TITLE 11. Law
Division 1. Attorney General
Chapter 1. Regulations Governing Proceedings in the Nature of Quo Warranto
§1. Service and Filing of Application.
Note
Any person desiring “leave to sue” in the name of the people of the State of California under any law requiring the prior permission therefor of the Attorney General (which person is herein referred to as the relator), shall serve his application (which shall include the papers referred to in Section 2) upon the proposed defendant, and within five days after such service shall file the same with the Attorney General.
NOTE
Authority cited for §§1 to 11, inclusive: Section 803 et seq. Code of Civil Procedure. Issuing Agency: Attorney General.
§2. Application for Leave to Sue; Contents.
The relator shall submit to the Attorney General his application for “leave to sue,” which application shall consist of the following:
(a) Original verified complaint, together with one copy thereof, and a verified statement of facts. The proposed complaint shall be prepared for the signature of the Attorney General, a deputy attorney general and the attorney for the relator, as attorneys for plaintiff.
(b) Points and authorities showing why the proposed proceeding should be brought in the name of the people, and supporting the contention of relator that a public office or franchise is usurped, intruded into or unlawfully held or exercised by the proposed defendant.
(c) A notice directed to the proposed defendant to the effect that relator is about to apply to the Attorney General for “leave to sue” in the proceeding therein named, and that the proposed defendant may, within the period provided in Section 3 hereof, show cause, if any he have, why “leave to sue” should not be granted in accordance with the application therefor.
(d) Proof of service of such application, complaint, statement of facts, points and authorities and notice upon the proposed defendant.
§3. Appearance of Proposed Defendant. Statement of Facts.
The proposed defendant shall be allowed 15 days after service, within which to appear and show cause in accordance with the provisions of Section 2(c), if the notice be served within the county in which the proceeding is to be brought, and 20 days if served elsewhere. A shorter time may and will be prescribed by the Attorney General in special cases or upon a showing of good cause therefor. An extension of the period for appearance herein limited may be granted by stipulation between the relator and the proposed defendant if filed with the Attorney General, and may be granted by the Attorney General upon a showing of good cause therefor. Any statement of facts filed by the proposed defendant shall be verified in like manner as the proposed complaint.
The relator shall then be allowed 10 days (or such further time as may be granted by stipulation filed with the Attorney General, or upon a showing of good cause therefor), in which to reply to the showing thus made by the proposed defendant.
Proof or admission of service must accompany all papers submitted to the Attorney General under Sections 2, 3 and 4.
§6. Undertaking; Sureties; Issuance of Leave to Sue.
If the application for “leave to sue” be granted, the relator must, within 10 days after receiving notice of such action (unless further time be granted), present to the Attorney General an undertaking executed to the State of California in the sum of $500, to the effect that the relator will pay any judgment for costs or damages that may be recovered against the plaintiff, and all costs and expenses incurred in the prosecution of the proceeding in which such “leave to sue” is granted. The sureties upon the undertaking shall be approved by the Attorney General.
Upon receipt and approval of said undertaking, the Attorney General will transmit to the relator, in writing, “leave to sue” in the name of the people, which “leave to sue” shall be filed with the clerk of the court simultaneously with the filing of the complaint.
The complaint filed in the proceeding shall be the proposed complaint herein before referred to, changed or amended as the Attorney General shall suggest or direct, and the relator shall not thereafter in any way change, amend or alter the said complaint without the approval of the Attorney General.
§8. Control by Attorney General.
The Attorney General may at all times, at any and every stage of the said proceeding, withdraw, discontinue or dismiss the same, as to him may seem fit and proper; or may, at his option, assume the management of said proceeding at any stage thereof.
§9. Notices to Attorney General.
The relator must immediately inform the Attorney General of the date of the filing of the complaint, and of the court number thereof, and shall thereafter notify the Attorney General, without delay, of every proceeding had, motion made, paper filed, or thing done in the proceeding, or in relation thereto, and must send to the Attorney General promptly a copy of every paper or document filed by any of the parties to the proceeding, including the judgment; and when service of any paper in said proceeding is made on the relator by the opposing party the relator shall secure an additional copy of such paper, which additional copy shall be at once forwarded to the Attorney General.
§10. When Leave to Sue Issued Forthwith.
In special cases and upon a sufficient showing of urgent necessity, “leave to sue” will issue forthwith upon the filing of showing and undertaking required by Sections 2 and 6, upon condition that the defendant may thereafter show cause and that the right of the relator to maintain and prosecute such proceeding shall be thereafter determined.
In the event that the judgment of the trial court shall be adverse to the relator, no appeal therefrom shall be taken without first securing the approval of the Attorney General.
Chapter 1.5. Attorney General--Conflict of Interest Code
NOTE: Pursuant to a regulation of the Fair Political Practices Commission (Title 2, CCR, section 18750(k)(2)), an agency adopting a conflict of interest code has the options of requesting that the code either be (1) printed in the CCR in its entirety or (2) incorporated by reference into the CCR. Here, the adopting agency has requested incorporation by reference. However, the full text of the regulations is available to the public for review or purchase at cost at the following locations:
DEPARTMENT OF JUSTICE
OFFICE OF THE ATTORNEY GENERAL
1300 ``I” STREET
SACRAMENTO, CA 95814
FAIR POLITICAL PRACTICES COMMISSION
428 ``J'' STREET, SUITE 800
SACRAMENTO, CA 95814
ARCHIVES
SECRETARY OF STATE
1020 ``O'' STREET
SACRAMENTO, CA 95814
The conflict of interest code is designated as Chapter 1.5 of Division 1 of Title 11 of the California Code of Regulations, and consists of sections numbered and titled as follows:
Chapter 1.5. Attorney General--Conflict of Interest Code
Section
20. Purpose
Appendix A
Appendix B
NOTE
Authority cited: Sections 15000 and 87300, Government Code. Reference: Section 87100, et seq., Government Code.
HISTORY
1. New Subchapter 13 (Sections 981-996) filed 1-11-78; effective thirtieth day thereafter. Approved by Fair Political Practices Commission 10-4-77 (Register 78, No. 2).
2. Amendment of Appendix filed 1-27-81; effective thirtieth day thereafter. Approved by Fair Political Practices Commission 11-3-80 (Register 81, No. 5).
3. Repealer of Subchapter 13 (Sections 981-996, Exhibit A and Appendix) and new Subchapter 13 (Section 981 and Appendix) filed 5-21-85; effective thirtieth day thereafter. Approved by Fair Political Practices Commission 12-4-84 (Register 85, No. 21).
4. Amendment of Appendix filed 4-8-87; effective thirtieth day thereafter. Approved by Fair Political Practices Commission 3-9-87 (Register 87, No. 15).
5. Editorial renumbering of former chapter 13 (section 981) to chapter 1.5 (section 20) filed 4-20-90; operative 5-2-90 (Register 90, No. 14).
6. Amendment of Appendix filed 3-30-93; operative 4-29-93. Approved by Fair Political Practices Commission 1-21-93 (Register 93, No. 14).
7. Amendment of Appendix filed 2-27-96; operative 3-1-96. Approved by Fair Political Practices Commission 2-23-96 (Register 96, No. 8).
8. Amendment of Appendix filed 3-4-97; operative 3-4-97. Approved by Fair Political Practices Commission 1-16-97 (Register 97, No. 10).
9. Amendment of section and Appendix filed 1-30-2001; operative 3-1-2001. Approved by Fair Political Practices Commission 1-18-2001 (Register 2001, No. 5).
10. Amendment of Appendix filed 2-19-2002; operative 3-1-2002. Approved by Fair Political Practices Commission 12-6-2001 (Register 2002, No. 8).
11. Amendment of Appendix filed 1-30-2007; operative 3-1-2007. Approved by Fair Political Practices Commission 1-2-2007 (Register 2007, No. 5).
12. Amendment of general provisions, redesignation and amendment of designated employees portion of appendix as Appendix A and redesignation and amendment of disclosure categories portion of appendix as Appendix B filed 5-19-2010; operative 6-18-2010. Approved by Fair Political Practices Commission 3-1-2010 (Register 2010, No. 21).
Chapter 2. Approved Surety Bond Forms
NOTE: Significant renumbering and reorganization of surety bond forms contained in Subchapter 2 occurred in Register 79, No. 14.
A cross reference table listing prior section numbers and disposition of the forms follows. Unless otherwise noted, all bonds effective on thirtieth day after filing.
