programs. 
(7) “Hour” means sixty (60) minutes unless otherwise specified. 
(8) “Registrant” means an individual registered with any certifying organization to obtain certification as an AOD counselor. 
NOTE

Authority cited: Sections 11755 and 11834.50, Health and Safety Code. Reference: Sections 11833 and 11834.27, Health and Safety Code. 
HISTORY

1. New section filed 3-25-2005; operative 4-1-2005 pursuant to Government Code section 11343.4 (Register 2005, No. 12). 
Subchapter 2. Requirement for Certification for Individuals Providing Counseling Services in AOD Recovery and Treatment Programs
§13010. Requirement for Certification.
Note     •     History

(a) By April 1, 2010, at least thirty percent (30%) of staff providing counseling services in all AOD programs shall be licensed or certified pursuant to the requirements of this Chapter. All other counseling staff shall be registered pursuant to Section 13035(f). 
(b) Each AOD program may determine which of the Department approved certifying organizations, as specified in Section 13035, it will recognize when hiring AOD counselors certified by or registered with that/those organization(s). 
(c) Certification pursuant to this Chapter does not confer on any individual any right or privilege to provide AOD treatment services outside of an AOD program or to practice any other profession for which licensure is required. 
NOTE

Authority cited: Sections 11755 and 11834.50, Health and Safety Code. Reference: Sections 11833 and 11834.27, Health and Safety Code. 
HISTORY

1. New subchapter 2 (sections 13010-13035) and section filed 3-25-2005; operative 4-1-2005 pursuant to Government Code section 11343.4 (Register 2005, No. 12). 
§13015. Requirements for Certification of Licensed Professionals.
Note     •     History

(a) As used in this regulation, “licensed professional” means a physician licensed by the Medical Board of California; or a psychologist licensed by the Board of Psychology; or a clinical social worker or marriage and family therapist licensed by the California Board of Behavioral Sciences, or an intern registered with the California Board of Psychology or the California Board of Behavioral Sciences. 
(b) Licensed professionals, providing counseling services in an AOD program, who are in good standing with their licensing agency, shall not be required to become certified as AOD counselors pursuant to this Chapter. As used in this regulation, “in good standing” means that the individual's license is valid and is not revoked, suspended, or otherwise terminated. 
(c) Licensed professionals, providing counseling services in an AOD program, shall provide to the AOD program by which they are employed, for retention in their personnel files, a copy of their license to practice in the State of California. 
(d) Licensed professionals, providing counseling services in an AOD program, shall complete 36 hours of continuing education during every two year period of licensure beginning January 1, 2006. Such continuing education shall be based on the curriculum described in Section 13055 and shall be provided or approved by the AOD program employing the licensed professional or one of the certifying organizations specified in Section 13035. Licensed professionals shall be required to complete 36 hours of continuing education during every two year period of licensure; however, at the discretion of the employing AOD program, the continuing education units required by the licensed professional's licensing board shall satisfy this requirement. 
NOTE

Authority cited: Sections 11755 and 11834.50, Health and Safety Code. Reference: Sections 11833 and 11834.27, Health and Safety Code. 
HISTORY

1. New section filed 3-25-2005; operative 4-1-2005 pursuant to Government Code section 11343.4 (Register 2005, No. 12). 
§13020. Requirements for Previously Certified AOD Counselors.
Note     •     History

(a) Any individual who was certified to provide counseling services in an AOD program, by a certifying organization (listed in Section 13035), as of April 1, 2005, shall be deemed certified pursuant to the requirements of this Chapter. All such individuals shall comply with all other requirements of Subchapter 3 (commencing with Section 13055) of this Chapter. 
(b) Any individual, certified to provide counseling services in an AOD program, as of April 1, 2005, shall present to the AOD program by which he/she is employed, for retention in his/her personnel file, a copy of his/her certificate as an AOD counselor. 
NOTE

Authority cited: Sections 11755 and 11834.50, Health and Safety Code. Reference: Sections 11833 and 11834.27, Health and Safety Code. 
HISTORY

1. New section filed 3-25-2005; operative 4-1-2005 pursuant to Government Code section 11343.4 (Register 2005, No. 12). 
§13025. Requirements for Certification by Testing.
Note     •     History

At its discretion, until April 1, 2007, any of the certifying organizations listed in Section 13035 may certify any individual employed as an AOD counselor as of April 1, 2005, if the individual: 
(a) Registers to obtain certification with a certifying organization listed in Section 13035; 
(b) Provides written documentation to the certifying organization that he/she has been employed to provide counseling services in an AOD program for the equivalent of forty (40) hours per week for a minimum of five (5) years between April 1, 1995 and April 1, 2005 or provides an official diploma or written transcript verifying that he/she has successfully completed an associate's degree (A.A.), a bachelor's degree (B.A. or B.S.), or a master's degree (M.A.) in the study of chemical dependency; and 
(c) Achieves a score of at least seventy percent (70%) on an oral and/or written examination, approved by the certifying organization. Achievement of a passing score on an oral or written examination administered by any one of the certifying organizations listed in Section 13035 does not mandate any other certifying organization to certify the individual as an AOD counselor. 
NOTE