CROSS REFERENCE TABLE
Former New Date Filing Filing
Section Section Originally Date(s) of Date of
Number Number Filed Amendment Repeal
25 25 11-15-45 4-3-79 --
25.1(a) 25.1 4-3-79 4-3-79 --
25.1(b) 25.2 4-3-79 4-3-79 --
25.1(c) 25.3 4-3-79 4-3-79 --
26(a) -- 11-15-45 12-9-63; 8-9-73
4-15-68
26(b) -- 11-15-45 12-24-65; 8-9-73
4-15-68;
8-15-68
26(c) 26.1 11-15-45 1-18-72 4-3-79
26(c-1) 26.2 8-9-73 4-3-79 --
26(d) 26.3 11-15-45 4-15-68; 4-3-79
8-15-68
26(e) 26.5 11-15-45 12-24-65; 4-3-79
4-15-68;
8-15-68
26(e-1) 26.7 8-9-73 4-3-79 --
26(f) 26.8 11-15-45 12-11-63 4-3-79
26(f-1) 26.9 8-9-73 4-3-79 --
26(g) 26.10 11-15-45 4-15-68; 4-3-79
4-19-72
26(g-1) 26.11 8-9-73 4-3-79 --
26(h) -- 11-15-45 4-15-68 8-9-73
26(i) 26.12 9-5-47; 4-15-68; 4-3-79
eff. 9-19-47 8-15-68
26(i-1) 26.13 8-9-73 4-3-79 --
26(j) -- 9-5-47; 4-15-68; 8-9-73
eff. 9-19-47 8-15-68
26(k) 26.14 11-15-45 9-5-47; 4-3-79
4-15-68;
8-15-68;
9-17-68
26(k-1) 26.15 8-9-73 4-3-79 --
26(l) -- 11-15-45 -- 8-9-73
26(m) -- 3-29-46 12-12-47 8-9-73
26(n) 26.16 8-24-50 -- 4-3-79
26(n-1) 26.17 8-9-73 4-3-79 --
26(o) -- 5-6-55 -- 8-9-73
26(o/r) -- 2-11-57 -- 8-9-73
26(o/rr) -- 5-23-58 -- 8-9-73
26(p) -- 1-3-57 -- 8-9-73
26.5 -- 5-26-58 -- 8-9-73
26.9 -- 10-24-66 -- 8-9-73
27(a) 27.1 11-15-45 4-3-79 --
27(b) 27.2 11-15-45 4-3-79 --
27(c) 27.3 5-15-46 4-3-79 --
27(c-r) 27.4 10-31-69 4-3-79 --
27(d) 27.5 5-15-46 4-3-79 --
27(e) 27.6 5-15-46 4-3-79 --
28(a) 28.1 1-25-50; 4-3-79 --
eff. 1-25-50
29(a) 29.1 11-15-45 4-3-79 --
29(b) 29.2 11-15-45 -- 4-3-79
29(c) 29.3 11-15-45 -- 4-3-79
29(d) 29.4 11-15-45 -- 4-3-79
29(e) 29.5 11-15-45 -- 4-3-79
29.1(a) 33.1 10-5-51; 10-12-73; --
eff. 10-5-51 11-21-75;
4-3-79
29.1(b) 33.2 12-21-76 9-1-77; --
4-3-79
30(a) 30.1 11-27-68 ; 1-19-72; --
eff. 1-2-69 4-3-79
30(a-r) 30.2 5-26-69 -- 4-3-79
30(a-rb) 30.3 5-26-69 -- 4-3-79
30(a-rc) 30.4 6-12-69; 4-3-79 --
eff. 6-12-69
30(b) 30.5 11-27-68; 3-31-71; --
eff. 1-2-69 1-19-72;
4-3-79
30(c) -- 5-27-64 2-14-66; 11-27-68
5-11-66
30(d) -- 3-28-67 -- 11-27-68
30(e) 30.6 10-21-68 -- 4-3-79
30(f) 30.7 2-2-72 -- 4-3-79
30(g) 30.8 2-2-72 -- 4-3-79
30(h) 30.9 2-2-72 -- 4-3-79
30(i) 30.10 2-2-72 -- 4-3-79
30(j) 30.11 2-2-72 4-3-79 --
31(a) 31.1 11-15-45 8-31-55; 11-25-81
4-3-79
31(b) 31.2 11-15-45 8-31-55; 11-25-81
4-3-79
31(c) 31.3 11-15-45 4-3-79 11-25-81
31(d) 31.4 11-15-45 10-7-49; 4-3-79
8-24-55
31(e) 31.5 11-15-45 8-31-55 4-3-79
31(f) -- 11-15-45 11-25-49 1-14-69
31(g) 31.7 7-12-47 8-28-51; --
4-17-62;
11-18-63;
11-8-73;
4-3-79
31(h) 31.8 7-12-47 8-28-51; --
9-11-59;
4-3-79
31(i) -- 5-27-60 2-4-64; 2-20-74
6-2-65
31(i-1) 31.9 4-11-73 4-3-79 --
31(j-1) 31.10 4-17-62 -- 4-3-79
31(j-2) 31.11 4-17-62 -- 4-3-79
31(j-3) 31.12 4-17-62 -- 4-3-79
31(j-4) 31.13 4-17-62 -- 4-3-79
31(k) 31.14 1-14-69 4-3-79 11-25-81
31(l) 31.15 1-14-69 1-19-72; --
3-1-74;
4-3-79
31(m) 31.16 1-14-69 4-3-79 --
31(n) 31.17 12-29-69 2-20-74; 11-25-81
4-3-79
31(o) 31.18 6-13-73 3-11-77; 11-25-81
4-3-79
31(p) 31.19 10-30-73 4-3-79 11-25-81
31(q) 31.20 10-30-73 2-20-74; 11-25-81
4-3-79
31(r) 31.21 10-30-73 2-20-74; 11-25-81
4-3-79
31(s) 31.22 10-30-73 2-20-74; 11-25-81
4-3-79
31(t) 31.23 2-20-74 4-3-79 --
31(u) 31.24 4-28-76 4-3-79 11-25-81
32(a) 32.1 11-15-45 4-3-79 --
34(a) -- 11-15-45 -- 4-17-52
36(a) 36.1 11-15-45 -- 4-3-79
36(b) 36.2 11-15-45 -- 4-3-79
36(c) 36.3 9-18-61 4-3-79 --
36(d) 36.4 9-18-61 4-3-79 11-25-81
36(e) 36.5 4-29-66 4-3-79 11-25-81
36(f) 36.6 8-15-66 -- 4-3-79
37(a) 37.1 5-28-63 2-4-64; --
4-25-72;
4-3-79
37(b) 37.2 5-28-63 4-25-72; --
4-3-79
37(c) 37.3 5-28-63 2-4-64; --
7-7-67
4-25-72;
4-3-79
37(d) 37.4 9-6-66 4-25-72; --
4-3-79
37(e) 37.5 9-22-66 4-3-79 --
37(f) 37.6 9-22-66 4-3-79 --
37(g) 37.7 4-25-72 4-3-79 --
38(a) 38.1 11-15-45 12-2-47 4-3-79
40(a) -- 11-15-45 2-15-55 10-25-55
40(b) 40.1 11-15-45 12-22-47; --
7-26-74;
4-3-79
40(c) 40.2 11-15-45 4-3-79 --
40(c-1) 40.3 6-22-59 11-6-69; --
3-17-72;
4-3-79
40(d) -- 11-15-45 2-15-55 3-17-72
40(e) 40.4 9-19-72 4-3-79 --
40(e-1) 40.5 7-9-58 8-28-58; 4-3-79
3-17-72
40(f) 40.6 8-4-55 -- 4-3-79
40(g) 40.7 5-18-56 -- 4-3-79
40(h) 40.8 7-16-56 -- 4-3-79
40(i) 40.9 7-16-56 4-3-79 --
40(j) 40.10 7-16-56 4-3-79 --
40(k) 40.11 7-16-56 7-26-74; --
4-3-79
40(l) 40.12 8-15-57 4-3-79 --
40(m) 40.13 11-6-59 -- 4-3-79
40(n) 40.14 5-10-60 -- 4-3-79
40(o) 40.15 10-2-61 7-26-74; --
4-3-79
40(p) 40.16 4-1-71 7-26-74; --
4-3-79
42(a) 42.1 11-15-45 -- 4-3-79
42(b) 42.2 11-15-45 -- 4-3-79
42(c) 42.3 2-10-49 4-17-52; 4-3-79
7-24-52
12-7-65;
12-23-65;
5-11-66;
2-1-71
42(d) 42.4 9-7-50 -- 4-3-79
43(a) 43.1 2-3-48 -- 4-3-79
44(a) 44.1 11-15-45 -- 4-3-79
44(b) 44.2 11-15-45 3-7-52 4-3-79
44(c) 44.3 11-15-45 4-3-79 11-25-81
44(d) 44.4 8-5-48 -- 4-3-79
46(a) 46.1 11-15-45 4-4-52; --
8-28-69;
4-3-79
46(b) 46.2 2-2-55 10-25-55; 4-3-79
8-28-69
46(c) -- 10-25-55 -- 8-28-69
46(d) -- 6-20-56 -- 8-28-69
47(a) 47.1 11-15-45 3-23-59 4-3-79
47(b) 47.2 11-15-45 12-5-47 4-3-79
47(c) -- 1-17-57 -- 3-23-59
47(d) 47.3 8-11-58 12-15-58 4-3-79
47(e) 47.4 6-18-59 -- 4-3-79
48(a) -- 11-15-45 1-20-60 11-27-67
48(b) 48.1 11-15-45 1-22-64; --
5-17-66;
9-14-72;
4-3-79
48(c) 48.2 11-15-45 11-21-45; --
7-22-48;
4-3-79