Authority cited: Sections 11755 and 11834.50, Health and Safety Code. Reference: Sections 11833 and 11834.27, Health and Safety Code. 
HISTORY

1. New section filed 3-25-2005; operative 4-1-2005 pursuant to Government Code section 11343.4 (Register 2005, No. 12). 
§13030. Requirements for Counselors Certified or Licensed in Other States or by Other Certifying Organizations.
Note     •     History

(a) Any certifying organization listed in Section 13035 may, at its option, certify by reciprocity an individual, who is currently certified or licensed in another state to provide counseling services in an AOD program, or is currently certified by an organization other than those listed in Section 13035, if: 
(1) The individual registers with one of the certifying organizations listed in Section 13035 and provides the certifying organization with verifiable documentation of his/her current licensure or certification, 
(2) The certifying organization verifies that the registrant's licensure or certification is current, has never been revoked, and is not currently the subject of an investigation by either the Department or the certifying organization which granted it, and 
(3) The certifying organization determines to its satisfaction that the standards by which the other state or certifying organization granted licensure or certification were the same as or more stringent than the standards contained in this Chapter. 
(b) The registrant/certified AOD counselor shall comply with all the requirements of Subchapter 3 (commencing with Section 13040) of this Chapter. 
(c) This regulation shall not prohibit any certifying organization from establishing additional terms and conditions for certification by reciprocity, so long as those terms and conditions do not conflict with the provisions of this Chapter. 
(d) This regulation shall not require any certifying organization to grant certification by reciprocity. 
NOTE

Authority cited: Sections 11755 and 11834.50, Health and Safety Code. Reference: Sections 11833 and 11834.27, Health and Safety Code. 
HISTORY

1. New section filed 3-25-2005; operative 4-1-2005 pursuant to Government Code section 11343.4 (Register 2005, No. 12). 
§13035. Certifying Organizations.
Note     •     History

(a) As of April 1, 2005, the following organizations are approved by the Department to register and certify AOD counselors pursuant to this Chapter: 
(1) The Breining Institute, 
(2) The California Association of Addiction Recovery Resources, 
(3) The California Association for Alcohol/ Drug Educators, 
(4) The California Association of Alcoholism and Drug Abuse Counselors, 
(5) The California Association of Drinking Driver Treatment Programs, 
(6) The Forensic Addictions Corrections Treatment, 
(7) The Indian Alcoholism Commission of California, Inc., 
(8) The American Academy of Health Care Providers, 
(9) The Association of Christian Alcohol & Drug Counselors, or 
(10) The California Certification Board of Chemical Dependency Counselors 
(b) The Department will also approve any other organization that certifies counselors if it requests in writing that the Department recognize it and it provides written documentation that it complies with all of the requirements of (c) of this regulation, except that the accreditation required by (c)(2) must be in place by the time the organization requests recognition, if the organization requests recognition after September 30, 2007. 
(c) The certifying organizations listed in (a) of this regulation shall: 
(1) Maintain a business office in California, and 
(2) Become accredited with the National Commission for Certifying Agencies (NCCA) by September 30, 2007 and shall continuously maintain such accreditation. Certifying organizations may obtain information on NCCA accreditation by contacting the NCCA at 2025 M Street NW, Suite 800, Washington D.C. 20036-3309; telephone (202) 367-1165; internet address www.noca.org; 
(3) Provide written documentation from the NCCA that the NCCA has determined that the certifying organization complies with the requirements of this Chapter; and 
(4) Comply with the requirements of this Chapter. 
(d) If any of the certifying organizations specified in this regulation fails to comply with the requirements of this regulation, within five (5) working days following receipt of written notification by the Department that it is no longer approved to certify AOD counselors, the certifying organization shall send written notification to each AOD counselor registered with or certified by the certifying organization, informing him/her of his/her rights and responsibilities, including the following: 
(1) Before expiration of his/her certification or within six (6) months of the notice (whichever is sooner), the counselor shall register with one of the other certifying organizations listed in (a) of this regulation; 
(2) For purposes of this Chapter, the AOD counselor's certification remains valid until it expires only if the certified counselor re-registers as required by (d)(1) of this regulation; 
(3) The new certifying organization shall give credit for any continuing education credits earned while certified by the former certifying organization; and 
(4) The new certifying organization shall give registrants sufficient credit for education and experience completed to place the registrant at an equivalent level in the new certifying organization. 
(e) If any of the certifying organizations specified in (a) of this regulation voluntarily chooses to stop certifying AOD counselors, it shall notify the Department in writing of its decision and follow the steps outlined in (d) of this regulation. 
(f) By October 1, 2005 or within six (6) months of the date of hire, whichever is later, all non-licensed or non-certified individuals providing counseling services in an AOD program shall be registered to obtain certification as an AOD counselor by one of the certifying organizations specified in this regulation. 
(1) Registrants shall complete certification as an AOD counselor within five (5) years of the date of registration. 
(2) The certifying organization may allow up to two (2) years additional time for a leave of absence due to medical problem or other hardship, consistent with the policy developed by the certifying organization. 
NOTE

Authority cited: Sections 11755 and 11834.50, Health and Safety Code. Reference: Sections 11833 and 11834.27, Health and Safety Code. 
HISTORY