48(d) 48.3 8-6-58 3-27-59; --
4-3-79
48(e) 48.4 1-20-60 8-8-74; --
1-3-79;
4-3-79
48(f) 48.5 2-6-62 -- 4-3-79
48(g) 48.6 11-20-63 11-6-69; --
8-8-74;
4-3-79
48(h) 48.7 8-16-66 4-3-79 --
50(a) 50.1 11-15-45 10-25-63; 11-25-81
1-20-69; 4-3-79
50(b) 50.2 11-15-45 1-9-50; 11-25-81
1-20-69;
4-3-79
50(c) 50.3 11-15-45 1-20-69; 11-25-81
4-3-79
50(d) 50.4 11-15-45 1-20-69; 11-25-81
4-3-79
50(e) 50.5 11-15-45 1-20-69; --
4-3-79
50(f) 50.6 11-15-45 1-20-69; --
4-3-79
50(g) 50.7 11-15-45 8-29-52; --
1-20-69;
4-3-79
50(h) 50.8 4-16-57 1-20-69; --
4-14-71;
4-3-79
50(i) 50.9 11-15-45 9-21-59; 11-25-81
1-20-69;
4-3-79
50(j) 50.10 11-15-45 9-21-59; --
1-25-69;
4-3-79
50(k) 50.11 11-15-45 1-20-69; 11-25-81
4-3-79
50(l) -- 11-15-45 -- 1-20-69
50(m) 50.12 1-20-69 5-3-74; --
4-3-79
50(n) 50.13 7-17-56 1-20-69; --
5-3-74;
4-3-79
50(o) 50.14 11-15-45 4-29-66; --
1-20-69;
5-3-74;
4-3-79
50(p) 50.15 11-15-45 1-20-69; --
4-3-79
50(q) 50.16 3-22-57 6-23-59; --
1-20-69;
4-3-79
50(r) 50.17 11-6-57 1-31-66; --
4-29-66;
1-20-69;
4-3-79
50(s) 50.18 9-8-59 1-20-69; --
4-3-79
50(t) 50.19 1-20-69 4-3-79 --
50(u) 50.20 1-20-69 4-3-79 --
51(a) 51.1 11-15-45 12-22-59; --
4-3-79
51(b) 51.2 7-7-48 12-22-59; --
2-5-79;
4-3-79
51(c) 51.3 7-7-48 12-22-59 4-3-79
51(d) 51.4 7-7-48 12-22-59; 11-25-81
4-3-79
51(e) 51.5 7-7-48 12-22-59; --
8-29-66;
12-21-76;
4-3-79
51(f) 51.6 2-9-49 12-22-59; --
4-3-79
51(g) 51.7 8-15-57 12-23-59; --
6-2-60;
4-3-79
51(g-1) 51.8 4-12-73 4-3-79 --
51(g-2) 51.9 4-12-73 4-3-79 --
51(g/r) 51.10 10-9-57 12-23-59; --
6-2-60;
4-3-79
51(h) 51.11 11-30-59 4-3-79 11-25-81
51(i) 51.12 4-12-71 4-3-79 --
51(j) 51.13 4-3-79 -- --
54(a) 54.1 11-15-45 4-3-79 --
54(b) 54.2 11-15-45 4-3-79 --
55(a) 55.1 11-15-45 4-3-79 --
55(b) 55.2 11-15-45 -- 4-3-79
56 -- 4-17-52 2-2-71; 4-3-79
10-12-73
56(a) 56.1 4-3-79 -- 11-25-81
56(b) 56.2 4-3-79 -- --
57(a) 57.1 3-3-64; 4-3-79; --
eff. 7-1-64 4-5-79
57(b) 57.2 11-15-45 8-2-61; --
4-3-79
57(c) 57.3 11-15-45 5-15-46; --
11-4-47;
11-21-47;
11-9-51;
1-21-59;
2-1-71;
9-14-72;
2-9-79;
4-3-79
57(d) 57.4 11-15-45 12-21-47; --
2-1-71;
9-14-72;
4-3-79
57(e) 57.5 11-15-45 4-3-79 --
57(f) 57.6 11-15-45 11-21-47; --
1-21-59;
2-9-79;
4-3-79
57(g) 57.7 11-15-45 4-3-79 --
57(h) -- 11-15-45 11-4-47; 1-21-59
2-20-50;
11-9-51
57(i) -- 11-15-45 -- 1-21-59
57(j) 57.8 11-15-45 4-3-72; --
4-3-79
57(k) 57.9 11-15-45 4-3-79 --
57(l) 57.10 5-20-46 11-4-47; --
11-9-51;
4-7-52;
2-1-71;
9-14-72;
4-3-79
57(m) 57.11 5-20-46 4-17-52; --
4-3-79
57(n) 57.12 7-31-50 11-9-51; --
8-27-59;
2-1-71;
4-3-79
57(o) 57.13 2-26-53 4-3-79 --
57(p) 57.14 6-30-53 8-1-61; --
4-3-79
57(q) -- 8-12-53 -- 8-1-61
59(a) 59.1 11-15-45 9-15-52; --
12-3-57;
4-3-79
59(b) 59.2 11-15-45 9-15-52; --
4-3-79
59(c) 59.3 11-15-45 10-20-48; --
1-21-71;
6-6-75;
4-3-79
59(d) 59.4 11-15-45 -- 4-3-79
59(e) 59.5 11-15-45 -- 4-3-79
59(f) 59.6 11-15-45 4-3-79 --
59(g) 59.7 11-15-45 4-3-79 --
59(h) -- 11-15-45 -- 9-15-52
59(i) -- 11-15-45 -- 9-15-52
59(j) 59.8 2-14-56 12-10-57; --
1-17-69;
5-18-72;
4-3-79
59(k) 59.9 1-30-58 4-3-79 --
61(a) 61.1 11-15-45 4-3-79 --
61(b) 61.2 2-15-57 4-3-79 --
61(b/r) 61.3 3-15-57 4-3-79 --
61(c) 61.4 9-14-59 5-26-60; --
8-1-61;
4-3-79
61(c/r) -- 6-24-60 -- 8-1-61
61(d) -- 9-14-59 -- 6-24-60
61(e) -- 9-14-59 9-17-59; 8-1-61
5-26-60
61(e/r) -- 6-24-60 -- 8-1-61
61(f) 61.5 11-18-63 4-3-79 --
61(g) 61.6 6-2-65 -- 4-3-79
61(h) 61.7 1-17-75 6-6-75; --
12-21-76;
4-3-79
63(a) -- 11-15-45 -- 6-6-60
63(b) 63.1 9-18-53 -- 4-3-79
63(c) 63.2 6-17-74 4-3-79 --
63(d) 63.3 12-26-75 4-3-79 --
63(e) 63.4 12-26-75 4-3-79 --
63(f) 63.5 3-11-77 4-3-79 --
63(g) 63.6 1-3-79 4-3-79 --
65(a) 65.1 11-15-45 1-22-64; --
4-3-79
65(b) 65.2 11-15-45 -- 4-3-79
65(c) 65.3 11-15-45 4-3-79 --
65(d) 65.4 8-12-66 4-3-79 --
66(a) 66.1 11-15-45 -- 4-3-79
66(b) 66.2 5-22-47 4-3-79 --
66(c) 66.3 5-22-47 -- --
68(a) 66.1 11-15-45 4-3-79 --
68(b) 68.2 11-15-45 -- 4-3-79
68(c) 68.3 11-15-45 -- 4-3-79
70 70.1 10-1-49 1-3-79; --
4-3-79
71(a) 71.1 12-29-55 6-18-56; --
9-18-56;
71(b) 71.2 11-20-63 4-3-79 --
71(c) 71.3 4-3-79 -- --
71(d) 71.4 4-3-79 -- --
71(e) 71.5 4-3-79 -- --
72(a) 72.1 2-14-57 4-3-79 --
72.1(a) 74.1 8-9-62 -- 4-3-79
73(a) 73.1 8-13-57 -- 4-3-79
73(b) 73.2 8-13-57 -- 4-3-79
74(a) -- 10-14-57 -- 6-2-66
74(b) -- 10-14-57 -- 6-2-66
74(c) -- 10-14-57 12-10-57 6-2-66
75(a) 75.1 5-12-59 -- 4-3-79
75(b) 75.2 11-22-63 -- 4-3-79
76(a) 76.1 6-6-60 9-25-61; 4-3-79
6-2-65;
8-13-65;
10-31-69;
2-2-71
76(a/r) 76.2 6-6-60 9-25-61; 4-3-79
10-31-69
77(a) 77.1 11-14-63 5-28-64; --
4-3-79
77(b) 77.2 1-22-64 4-3-79 --
78(a) 78.1 1-22-64 9-3-69; --
4-3-79
78(b) 78.2 10-18-68 4-3-79 --
78(c) 78.3 10-18-68 2-1-71; --
9-21-72;
4-3-79
78(d) 78.4 2-1-71 9-21-72; --
4-3-79
78(e) 78.5 2-1-71 4-3-79 --
78(f) 78.6 3-17-72 4-3-79 --
79(a) 79.1 11-27-67 4-3-79 --
79(b) 79.2 3-31-71 11-20-73; --
1-25-74;
4-3-79
80(a) 80.1 4-3-72 4-3-79 --
81(a) 81.1 7-26-74 4-3-79 --
Note • History
(a) Except as provided for in subsection (b) of this section, the form of surety bonds approved by the Attorney General and required by the respective statutes, rules and regulations shall be substantially as set forth in this subchapter.
(b) Sections 26 through 81 of title 11 of the California Code of Regulations relate to the form of surety bonds approved by the Attorney General, and include future adoptions, amendments and repealers of such forms. These forms and subsequent revisions thereof are duly filed with the Secretary of State and otherwise comply with administrative procedure.
Note: It having been found, pursuant to Government Code section 11344, that the printing of the regulations constituting the surety bond forms is impractical and these regulations being of limited and particular application, these regulations are not published in full in the California Code of Regulations. However, the following is a typical form:
STATE OF CALIFORNIA
DEPARTMENT OF CONSUMER AFFAIRS
BUREAU OF PERSONNEL SERVICES
EMPLOYMENT AGENCY BOND
(Business and Professions Code section 9960)
BOND NO. _______________________
The premium on this bond is $ for the term .
KNOW ALL PERSONS BY THESE PRESENTS:
That we
(Full name of applicant, of all partners, or corporation)
doing business as
an Employment Agency whose address is
as PRINCIPAL, and ,
a corporation organized under the laws of ,
and authorized to transact a general surety business in the State of California, as SURETY, are held and firmly bound to the People of the State of California in the penal sum of three thousand dollars ($3,000), for which payment we bind ourselves, our heirs, executors, administrators, successors and assigns jointly and severally, firmly by these presents.
WHEREAS, the provisions of section 9960, Business and Professions Code, require that the Principal file or have on file with the Bureau a bond in the sum of $3,000 and this bond is executed and tendered in accordance therewith.
NOW THEREFORE, the conditions of the foregoing obligation are that if the Principal complies with the provisions of chapter 21, (commencing with section 9900), division 3 of the Business and Professions Code of the State of California, and pays all sums due any individual or group of individuals when such Principal or its representative or agent has received such sums, and pays all damages occasioned to any person by unlawful acts or omissions of the Principal mentioned above, or of its agents or employees while acting within the scope of their employment, then this obligation is to be void; otherwise it is to remain in full force and effect.
PROVIDED HOWEVER, this bond is issued subject to the following express conditions:
1. This bond shall be deemed continuous in form and shall remain in full force and effect and shall run concurrently with the license period for which the license is granted and each and every succeeding license period or periods for which said Principal may be licensed, after which liability hereunder shall cease except as to any liability or indebtedness therefore incurred or accrued hereunder.
2. This bond is executed by the Surety to comply with the provisions of division 3, chapter 21, of the Business and Professions Code and of chapter 2, title 14, part 2 of the Code of Civil Procedure and said bond shall be subject to all the terms and provisions thereof.
3. The aggregate liability of the Surety hereunder on all claims whatsoever shall not exceed the penal sum of this bond in any event.
4. This bond may be cancelled by the Surety in accordance with the provisions of sections 996.310 et seq. of the Code of Civil Procedure.
Name of Surety
Address
I certify (or declare) under penalty of perjury, under the laws of the State of California that I have executed the foregoing bond under an unrevoked power of attorney.
Executed in
on .
Date
Signature of Attorney-in-Fact
Printed or Typed Name of Attorney-in-Fact
ED. NOTE: The “Employment Agency Bond” printed above is an example only of a typical surety bond form. The appropriately titled bond form, as set forth in section 25.1 et seq., shall be used at all times.
Copies of the surety bond forms are available from the Department, Board, Bureau, Commission, or agency requiring the use of the forms.
The regulations are available to the public for review or purchase at cost at the following location:
Archives
Secretary of State
1020 O Street
Sacramento, California 95814
Approved surety bond forms are designated as subchapter 2 of chapter 1 of title 11 of the California Code of Regulations, and consist of articles and sections titled and numbered as follows:
Preamble
Section
25.1. Certificate of Acknowledgment-Individual
25.2. Certificate of Acknowledgment-Partnership Signature
25.3. Certificate of Acknowledgment-Corporation and Surety
Article 1. Department of Food and Agriculture
Section
26.2. Farm Products Bond
26.4. Milk Handler's Bond
26.7. Processor's Bond
26.9. Weighmaster's Bond
26.11. Company Surety Bond
26.13. Bond for Cattle Slaughterer
26.15. Bond for Public Cattle Sales Yard
26.19. Agricultural Pest Control Business Licensees Bond
Article 2. Athletic Commission
Section
27.1. Amateur Club Licensee's Payment Bond
27.3. Refund Bond
27.4. Endorsement Amending Refund Bond
27.5. Professional Club and Promoter's Bond
27.6. Amateur Club License Bond
Article 3. Attorney General
Section
28.1. Undertaking on Leave to Sue
28.2. Telephonic Seller's Bond
28.3. Telephonic Seller's Premium Bond
28.4. Registry of Charitable Trusts Surety Bond Form
Article 4. Department of Savings and Loan
Section
29.1. Agent's or Salesman's Bond
Article 5. Contractor's State License Board
Section
30.1. Contractor's Bond
30.4. Rider to Contractor's Bond
30.5. Bond of Qualifying Individual
30.11. Rider to Qualifying Individual's Bond
30.12. Individual Endorsement to Contractor's Bond
30.13. Individual Endorsement to Bond of Qualifying Individual
30.14. Blanket Performance and Payment Bond
30.15. Contractor's Disciplinary Bond
30.16. LLC Employee/Worker Bond
Article 6. Department of Corporations
Section
31.7. Bond of Escrow Licensee
31.8. Bond of Bill Payers and Proraters
31.9. Bond of Check Seller
31.10. Bond of Finance Lender and/or Broker
31.11. Bond of Residential Mortgage Lender and/or Servicer
31.15. Investment Adviser's Bond
31.16. Issuer's Bond
31.23. Bond of Franchise Registrant
31.24. Bond of Deferred Deposit Transaction Law Licensee
Article 7. State Board of Cosmetology
Section
32.1. Cosmetological School Bond
Article 8. Cemetery Board
Section
33.1. Surety Bond of Cemetery Brokers
33.2. Fidelity Bond of Endowment Fund or Special Care Fund
Trustees
Article 9. State Department of Education
Section
36.3. Surety Bond of Salesmen and Employers of Salesmen of
Correspondence School Courses
Article 10. California State University and Colleges
Section
37.1. Bidder's Bond
37.2. Performance Bond
37.3. Payment Bond
37.4. Payment Bond as Supplemented by California Supplement to
Payment Bond
37.5. Bid Bond
37.6. Performance Bond
37.7. Bond to Release Money Withheld on Claims
Article 11. California Integrated Waste Management Board
Section
38.1. Performance Bond
38.2. Financial Guarantee Bond
38.3. Waste Tire Hauler Bond
Article 12. State Board of Equalization
Section
40.1 Bond of Seller
40.2. Bond of User of Fuel
40.3. Bond of Vendor of Fuel
40.4. Use Fuel Tax Bond
40.5. Bond of Aircraft Jet Fuel Dealer
40.6. Bond of Motor Vehicle Fuel Broker