1. New section filed 3-25-2005; operative 4-1-2005 pursuant to Government Code section 11343.4 (Register 2005, No. 12). 
2. Amendment of subsections (b) and (c)(2) filed 5-24-2007 as an emergency; operative 5-24-2007 (Register 2007, No. 21). A Certificate of Compliance must be transmitted to OAL by 11-20-2007 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 5-24-2007 order transmitted to OAL 10-26-2007 filed 12-10-2007 (Register 2007, No. 50).
Subchapter 3. Requirements for Certification of AOD Counselors
§13040. Requirements for Initial Certification of AOD Counselors.
Note     •     History

Prior to certification as an AOD counselor, the certifying organization shall require each registrant to: 
(a) Complete a minimum of 155 documented hours of formal classroom AOD education, which shall include at least the following subjects: 
(1) The curriculum contained in “Addiction Counseling Competencies: The Knowledge, Skills, and Attitudes of Professional Practice”, Technical Assistance Publication Series 21 (TAP 21), published by the Substance Abuse and Mental Health Services Administration, United States Department of Health and Human Services, Reprinted 2002; 
(2) Provision of services to special populations such as aging individuals; individuals with co-occurring disorders (e.g., alcoholism and mental illness); individuals with post traumatic stress disorder [PTSD]); individuals with disabilities; diverse populations; individuals with cultural differences, individuals on probation/parole, etc.; 
(3) Ethics; 
(4) Communicable diseases including tuberculosis, HIV disease, and Hepatitis C; and 
(5) Prevention of sexual harassment; 
(b) Complete a minimum of 160 documented hours of supervised AOD training based on the curriculum contained in TAP 21 [as defined in (a) of this regulation] and supervised on-site by an AOD counselor who has been licensed or certified pursuant to this Chapter. As used in this regulation, “supervised” means that the individual supervising the training shall: 
(1) Be physically present and available on site or at an immediately adjacent site, but not necessarily in the same room at all times, and 
(2) Document in the registrant's record that the registrant has completed the supervised training required by this subsection. 
(c) Complete, an additional 2,080 or more documented hours of paid or unpaid work experience providing counseling services in an AOD program prior to, after, or at the same time as completion of the education required in (a) of this regulation and the supervised AOD training required in (b) of this regulation. 
(d) Obtain a score of at least seventy percent (70%) on a written or oral examination approved by the certifying organization; 
(e) Sign a statement documenting whether his/her prior certification as an AOD counselor has ever been revoked; and 
(f) Sign an agreement to abide by the certifying organization's code of conduct, developed pursuant to Section 13060. 
NOTE

Authority cited: Sections 11755 and 11834.50, Health and Safety Code. Reference: Sections 11833 and 11834.27, Health and Safety Code. 
HISTORY

1. New subchapter 3 (sections 13040-13075) and section filed 3-25-2005; operative 4-1-2005 pursuant to Government Code section 11343.4 (Register 2005, No. 12). 
§13045. Issuance of Certification as an AOD Counselor.
Note     •     History

(a) Prior to certifying a registrant as an AOD counselor, the certifying organization shall contact all other certifying organizations listed in Section 13035 to determine if the registrant's certification was ever revoked. 
(b) If previous certification was revoked, the certifying organization shall document in the registrant's file its reasons for granting or denying certification. The certifying organization shall send written notification to the Department that it has granted certification to a registrant whose previous certification was revoked within 48 hours of granting such certification. 
(c) If the certifying organization denies certification it shall send the registrant a written notice of denial. The notice shall specify the registrant's right to appeal the denial in accordance with the provisions of Section 13070. 
(d) If the certifying organization decides to grant certification, upon completion of all program requirements, as specified in Section 13040, and payment of all fees charged by the certifying organization, the certifying organization shall issue a written certificate to the registrant, stating that he/she is certified as an AOD counselor. 
NOTE

Authority cited: Sections 11755 and 11834.50, Health and Safety Code. Reference: Sections 11833 and 11834.27, Health and Safety Code. 
HISTORY

1. New section filed 3-25-2005; operative 4-1-2005 pursuant to Government Code section 11343.4 (Register 2005, No. 12). 
§13050. Length of Certification.
Note     •     History

Certification as an AOD counselor shall be valid for two (2) years from the date of certification, unless renewed pursuant to Section 13055 or revoked pursuant to Section 13065. 
NOTE

Authority cited: Sections 11755 and 11834.50, Health and Safety Code. Reference: Sections 11833 and 11834.27, Health and Safety Code. 
HISTORY

1. New section filed 3-25-2005; operative 4-1-2005 pursuant to Government Code section 11343.4 (Register 2005, No. 12). 
§13055. Renewal of Certification.
Note     •     History