40.7. Bond of Motor Vehicle Fuel Distributor
40.8. Motor Vehicle Fuel Tax Bond
40.9. Cigarette and Tobacco Products Tax Bond
40.10. Alcoholic Beverage Tax Bond
40.11. Hazardous Substances Tax Bond
40.12. Bond of Wholesaler of Fuel
40.13. Bond of Diesel Fuel Exempt Bus Operator
40.14. Bond of Diesel Fuel Supplier
40.15. Bond of Diesel Fuel Highway Vehicle Operator
40.16. Bond of Diesel Fuel Interstate User
40.17. Bond of User of Fuel
40.18. Bond of Vendor of Fuel
Article 14. Bureau of Home Furnishings
Section
42.1. Dry Cleaning Plant Registrant's Bond
Article 15. Department of Fish and Game
Section
44.1. Fish Net Bond
44.2 Surety Bond for Oil Spill Response and Damages
44.3. Official Instrument Surety Bond
Article 16. Franchise Tax Board
Section
46.1. Bond of Corporation
Article 17. Department of Forestry
Section
47.1. Performance Bond of Licensed Timber Operator
Article 18. Department of Industrial Relations
Section
48.3. Bond of Logger or Sawmill Operator
48.4. Surety Bond of Talent Agency
48.6. Farm Labor Contractor Bond
48.7. Bond of Non-Resident Employer
Section
48.8. Athlete Agency Bond
48.9. Garment Industry Bond
49.10. Garment Industry Appeal Bond
49.11. Self-Insurer's Bond
49.12. Surety Bond Increase Rider
49.13. Surety Bond Decrease Rider
49.14. Surety Bond Name Change Rider
49.15. Surety Bond Special Form Change Rider
49.16. Release of Surety Form
49.17. Car Wash Bond
Article 19. Department of Insurance
Section
50.5. Bond of Attorney-in-Fact of Reciprocal or Interinsurance
Exchange
50.6. Employer's Bond for Certificate of Exemption
50.7. Workmen's Compensation Bond
50.8. Motor Club Bond
50.10. Instructions for Execution of Surety Bonds by Certain Holders
of or Applicants for a Certificate of Authority or Certificate of
Exemption
50.12. Bond of Insurance Broker
50.13. Bond of Special Lines' Surplus Line Broker
50.14. Bond of Surplus Line Broker
50.15. Bond of Bail Agent
50.16. Bond of Bail Permittee
50.17. Bond of Bail Solicitor
50.18. Bond of Life Insurance Analyst
50.19. Bond of Organizers of Fraternal Benefit Society
50.20. Instructions for Execution of Surety Bonds Required by the
Insurance Code of Applicants for or Holders of Certain
Licenses
50.21. Bond of Insurance Adjuster
50.22. Bond of Nonresident Surplus Line Broker
50.23. Bond of Cargo Shipper's Agent
Article 20. Department of Motor Vehicles
Section
51.1. Foreign Vehicle Ownership Bond
51.2. Surety Bond of Vehicle Verifier
51.5. Records Purchase Bond
51.6. Motor Vehicle Bond
51.7. Surety Bond of Vehicle Dealer
51.8. Surety Bond of Vehicle Dealer
51.9. Blanket Endorsement of Surety Bonds of Vehicle Dealer on
File with Department of Motor Vehicles
51.10. Endorsement Extending Conditions of Surety Bond of
Vehicle Dealer
51.12. Undocumented Vessel Surety Bond
51.13. Surety Bond-Financial Responsibility
51.14. Surety Bond of Vehicle Remanufacturer
51.15. Surety Bond of Traffic Violator School (TVS) Owner
51.16. Information Services Commercial Requester Account Bond
51.17. Registration Service Surety Bond
51.18. California Motor Carrier Liability Surety Bond
51.19. Business Partner Automation Surety Bond
51.20. Salvage Industry Business Partner Surety Bond
51.21. IRP Industry Partner Surety Bond
51.22. Surety Bond of Motorcycle Dealer
51.23. Motor Vehicle Ownership Surety Bond
51.24. Lessor-Retailer Surety Bond
51.25. Driving School Owner or All-Terrain Vehicle Safety
Training Organization Principal Surety Bond
51.26. IRP Bonded Web User Surety Bond
Section
51.27. Traffic Violator School (TVS) Owner Surety Bond (Home
Study or Internet Instruction)
Article 21. Division of Oil, Gas, and Geothermal Resources
Section
54.1. Individual Oil and Gas Well Indemnity Bond and Individual
Oil and Gas Well Cash Bond Form
54.2. Blanket Oil and Gas Well Indemnity Bond and Blanket Oil
and Gas Well Cash Bond
54.3. Individual Geothermal Resources Well Indemnity Bond
54.4. Blanket Geothermal Resources Well Indemnity Bond
54.5. Individual Geothermal Resources Well Cash Bond
54.6. Blanket Geothermal Resources Well Cash Bond
54.7. Blanket Five Year Idle Well Indemnity Bond
54.8. Individual Five Year Idle Well Indemnity Bond
54.9. Blanket Five Year Idle Well Cash Bond
54.10. Individual Five Year Idle Well Cash Bond
Article 22. State Board of Pilot Commissioners
Section
55.1. Bond of Pilot
Article 23. Bureau of Collection and Investigative Services
Section
56.2. Collection Agency Bond
Article 24. Department of Transportation
Section
57.1. Bidder's Bond
57.2. Continuous Bidder's Bond for Relocation of Houses and
Right
of Way Clearance Contracts
57.3. Payment Bond
57.4. Surety Bond Form for Supplemental Bond to Accompany
Contract
57.5. Consent of Surety to Memorandum of Agreement
57.6. Performance Bond to Accompany Contract
57.7. Supplemental Performance Bond
57.8. State Highway Permit Bond
57.9. Bond to Guarantee Toll Charges
57.10. Surety Bond Form for Payment Bond to Accompany Contract
57.11. Performance Bond, Co-Surety Form
57.12. Surety Bond Form for Bond to Release Money Withheld on
Claims
57.13. Bidder's Bond, Co-Surety Form
57.14. Bidder's Bond for Right of Way Clearance and Aerial Survey
Contracts
57.15. Bond, State Highway Permit
57.16. Payment Bond of State Highway Encroachment Permittee
57.17. Performance Bond of State Highway Encroachment
Permittee
Article 25. Public Utilities Commission
Section
59.1. Bond of Carriers by Motor Vehicle for Hire
59.2. Bond of Passenger Stage Corporation
59.3. Collect on Delivery Bond
59.6. Motor Transportation Broker's Bond-Individual Applicant
59.7. Motor Transportation Broker's Bond-Coapplicant's Form
59.8. Surety Company Bond
59.9. Surety Bond Form for Cargo Protection by Household Goods
Carriers
Article 26. Department of Real Estate
Section
61.1. Mineral, Oil and Gas Licensee's Bond
61.2. Bond to Secure Advance Payments on Subdivision Lots
61.3. Endorsement to Bond to Secure Advance Payments on
Subdivision Lots
61.4. Bond of Real Property Securities Dealer
61.5. Bond of Subdivider of Out-of-State Real Property
61.7. Bond to Secure Return of Purchasers Payment on Subdivision
Lots
61.8. Prepaid Rental Listing Service Bond
61.9. Bond for Completion of Common Facilities
Article 27. Secretary of State
Section
63.2. Bond of Dance Studio
63.3. Surety Bond of Travel Promoter
63.4. Surety Bond of Invention Developer
63.5. Surety Bond of Discount Buying Organization
63.6. Surety Bond of Seller of Seller Assisted Marketing Plans
63.7. Guaranteed Traffic Arrest Bail Bond
63.8. Surety Bond of Credit Services Organization
63.9. Surety Bond of Employment Agency
63.10. Deposit by Assignment in Lieu of Surety Bond--
Employment Agency
63.11. Receipt For Notice of Assignment--Employment Agency
63.12. Receipt for Security and Directions to Pay Earnings--
Employment Agency
63.13. Surety Bond of Employment Counseling Service
63.14. Deposit by Assignment in Lieu of Surety Bond--
Employment
Counseling Service
63.15. Receipt for Security and Directions to Pay Earnings--
Employment Counseling Service
63.16. Receipt for Notice of Assignment--Employment Counseling
Service
63.17. Surety Bond of Job Listing Service
63.18. Deposit by Assignment in Lieu of Surety Bond--Job Listing
Service
63.19. Receipt for Security and Directions to Pay Earnings--Job