(a) In order to renew certification, the certifying organization shall require each certified AOD counselor to complete a minimum of forty (40) hours of continuing education, approved by the certifying organization, during each two-year period of certification. 
(b) If a previously certified counselor's certification expires prior to April 1, 2007, in order to have his/her certification renewed, the counselor shall complete 1.6 hours of continuing education prorated for every month he/she was certified after the effective date of this Chapter, and rounded to the nearest whole hour. For example, if the counselor's previous certification expires on September 30, 2005, the counselor shall be required to complete ten (10) hours of continuing education (i.e., 1.6 hours multiplied by six months) to renew certification. 
(c) The forty (40) hours of continuing education shall include any combination of the following: 
(1) The curriculum contained TAP 21, as defined in Section 13040; 
(2) Provision of services to special populations including at least aging individuals; individuals with co-occurring disorders (e.g., alcoholism and mental illness); individuals with post traumatic stress disorder [PTSD]); individuals with disabilities; diverse populations; individuals with cultural differences, individuals on probation/parole, etc.; 
(3) Ethics; 
(4) Communicable diseases including tuberculosis, HIV disease and Hepatitis C; and 
(5) Prevention of sexual harassment. 
(d) At the certifying organization's discretion, the forty (40) hours of continuing education may also include other topics related to the field of alcoholism and drug abuse such as residential treatment, driving-under-the-influence, etc. 
(e) All certifying organizations (listed in Section 13035) shall accept as continuing education hours of training in the areas specified in (c) and (d), provided by any State, county, city, or other governmental agency or by any agency which provides services through a contractual arrangement with a State and/or county agency. 
(f) The certifying organization shall document completion of all continuing education hours and the subject matter studied in each certified AOD counselor's record maintained pursuant to Section 13075. 
(g) Prior to renewing certification, the certifying organization shall review the AOD counselor's record to determine if his/her certification has been revoked during the previous certification period. 
(h) If previous certification was revoked, the certifying organization shall document in the registrant's file its reasons for granting or denying renewal of certification. Within 48 hours of renewing certification, the certifying organization shall send written notification to the Department that it has renewed certification of an AOD counselor whose previous certification was revoked. 
(i) If the certifying organization denies renewal, it shall send the AOD counselor a written notice of denial. The notice shall specify the counselor's right to appeal the denial in accordance with the provisions of Section 13070. 
(j) If the certifying organization decides to renew certification, upon completion of all continuing education requirements and payment of all fees charged by the certifying organization, the certifying organization shall issue a written certificate to the registrant, stating that his/her certification as an AOD counselor has been renewed. 
(k) If the AOD counselor's previous certification was revoked, the certifying organization shall deny renewal of certification and shall send the AOD counselor a written notice of denial of renewal. The notice shall specify the AOD counselor's right to appeal the denial in accordance with the procedure established in Section 13070. 
(l) If certification as an AOD counselor has not been revoked, the certifying organization shall renew the AOD counselor's certification upon documentation of completion of a minimum of forty (40) hours of continuing education and payment of a renewal fee as specified by the certifying organization. 
NOTE

Authority cited: Sections 11755 and 11834.50, Health and Safety Code. Reference: Sections 11833 and 11834.27, Health and Safety Code. 
HISTORY

1. New section filed 3-25-2005; operative 4-1-2005 pursuant to Government Code section 11343.4 (Register 2005, No. 12). 
§13060. Code of Conduct.
Note     •     History

(a) Each certifying organization shall require registrants and certified AOD counselors to comply with a code of conduct developed by the certifying organization in compliance with the requirements of this regulation. 
(b) At a minimum, the code of conduct shall require registrants and certified AOD counselors to: 
(1) Comply with a code of conduct developed by the certifying organization; 
(2) Protect the participant's, patient's, or resident's rights to confidentiality in accordance with Part 2, Title 42, Code of Federal Regulations; 
(3) Cooperate with complaint investigations and supply information requested during complaint investigations unless such disclosure of information would violate the confidentiality requirements of Subpart 2, Title 42, Code of Federal Regulations. 
(c) At a minimum, the code of conduct shall prohibit registrants and certified AOD counselors from: 
(1) Providing counseling services, attending any program services or activities, or being present on program premises while under the influence of any amount of alcohol or illicit drugs. As used in this subsection, “illicit drugs” means any substance defined as a drug in Section 11014, Chapter 1, Division 10, Health and Safety Code, except: 
(A) Drugs or medications prescribed by a physician or other person authorized to prescribe drugs, in accordance with Section 4036, Chapter 9, Division 2, Business and Professions Code, and used in the dosage and frequency prescribed; or 
(B) Over-the-counter drugs or medications used in the dosage and frequency described on the box, bottle, or package insert. 
(2) Providing services beyond the scope of his/her registration or certification as an AOD counselor, or his/her professional license, if the individual is a licensed professional as defined in Section 13015; 
(3) Discriminating against program participants, patients, residents, or other staff members, based on race, religion, age, gender, disability, national ancestry, sexual orientation, or economic condition; 
(4) Engaging in social or business relationships for personal gain with program participants, patients, or residents, their family members or other persons who are significant to them; 
(5) Engaging in sexual conduct with current participants, patients, residents, their family members, or other persons who are significant to them; 
(6) Verbally, physically, or sexually harassing, threatening, or abusing any participant, patient, resident, their family members, other persons who are significant to them, or other staff members. 
(d) At its discretion, the certifying organization may chose to exclude any conviction(s) for usage or possession of drugs or alcohol, which occurred prior to the time of registration for certification as an AOD counselor, as a violation of the code of conduct. 
(e) Each certifying organization shall notify registrants and AOD counselors, in writing, of any changes to its code of conduct. 
(f) Certifying organizations and AOD programs may impose more stringent standards at their discretion. 
NOTE

Authority cited: Sections 11755 and 11834.50, Health and Safety Code. Reference: Sections 11833 and 11834.27, Health and Safety Code. 
HISTORY

1. New section filed 3-25-2005; operative 4-1-2005 pursuant to Government Code section 11343.4 (Register 2005, No. 12). 
§13065. Investigation of Complaints, Suspension, and Revocation.
Note     •     History

(a) Within 24 hours of the time an alleged violations of the code of conduct specified in Section 13060 by a registrant or a certified AOD counselor becomes known to an AOD program, the program shall report it to the Department and to the registrant or counselor's certifying organization. Such report may be made by contacting the Department and the certifying organization in person, by telephone, in writing, or by any automated or electronic means, such as e-mail or fax. 
(b) The report shall include facts concerning the alleged violation. 
(c) The Department shall investigate each alleged violation. 
(d) Within ninety (90) days of receipt of the request for investigation, the Department shall send a written order to the certifying organization specifying what corrective action (if any) it shall take, based on the Department's investigation and the severity of the violation. 
(e) If the Department orders the certifying organization to temporarily suspend or revoke a counselor's certification or registration, the certifying organization shall so inform the counselor and the AOD program employing the counselor or registrant in person or by telephone, with written notification to follow, immediately upon receipt of the written order from the Department. The written notification shall inform the counselor or registrant of his/her right to administrative review pursuant to Section 13070. 
(f) The same day that the certifying organization sends written notification to the counselor or registrant, it shall document in its database (pursuant to Section 13075) the violation alleged, the outcome of the Department's investigation, and what action the certifying organization took based on the Department's investigation. 
(h) If the Department does not order temporary suspension or revocation, within ten (10) days of receipt of the written order from the Department, the certifying organization shall send written notification to the counselor or registrant and the AOD program employing him/her, informing him/her of the results of the investigation. 
NOTE

Authority cited: Sections 11755 and 11834.50, Health and Safety Code. Reference: Sections 11833 and 11834.27, Health and Safety Code. 
HISTORY

1. New section filed 3-25-2005; operative 4-1-2005 pursuant to Government Code section 11343.4 (Register 2005, No. 12). 
§13070. Administrative Review.
Note     •     History

(a) The Department may initiate administrative review if a certifying organization registers or certifies an individual whose previous registration or certification was revoked. 
(b) A counselor or registrant whose registration or certification was denied, temporarily suspended, or revoked may request an informal review by sending a written request for review to the Director, Department of Alcohol and Drug Programs, 1700 K Street, Sacramento, California 95811-4037.
(c) The written request for review shall be postmarked within fifteen (15) working days of the date of the written notice of denial, temporary suspension, or revocation. The written request for review shall state: 
(1) The alleged violation of the code of conduct which is at issue and the basis for review. 
(2) The facts supporting the request for review. 
(d) Failure to submit the written request for review, pursuant to Subsections (b) and (c) of this regulation, shall be deemed a waiver of administrative review. 
(e) Within fifteen (15) working days of receipt of the request for review, the Director or the Director's designee shall schedule and hold an informal conference to review the Department's determination, unless: 
(1) The counselor or registrant waives the fifteen (15) day requirement, or 
(2) The Director or the Director's designee and the counselor or registrant agree to settle the matter based upon the information submitted with the request for review. 
(f) At the informal conference, the counselor or registrant shall have the right to: 
(1) Be represented by legal counsel, 
(2) Present oral and written evidence, and 
(3) Explain any mitigating circumstances. 
(g) The representatives of the Department who conducted the investigation shall and their attorney may: 
(1) Attend the informal conference, and 
(2) Present oral and/or written evidence and information substantiating the alleged violation. 
(h) The informal conference shall be conducted as an informal proceeding. 
(i) Neither the counselor or registrant nor the Department shall have the right to subpoena any witness to attend the informal conference. However, both the counselor or registrant and the Department may call witnesses to present evidence and information at the conference. 
(j) The proceedings of the informal conference may be recorded on audio tape by either party. 
(k) The Department shall mail its decision to affirm, modify, or dismiss the notice of denial, suspension, or revocation to the counselor or registrant. The decision shall: 
(1) Be postmarked and mailed no later than fifteen (15) working days from the date of the informal conference. 
(2) Specify the reason for affirming, modifying, or dismissing the suspension or revocation. 
(3) Include a statement notifying the counselor or registrant of his/her right to appeal the decision made at the informal conference in accordance with Chapter 5 (commencing with Section 11500) Part 1, Division 3, Title 2 of the Government Code. 
(l) The counselor or registrant may appeal the decision made at the informal conference by submitting a written request to the Director, Department of Alcohol and Drug Programs, 1700 K Street, Sacramento, California, 95811-4037, postmarked no later than fifteen (15) working days from the date the decision was mailed. Upon receipt of the request for appeal, the Department shall: 
(1) Request the Office of Administrative Hearings to set the matter for hearing, and 
(2) Notify the counselor or registrant of the time and place of the hearing. 
(m) Failure of the counselor or registrant to submit a written request to appeal the decision made at the informal conference postmarked within 15 working days from the date the decision was mailed shall be deemed a waiver of further administrative review and the decision of the Director or the Director's designee shall be deemed final. 
NOTE