Listing Service
63.20. Receipt For Notice of Assignment--Job Listing Service
63.21. Surety Bond of Nurse's Registry
63.22. Deposit by Assignment in Lieu of Surety Bond--Nurses'
Registry
63.23. Receipt For Notice of Assignment--Nurses' Registry
63.24. Receipt for Security and Directions to Pay Earnings--
Employment Counseling Service/Nurses' Registry
64. Auctioneer/Auction Company Surety Bond
64.1. Immigration Consultants Surety Bond
64.2. Health Studio Surety Bond
64.3. Seller of Travel Discount Programs
64.4. Seller of Travel Business Discount Programs
64.5. Proof of Establishment of Escrow Account, Seller of Travel
Discount Programs
64.6. Proof of Establishment of Escrow Account, Seller of Travel
Business Discount Programs
64.7. Foreclosure Consultant Surety Bond
Article 28. State Lands Commission
Section
65.1. Bond Accompanying Lease
65.3. Bond Associated with Lease Security Deposited
65.4. Supplemental Bond Accompanying Lease
Article 29. State Treasurer
Section
66.2. Lost Instrumental Bond, Corporate Surety
Article 30. District Bonds and Undertaking
Section
68.1. Undertaking for Organization Costs
Article 31. Yacht and Ship Brokers Commission
Section
70.1. Surety Bond of Yacht and Ship Brokers
Article 32. State Department of Health Services
Section
71.1. Bond for Manufacturers of Bands for Shell Parakeets
Budgerigars
71.2. Bond of Community Care Facility
71.3. Health Facility (Hospital or Nursing Home) Bond
71.4. Long Term or Life Care Bond
71.5. Guarantee Bond
Article 33. Department of Parks and Recreation
Section
72.1. Bond to Accompany Permit of Right of Way
Article 38. Structural Pest Control Board
Section
77.1. Licensee's Bond
77.2. Bond for Restoration of License
Article 39. Departments of Transportation, Water Resources,
General Services and Parks and Recreation
Section
78.1. Bidder's Bond
78.2. Performance Bond to Accompany Contract
78.3. Surety Bond Form for Payment Bond to Accompany
Construction Contract
78.4. Surety Bond Form for Payment Bond to Accompany Contract
Section
78.5. Surety Bond Form for Bond to Release Money Withheld on
Claims Bidder's Bond Form
78.6. Bidder's Bond Form
Article 41. Department of Health Services
Section
80.1. Guarantee Bond
80.2. Low-Level Radioactive Waste Disposal License Designee
Bond
80.3. Payment Surety Bond
Article 42. Department of Consumer Affairs
Section
81.1. Bond of Tax Preparer
Article 43. California Auctioneer Commission
Section
82.1. License Bond
Article 44. Board of Barber Examiners
Section
83. Barber College Bond
Article 45. Department of Housing and Community Development
Section
90.1. Surety Bond of Dealer or Lessor/Retailer
90.2. Cash Bond of Dealer or Lessor/Retailer
90.3. “In Lieu” Bond of Dealer or Lessor/Retailer
90.4. Assignment Form to be used with “In Lieu” Bond
Article 50. State Banking Department
Section
101.1. Receiving Money for Transmission Licensee Bond
101.2. Payment Instrument or Stored Value Licensee Bond
Article 51. Air Resources Board
Section
105. Recall Performance Bond
Article 52. Division of Recycling (Department of Conservation)
Section
110. Financial Guarantee Bond (Processors Payment Bond)
Article 53. Office of Mine Reclamation
(Department of Conservation)
Section
115.1. Surety Bond (Corporation)
115.2. Surety Bond (Partnership)
115.3. Surety Bond (Sole Proprietorship)
115.4. Reclamation Performance Bond Increase/Decrease Rider
115.5. Reclamation Performance Bond General Purpose Rider
Article 54. California State Board of Pharmacy
Section
116.1. Wholesaler or Nonresident Wholesaler Surety Bond
116.2. Wholesaler or Nonresident Wholesaler Surety Bond for
Entities with Gross Annual Receipts of $10,000,000 or Less
Article 55. Department of Pesticide Regulation
Section
117.1. Pest Control Business Licensees Bond.
NOTE
Authority cited: Sections 11110-11113, Government Code. Reference: Sections 11110-11113, Government Code. For specific reference, see the statutes cited on the individual bond form.
HISTORY
1. Amendment filed 4-3-79 as procedural and organizational; designated effective 5-1-79 (Register 79, No. 14).
2. New section 51(j) filed 4-3-79; effective thirtieth day thereafter (Register 79, No. 14).
3. Amendments, repealers and new sections as listed in Cross Reference Table filed 4-3-79; effective thirtieth day thereafter (Register 79, No. 14).
4. Renumbering and codification by reference of sections within subchapter 2 as indicated in Cross Reference Table filed 4-3-79 as procedural and organizational; designated effective 5-1-79 (Register 79, No. 14). For history of specific bond forms, refer to Cross Reference Table.
5. Amendment of section 57.1 filed 4-5-79; effective thirtieth day thereafter (Register 79, No. 14).
6. Editorial correction (Register 79, No. 17).
7. Amendment of sections 30.1, 30.5, 79.1, and new sections 30.12 and 30.13 filed 1-18-80; effective thirtieth day thereafter (Register 80, No. 3).
8. Amendment of sections 30.1, 30.5, 30.14 and 30.15 filed 4-8-80; effective thirtieth day thereafter (Register 80, No. 15).
9. Amendment of section 30.15 filed 4-11-80; effective thirtieth day thereafter (Register 80, No. 15).
10. Amendment of sections 30.1 and 30.5 filed 5-9-80; effective thirtieth day thereafter (Register 80, No. 19).
11. Amendment of section 30.1 filed 6-11-80; effective thirtieth day thereafter (Register 80, No. 24).
12. Editorial amendment of sections 30.1 and 30.5 filed 10-17-80; effective upon filing (Register 80, No. 42).
13. Repealer of sections 31.1-31.3, 31.14, 31.17-31.22, 31.24, 36.4-36.6, 44.3, 50.1-50.4, 50.9, 50.11, 51.4, 51.11, and 56.1 filed 11-25-81; effective thirtieth day thereafter (Register 81, No. 48).
14. New section 50.21 filed 12-17-81; effective thirtieth day thereafter (Register 81, No. 51).
15. New section 57.15 filed 12-17-81; effective thirtieth day thereafter (Register 81, No. 51).
16. Amendment of sections 57.1, 57.3 and 57.6 filed 2-24-82; effective thirtieth day thereafter (Register 82, No. 9).
17. Amendment of section 27.5 filed 5-26-82; effective thirtieth day thereafter (Register 82, No. 22).
18. New article 14 (section 42.1) filed 8-13-82 pursuant to Government Code section 11349.3(a); effective thirtieth day thereafter (Register 82, No. 33).
19. New section 48.8 filed 8-13-82 pursuant to Government Code section 11349.3(a); effective thirtieth day thereafter (Register 82, No. 33).
20. Amendment of sections 59.3 and 59.8 filed 8-13-82 pursuant to Government Code section 11349.3(a); effective thirtieth day thereafter (Register 82, No. 33).
21. Amendment of section 27.6 filed 11-5-82; effective thirtieth day thereafter (Register 82, No. 45).
22. Amendment of section 81.1 filed 12-15-82; effective thirtieth day thereafter (Register 82, No. 51).
23. New section 48.9 filed 4-6-83; effective thirtieth day thereafter (Register 83, No. 15).
24. New section filed 48.10 filed 4-6-83; effective thirtieth day thereafter (Register 83, No. 15).
25. New section 63.7 filed 6-3-83; effective thirtieth day thereafter (Register 83, No. 23).
26. New article 43 (section 82.1) filed 8-12-83; effective thirtieth day thereafter (Register 83, No. 33).
27. New section 51.14 filed 12-19-83; designated effective 1-1-84 pursuant to Government Code section 11346.2(d) (Register 83, No. 52).
28. Amendment of section 61.4 filed 12-30-83; effective thirtieth day thereafter (Register 83, No. 53).
29. New article 15 (section 44.1) filed 4-18-84; effective thirtieth day thereafter (Register 84, No. 16).
30. Amendment of sections 30.1 and 30.5 filed 9-28-84; effective thirtieth day thereafter (Register 84, No. 39).
31. Amendment of section 27.5 filed 11-26-84; effective thirtieth day thereafter (Register 84, No. 48).
32. New section 83 filed 11-27-84; effective thirtieth day thereafter (Register 84, No. 48).
33. New section 79.3 filed 12-11-84; effective thirtieth day thereafter (Register 84, No. 50).
34. New article 45 (sections 90.1-90.4) filed 12-20-84; effective thirtieth day thereafter (Register 84, No. 51).
35. Amendment of section 78.4 filed 1-30-85; effective thirtieth day thereafter (Register 85, No. 5).
36. New article 50 (section 101.1) filed 1-30-85; effective thirtieth day thereafter (Register 85, No. 5).
37. New section 63.8 filed 2-1-85; effective upon filing pursuant to Government Code section 11346.2(d) (Register 85, No. 5).
38. New section 79.4 filed 2-1-85; effective upon filing pursuant to Government Code section 11346.2(d) (Register 85, No. 5).
39. Amendment of section 28.1 filed 5-30-85; effective thirtieth day thereafter (Register 85, No. 22).
40. Amendment of section 51.5 filed 10-7-85; effective thirtieth day thereafter (Register 85, No. 41).
41. Amendment of section 40.9 filed 1-13-86; effective thirtieth day thereafter (Register 86, No. 3).
42. Amendment of section 40.10 filed 1-13-86; effective thirtieth day thereafter (Register 86, No. 3).
43. New section 80.2 filed 1-13-86; effective thirtieth day thereafter (Register 86, No. 3)
44. Editorial change of section 25 (Register 86, No. 44).
45. Amendment of section 26.4 filed 10-30-86; effective thirtieth day thereafter (Register 86, No. 44).
46. Amendment of section 50.21 filed 10-30-86; effective thirtieth day thereafter (Register 86, No. 44).
47. Amendment of section 59.6 filed 10-30-86; effective thirtieth day thereafter (Register 86, No. 44).
48. Amendment of section 79.1 filed 10-30-86; effective thirtieth day thereafter (Register 86, No. 44).
49. New article 51 (section 105) filed 10-30-86; effective thirtieth day thereafter (Register 86, No. 44).
50. Repealer and new section 42.1 filed 12-23-86; designated effective 1-1-87 (Register 86, No. 52).
51. Repealer of section 27.2 and amendment of section 27.5 filed 12-23-86; effective thirtieth day thereafter (Register 86, No. 52).
52. New article 52 (section 110) filed 6-10-87; operative 6-10-87 (Register 87, No. 25).
53. Amendment of section 26.4 filed 11-19-87 (Register 87, No. 48).
54. Amendment of section 27.5 filed 2-3-88; operative 3-4-88 (Register 88, No. 7).
55. New section 26.19 filed 9-19-88; operative 9-19-88 (Register 88, No. 39).
56. New section 51.15 filed 2-22-89; operative 2-22-89 (Register 89, No. 10).
57. New section 57.16 filed 10-2-89; operative 10-2-89 (Register 89, No. 41).
58. New section 57.17 filed 10-2-89; operative 10-2-89 (Register 89, No. 41).
59. Amendment of section 54.1 filed 10-23-89; operative 10-23-89 (Register 89, No. 49).
60. Amendment of section 54.2 filed 10-23-89; operative 10-23-89 (Register 89, No. 49).
61. Amendment of section 57.17 filed 12-27-89; operative 12-27-89 (Register 90, No. 2).
62. New sections 63.9-63.24, and repealer of article 40 (sections 79.1-79.4) filed 1-12-90; operative 1-12-90 (Register 90, No. 6).
63. New section 51.16 filed 1-22-90; operative 1-22-90 (Register 90, No. 6).
64. Amendment of sections 63.17-63.20 filed 5-2-90; operative 5-2-90 (Register 90, No. 23).
65. New section 28.2 filed 10-11-90; operative 10-11-90 (Register 90, No. 47).
66. New section 28.3 filed 10-11-90; operative 10-11-90 (Register 90, No. 47).
67. New section article 17 (section 47.1) filed 10-11-90; operative 10-11-90 (Register 90, No. 47).
68. New section 54.3 filed 11-26-90; operative 11-26-90 (Register 91, No. 5).
69. New section 54.4 filed 11-26-90; operative 11-26-90 (Register 91, No. 5).
70. New section 54.5 filed 11-26-90; operative 11-26-90 (Register 91, No. 5).
71. New section 54.6 filed 11-26-90; operative 11-26-90 (Register 91, No. 5).
72. New section 54.7 filed 3-27-91; operative 3-27-91 (Register 91, No. 16).
73. New section 54.8 filed 3-27-91; operative 3-27-91 (Register 91, No. 16).
74. New section 54.9 filed 3-27-91; operative 3-27-91 (Register 91, No. 16).
75. New section 54.10 filed 3-27-91; operative 3-27-91 (Register 91, No. 16).
76. New section 51.17 filed 4-9-91; operative 4-9-91 (Register 91, No. 17).
77. Amendment of section 54.1 heading, section and NOTE filed 4-26-91; operative 4-26-91 pursuant to Government Code section 11346.2(d) (Register 91, No. 21).
78. Amendment of section 54.2 heading, section and NOTE filed 4-26-91; operative 4-26-91 pursuant to Government Code section 11346.2(d) (Register 91, No. 21).
79. Repealer of article 12 (sections 40.1 - 40.4, 40.9 - 40.12, 40.15 and 40.16) and new article 12 (sections 40.1 - 40.11) filed 5-2-91; operative 5-2-91 (Register 91, No. 21).
80. Change without regulatory effect amending section filed 7-17-91 pursuant to section 100, title 1, California Code of Regulations (Register 91, No. 50).
81. New sections 38.1 and 38.2 filed 2-10-92; operative 2-10-92 pursuant to Government Code section 11346.2(d) (Register 92, No. 13).
82. New section 40.12 filed 3-19-92; operative 3-19-92 pursuant to Government Code section 11346.2(d) (Register 92, No. 17).
83. New sections 49.11, 49.12, 49.13, 49.14, 49.15, and 49.16, and repealer of sections 48.1 and 48.2 filed 6-10-92; operative 6-10-92 pursuant to Government Code section 11346.2(d) (Register 92, No. 24).
84. Amendment of section 57.17 filed 9-1-92; operative 10-1-92 (Register 92, No. 36).
85. Amendment of section 51.17 filed 9-14-92; operative 9-14-92 pursuant to Government Code section 11346.2(d) (Register 92, No. 38).
86. New section 44.2 filed 2-24-93; operative 2-24-93 pursuant to Government Code section 11346.2(d) (Register 93, No. 9).
87. Amendment of section 51.16 filed 2-24-93; operative 2-24-93 (Register 93, No. 9).
88. New section 50.22 filed 6-23-93; operative 6-23-93. Submitted to OAL for printing only (Register 93, No. 26).
89. Amendment of section 57.17 filed 6-24-93; operative 6-24-93. Submitted to OAL for printing only (Register 93, No. 26).
90. Amendment of sections 40.1-40.3 and sections 40.5-40.12 filed 12-22-93. Submitted to OAL for printing only (Register 93, No. 52).
91. Repealer and new sections 28.2 and 28.3 filed 12-27-93; effective 12-27-93. Submitted to OAL printing only (Register 93, No. 53).
92. Repealer and new sections 30.1 and 30.5 filed 12-29-93; effective 12-29-93. Submitted to OAL for printing only (Register 93, No. 53).
93. New section 64 filed 2-3-94; operative 2-3-94. Submitted to OAL for printing only (Register 94, No. 5).
94. New section 50.22 filed 2-28-94; operative 2-28-94. Submitted to OAL for printing only (Register 94, No. 9).
95. Change without regulatory effect renumbering Bond of Cargo Shipper's Agent from section 50.22 to section 50.23 filed 3-31-94 pursuant to title 1, section 100, California Code of Regulations (Register 94, No. 13).