Authority cited: Sections 11755 and 11834.50, Health and Safety Code. Reference: Sections 11833 and 11834.27, Health and Safety Code. 
HISTORY

1. New section filed 3-25-2005; operative 4-1-2005 pursuant to Government Code section 11343.4 (Register 2005, No. 12). 
2. Change without regulatory effect amending subsections (b) and (l) filed 3-6-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 10).
§13075. Maintenance of Records.
Note     •     History

(a) The certifying organization shall maintain an automated electronic database, containing a record for each registrant or counselor the organization has certified. The record shall document: 
(1) Completion of all education and work experience required pursuant to Section 13040 and Section 13055; 
(2) Certification to provide counseling services in an AOD program; 
(3) Renewal of certification; 
(4) Investigation and outcome of the investigation of any complaints alleging violations of the code of conduct developed pursuant to Section 13060; and 
(5) Temporary suspension or revocation of certification pursuant to Section13065; and 
(6) The final outcome of any appeal of temporary suspension or revocation adjudicated pursuant to Section 13070. 
(b) The database shall be electronically accessible by the Department and by the public. 
(c) The information contained in the database shall be updated each working day and kept current at all times. 
(d) The certifying organization shall retain the information kept in the database for five (5) years from the date of initial certification, denial, last renewal, temporary suspension, or revocation, whichever occurs last. 
NOTE

Authority cited: Sections 11755 and 11834.50, Health and Safety Code. Reference: Sections 11833 and 11834.27, Health and Safety Code. 
HISTORY

1. New section filed 3-25-2005; operative 4-1-2005 pursuant to Government Code section 11343.4 (Register 2005, No. 12). 
Chapter 10. Immigrant Status Verification for Licensure or Certification Applicants
§14001. Limitations on Licensure or Certification for Aliens.
Note     •     History

(a) The requirements of this regulation shall apply to all sole proprietors applying for public benefits. For purposes of this regulation, the term “public benefits” means a license to operate a driving under the influence program, as set forth in Chapter 9 (commencing with Section 11836), Part 2, Division 10.5 of the Health and Safety Code; a license to operate a narcotic treatment program, as set forth in Article 3 (commencing with Section 11875, Chapter 1, Part 3, Division 10.5 of the Health and Safety Code; a license to operate a residential, alcoholism or drug abuse recovery or treatment facility, as set forth in Article 1 (commencing with Section 11834.01), Chapter 7.5, Part 2, Division 10.5 of the Health and Safety Code; or a certificate to provide alcohol program services, as set forth in Chapter 7 (commencing with Section 11830), Part 2, Division 10.5 of the Health and Safety Code or drug program services, as set forth in Section 11994 of the Health and Safety Code.
(b) All eligibility requirements contained herein shall be applied without regard to the race, creed, color, gender, religion, or national origin of the individual applying for licensure or certification.
(c) Pursuant to Section 411 of the Personal Responsibility and Work Opportunity Reconciliation Act of 1996 (Pub.L. No. 104-193 (PRWORA)), (8 U.S.C. § 1621), and notwithstanding any other provision of this Division, aliens who are not qualified aliens, nonimmigrant aliens under the Immigration and Nationality Act (INA) (8 U.S.C. § 1101 et seq.), or aliens paroled into the United States under Section 212(d)(5) of the INA (8 U.S.C. § 1182(d)(5)) for less than one year, are not eligible to receive public benefits, as defined in subsection (a) of this regulation.
(d) A qualified alien is an alien who, at the time he or she applies for, receives, or attempts to receive public benefits, is, under Section 431(b) and (c) of the PRWORA (8 U.S.C. § 1641(b) and (c)), any of the following:
(1) An alien who is lawfully admitted for permanent residence under the INA (8 U.S.C. § 1101 et seq.).
(2) An alien who is granted asylum under Section 208 of the INA (8 U.S.C. § 1158).
(3) A refugee who is admitted to the United States under Section 207 of the INA (8 U.S.C. § 1157).
(4) An alien who is paroled into the United States under Section 212(d)(5) of the INA (8 U.S.C. § 1182(d)(5)) for a period of at least one year.
(5) An alien whose deportation is being withheld under Section 243(h) of the INA (8 U.S.C. § 1253(h)) (as in effect immediately before the effective date of Section 307 of Division C of Public Law 104-208) or Section 241(b)(3) of such Act (8 U.S.C. § 1251(b)(3)) (as amended by Section 305(a) of Division C of Public Law 104-208).
(6) An alien who is granted conditional entry pursuant to Section 203(a)(7) of the INA as in effect prior to April 1, 1980. (8 U.S.C. § 1153(a)(7)) (See editorial note under 8 U.S.C. § 1101, “Effective Date of 1980 Amendment.”)
(7) An alien who is a Cuban or Haitian entrant (as defined in Section 501(e) of the Refugee Education Assistance Act of 1980 (8 U.S.C. § 1522 note)).
(8) An alien who meets all of the conditions of  (A), (B), (C), and (D) immediately below:
(A) The alien has been battered or subjected to extreme cruelty in the United States by a spouse or a parent, or by a member of the spouse's or parent's family residing in the same household as the alien, and the spouse or parent of the alien consented to, or acquiesced in, such battery or cruelty. For purposes of this subsection, the term “battered or subjected to extreme cruelty” includes, but is not limited to being the victim of any act or threatened act of violence including any forceful detention, which results or threatens to result in physical or mental injury, rape, molestation, incest (if the victim is a minor), or forced prostitution.
(B) The Department determines that there is a substantial connection between such battery or cruelty and the need for public benefits. For purposes of this subsection, the following circumstances demonstrate a substantial connection between the battery or cruelty and the need for public benefits.
1. Public benefits are needed to enable the alien to become self-sufficient following separation from the abuser.
2. Public benefits are needed to enable the alien to escape the abuser and/or the community in which the abuser lives, or to ensure the safety of the alien from the abuser.
3. Public benefits are needed due to a loss of financial support resulting from the alien's separation from the abuser.
4. Public benefits are needed because the battery or cruelty, separation from the abuser, or work absences or lower job performance resulting from the battery or extreme cruelty or from legal proceedings relating thereto (including resulting child support, child custody, and divorce actions) cause the alien to lose his or her job or to earn less or to require the alien to leave his or her job for safety reasons.
5. Public benefits are needed because the alien requires medical attention or mental health counseling, or has become disabled, as a result of the battery or extreme cruelty.
6. Public benefits are needed because the loss of a dwelling or source of income or fear of the abuser following separation from the abuser jeopardizes the alien's ability to care for his or her children (e.g., inability to house, feed, or clothe children or to put children into day care for fear of being found by the abuser).
7. Public benefits are needed to alleviate nutritional risk or need resulting from the abuse or following separation from the abuser.
8. Public benefits are needed to provide medical care during a pregnancy resulting from the abuser's sexual assault or abuse of, or relationship with, the alien and/or to care for any resulting children.
9. Where medical coverage and/or health care services are needed to replace medical coverage or health care services the alien had when living with the abuser.
(C) The alien has a petition that has been approved or has a petition pending which sets forth a prima facie case for:
1. Status as a spouse or child of a United States citizen pursuant to clause (ii), (iii), or (iv) of Section 204(a)(1)(A) of the INA (8 U.S.C. § 1154(a)(1)(A)(ii), (iii) or (iv)),
2. Classification pursuant to clause (ii) or (iii) of Section 204(a)(1)(B) of the INA (8 U.S.C. § 1154(a)(1)(B)(ii) or (iii)),
3. Suspension of deportation and adjustment of status pursuant to Section 244(a)(3) of the INA (8 U.S.C. Sec. 1254) as in effect prior to April 1, 1997 (Pub.L. 104-208, Sec. 501 (effective Sept. 30, 1996, pursuant to Sec. 591); Pub.L. 104-208, Sec. 304 (effective April 1, 1997, pursuant to Sec. 309); Pub. L. 105-33, Sec. 5581 (effective pursuant to Sec. 5582)) (incorrectly codified as “cancellation of removal under Section 240A of Such Act [8 USCS Sec. 1229b] as in effect prior to April 1, 1997”).
4. Status as a spouse or child of a United States citizen pursuant to clause (i) of Section 204(a)(1)(A) of the INA (8 U.S.C. § 1154(a)(1)(A)(i)) or classification pursuant to clause (i) of Section 204(a)(1)(B) of the INA (8 U.S.C. § (1154) (a)(1)(B)(i)), or
5. Cancellation of removal pursuant to Section 240A(b)(2) of the INA (8 U.S.C. § 1229b(b)(2)).
(D) For the period for which public benefits are sought, the individual responsible for the battery or cruelty does not reside in the same household or family eligibility unit as the individual subjected to the battery or cruelty.
(9) An alien who meets all of the conditions (A), (B), (C), (D) and (E) immediately below:
(A) The alien has a child who has been battered or subjected to extreme cruelty in the United States by a spouse or a parent of the alien (without the active participation of the alien in the battery or cruelty), or by a member of the spouse's or parent's family residing in the same household as the alien, and the spouse or parent consented or acquiesced to such battery or cruelty. For purposes of this subsection, the term “battered or subjected to extreme cruelty” includes, but is not limited to being the victim of any act or threatened act of violence including any forceful detention, which results or threatens to result in physical or mental injury, rape, molestation, incest (if the victim is a minor), or forced prostitution.
(B) The alien did not actively participate in such battery or cruelty.
(C) The Department has determined that there is a substantial connection between such battery or cruelty and the need for public benefits. For purposes of this subsection, the following circumstances demonstrate a substantial connection between the battery or cruelty and the need for public benefits:
1. Public benefits are needed to enable the alien's child to become self-sufficient following separation from the abuser.
2. Public benefits are needed to enable the alien's child to escape the abuser and/or the community in which the abuser lives, or to ensure the safety of the alien's child from the abuser.
3. Public benefits are needed due to a loss of financial support resulting from the alien's child's separation from the abuser.
4. Public benefits are needed because the battery or cruelty, separation from the abuser, or work absences or lower job performance resulting from the battery or extreme cruelty or from legal proceedings relating thereto (including resulting child support, child custody, and divorce actions) cause the alien's child to lose his or her job or to earn less or to require the alien's child to leave his or her job for safety reasons.
5. Public benefits are needed because the alien's child requires medical attention or mental health counseling, or has become disabled as a result of the battery or extreme cruelty.
6. Public benefits are needed because the loss of a dwelling or source of income or fear of the abuser following separation from the abuser jeopardizes the alien's child's ability to care for his or her children (e.g., inability to house, feed, or clothe children, or to put children into day care for fear of being found by the abuser).
7. Public benefits are needed to alleviate nutritional risk or need resulting from the abuse or following separation from the abuser.
8. Public benefits are needed to provide medical care during a pregnancy resulting from the abuser's sexual assault or abuse of, or relationship with, the alien and/or to care for any resulting children.
9. Where medical coverage and/or health care services are needed to replace medical coverage or health care services the alien's child had when living with the abuser.
(D) The alien meets the requirements of subsection (d)(8)(C) of this regulation.
(E) For the period for which public benefits are sought, the individual responsible for the battery or cruelty does not reside in the same household or family eligibility unit as the individual subjected to the battery or cruelty.
(e) For purposes of this regulation, “nonimmigrant” is defined the same as in Section 101(a)(15) of the INA (8 U.S.C. § 1101(a)(15)).
(f) For purposes of establishing eligibility for public benefits, all of the following must be met:
(1) The applicant must declare himself or herself to be a citizen of the United States, a qualified alien under subsection (d) of this regulation, a nonimmigrant alien under subsection (e) of this regulation, or an alien paroled into the United States for less than one year under Section 212(d)(5) of the INA (8 U.S.C. § 1182(d)(5)). The applicant shall declare that status through use of the “Statement of Citizenship, Alienage, and Immigration Status for State Public Benefits,” [Form ADP 10045 (new 1/98)], which is hereby incorporated by reference.
(2) The applicant must present documents of a type acceptable to the Immigration and Naturalization Service (INS) which serve as reasonable evidence of the applicant's declared status. A fee receipt from the INS for replacement of a lost, stolen, or unreadable INS document is reasonable evidence of the alien's declared status.
(3) The applicant must complete and sign Form ADP 10045 (new 1/98).
(4) Where the documents presented do not on their face appear to be genuine or to relate to the individual presenting them, the Department shall contact the government entity that originally issued the documents for verification. With regard to naturalized citizens and derivative citizens presenting certificates of citizenship and aliens, the INS is the appropriate government entity to contact for verification. The Department shall request verification from the INS by filing U.S. Department of Justice INS Form G-845, Document Verification Request (Rev. 06/06/89) with copies of the pertinent documents provided by the applicant with the local INS office. If the applicant has lost his or her original documents or presents expired documents or is unable to present any documentation evidencing his or her immigration status, the Department shall refer the applicant to the local INS office to obtain documentation.
(5) The type of documentation referred to the INS for verification pursuant to INS Form G-845 shall include the following:
(A) The document presented indicates immigration status but does not include an alien registration or alien admission number.
(B) The document is suspected to be counterfeit or to have been altered.
(C) The document includes an alien registration number in the A60 000 000 (not yet issued) or A80 000 000 (illegal border crossing) series.
(D) The document is one of the following: an INS Form I-181b notification letter issued in connection with an INS Form I-181 Memorandum of Creation of Record of Permanent Residence, an Arrival-Departure Record (INS Form I-94) or a  foreign passport stamped “PROCESSED FOR I-551, TEMPORARY EVIDENCE OF LAWFUL PERMANENT RESIDENCE” that INS issued more than one year before the date of application for public benefits.
(6) If the INS advises that the applicant has citizenship status or immigration status which makes him or her a qualified alien, a nonimmigrant or alien paroled for less than one year under Section 212(d)(5) of the INA, the INS verification shall be accepted. If the INS advises that it cannot verify that the applicant has citizenship status or an immigration status that makes him or her a qualified alien, a nonimmigrant, or an alien paroled for less than one year under Section 212(d)(5) of the INA, public benefits shall be denied and the applicant notified of his or her right to appeal the denial of public benefits.
(g) Pursuant to Section 434 of the PRWORA (8 U.S.C. § 1644), where the Department reasonably believes that an alien is unlawfully in the state based on the failure of the alien to provide reasonable evidence of the alien's declared status, after an opportunity to do so, the Department shall report said alien to the Immigration and Naturalization Service.
(h) Any applicant who is determined to be ineligible pursuant to subsection (b) and (e) or who whose application for public benefits is denied, shall be entitled to a hearing, pursuant to the Administrative Procedures Act [Chapter 5 (commencing with Section 11500), Part 1, Division 3, Title 2 of the Government Code].
NOTE

Authority cited: Sections 11755, 11835, 11836.15 and 11864, Health and Safety Code. Reference: Sections 11836, 11834.01 and 11876, Health and Safety Code; and Sections 1621, 1641 and 1642, Title 8, United States Code.
HISTORY

1. New chapter 10 (section 14001) and section filed 3-9-98 as an emergency; operative 3-9-98 (Register 98, No. 11). A Certificate of Compliance must be transmitted to OAL by 7-7-98 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 3-9-98 order, including amendment of section, transmitted to OAL 6-4-98 and filed 7-10-98 (Register 98, No. 28).