96. Amendment of section 47.1 filed 4-7-94; operative 5-9-94. Submitted to OAL for printing only (Register 94, No. 14).
97. Editorial correction restoring article 9 heading (Register 94, No. 14).
98. Repealer and new section 51.15 filed 5-5-94; operative 6-6-94. Submitted to OAL for printing only (Register 94, No. 18).
99. New section 38.3 filed 10-11-94; operative 10-11-94. Submitted to OAL for printing only (Register 94, No. 41).
100. New section 64.1 filed 1-5-95; operative 1-5-95 pursuant to Government Code section 11343.4(d) (Register 95, No. 1).
101. New sections 40.13, 40.14, 40.15, 40.16, 40.17 and 40.18 filed 6-26-95; operative 6-26-95. Submitted to OAL for printing only (Register 95, No. 26).
102. Amendment of section 38.3 filed 7-25-95; operative 8-24-95. Submitted to OAL for printing only (Register 95, No. 30).
103. Amendment of section 50.12 filed 11-21-95; operative 12-31-95. Submitted to OAL for printing only (Register 95, No. 47).
104. Amendment of section 50.13 filed 12-5-95; operative 12-5-95. Submitted to OAL for printing only (Register 95, No. 49).
105. Amendment of sections 40.2, 40.3, 40.5, 40.6, 40.7, 40.9, 40.10, 40.11, 40.13, 40.14, 40.15 and 40.16, and repealer of section 40.8 filed 1-10-97; operative 1-10-97 pursuant to Government Code section 11343.4(d). Submitted to OAL for printing only (Register 97, No. 2).
106. Amendment of section 49.14 filed 4-10-97; operative 4-10-97. Submitted to OAL for printing only (Register 97, No. 15).
107. New section 51.18 filed 12-9-97; operative 1-1-98 pursuant to Government Code section 11343.4(d). Submitted to OAL for printing only (Register 97, No. 50).
108. Amendment of section 51.13 filed 2-18-98; operative 2-18-98. Submitted to OAL for printing only (Register 98, No. 8).
109. Amendment of section 51.16 filed 5-5-98; operative 6-4-98. Submitted to OAL for printing only (Register 98, No. 19).
110. New article 53 and new sections 115.1, 115.2, 115.3, 115.4 and 115.5 filed 7-6-98; operative 7-1-98. Submitted to OAL for printing only (Register 98, No. 28).
111. Amendment of section 31.7, repealer and new sections 31.8 and 31.9, and new subsections 31.10 and 31.11 filed 1-29-99; operative 2-28-99. Submitted to OAL for printing only (Register 99, No. 5).
112. Amendment of sections 54.1 and 54.2 filed 2-8-99; operative 2-8-99. Submitted to OAL for printing only (Register 99, No. 7).
113. Amendment of sections 63.2, 63.4, 63.5, 63.8, 63.9, 63.13, 63.17, 63.21, 64 and 64.1 filed 8-26-99; operative 9-25-99. Submitted to OAL for printing only (Register 99, No. 35).
114. Amendment of section 64.1 filed 11-3-99; operative 1-1-2000. Submitted to OAL for printing only (Register 99, No. 45).
115. Change without regulatory effect amending article 21 heading filed 2-16-2000 pursuant to section 100, title 1, California Code of Regulations (Register 2000, No. 7).
116. New section 51.19 filed 3-6-2002; operative 3-6-2002. Submitted to OAL for printing only (Register 2002, No. 10).
117. New section 61.8 filed 9-18-2002; operative 9-18-2002. Submitted to OAL for printing only (Register 2002, No. 38).
118. New section 31.24 filed 4-24-2003; operative 4-24-2003. Submitted to OAL for printing only (Register 2003, No. 17).
119. Amendment of section 51.19 filed 8-7-2003; operative 8-7-2003. Submitted to OAL for printing only (Register 2003, No. 32).
120. Amendment of section 51.18 filed 12-1-2003; operative 12-1-2003. Submitted to OAL for printing only (Register 2003, No. 49).
121. New section 51.20 filed 4-30-2004; operative 4-30-2004. Submitted to OAL for printing only (Register 2004, No. 18).
122. New section 51.21 filed 4-30-2004; operative 4-30-2004. Submitted to OAL for printing only (Register 2004, No. 18).
123. Amendment of section 51.20 filed 5-5-2004; operative 5-5-2004. Submitted to OAL for printing only (Register 2004, No. 19).
124. Amendment of section 51.16 filed 6-23-2004; operative 6-23-2004. Submitted to OAL for printing only (Register 2004, No. 26).
125. Amendment of section 51.16 filed 12-7-2004; operative 12-7-2004. Submitted to OAL for printing only (Register 2004, No. 50).
126. Amendment of section 26.4 filed 1-3-2005; operative 2-2-2005. Submitted to OAL for printing only (Register 2005, No. 1).
127. Amendment of section 51.17 filed 1-3-2005; operative 2-2-2005. Submitted to OAL for printing only (Register 2005, No. 1).
128. New section 51.22 filed 1-5-2005; operative 1-5-2005. Submitted to OAL for printing only (Register 2005, No. 1).
129. Amendment of section 63.5 filed 2-18-2005; operative 2-18-2005. Submitted to OAL for printing only (Register 2005, No. 7).
130. Amendment of section 51.15 filed 5-3-2005; operative 5-3-2005. Submitted to OAL for printing only (Register 2005, No. 18).
131. New section 51.24 filed 5-3-2005; operative 5-3-2005. Submitted to OAL for printing only (Register 2005, No. 18).
132. Amendment of section 51.12 filed 5-3-2005; operative 5-3-2005. Submitted to OAL for printing only (Register 2005, No. 18).
133. Amendment of section 51.14 filed 5-3-2005; operative 5-3-2005. Submitted to OAL for printing only (Register 2005, No. 18).
134. New section 51.25 filed 5-4-2005; operative 5-4-2005. Submitted to OAL for printing only (Register 2005, No. 18).
135. Amendment of section 51.7 filed 5-4-2005; operative 5-4-2005. Submitted to OAL for printing only (Register 2005, No. 18).
136. Amendment of section 51.2 filed 5-4-2005; operative 5-4-2005. Submitted to OAL for printing only (Register 2005, No. 18).
137. Amendment of section 61.8 filed 5-4-2005; operative 5-4-2005. Submitted to OAL for printing only (Register 2005, No. 18).
138. New section 51.23 filed 5-4-2005; operative 5-4-2005. Submitted to OAL for printing only (Register 2005, No. 18).
139. New section 28.4 filed 5-9-2005; operative 5-9-2005. Submitted to OAL for printing only (Register 2005, No. 19).
140. New section 69.1 filed 5-11-2005; operative 5-11-2005. Submitted to OAL for printing only (Register 2005, No. 19).
141. Amendment of section 63.2 filed 6-24-2005; operative 6-24-2005. Submitted to OAL for printing only (Register 2005, No. 25).
142. New section 49.17 filed 11-22-2005; operative 11-22-2005 pursuant to Government Code section 11343.4(c). Submitted to OAL for printing only (Register 2005, No. 47).
143. New article 54 and new section 116.1 filed 12-1-2005; operative 12-1-2005. Submitted to OAL for printing only (Register 2005, No. 48).
144. Amendment of section 51.12 filed 12-15-2005; operative 1-14-2006. Submitted to OAL for printing only (Register 2005, No. 50).
145. New section 116.2 filed 1-11-2006; operative 1-11-2006. Submitted to OAL for printing only (Register 2006, No. 2).
146. New section 64.2 filed 1-31-2006; operative 1-31-2006. Submitted to OAL for printing only (Register 2006, No. 5).
147. Amendment of section 51.19 filed 2-22-2006; operative 2-22-2006. Submitted to OAL for printing only (Register 2006, No. 8).
148. Amendment of section 30.1 filed 10-12-2006; operative 1-1-2007. Submitted to OAL for printing only (Register 2006, No. 41).
149. Amendment of section 30.5 filed 10-12-2006; operative 1-1-2007. Submitted to OAL for printing only (Register 2006, No. 41).
150. Amendment of section 48.6 filed 12-21-2006; operative 12-21-2006. Submitted to OAL for printing only (Register 2006, No. 51).
151. New section 80.3 filed 12-21-2006; operative 12-21-2006. Submitted to OAL for printing only (Register 2006, No. 51).
152. Amendment of section 30.1 filed 1-25-2007; operative 1-25-2007. Submitted to OAL for printing only (Register 2007, No. 4).
153. Amendment of section 30.5 filed 1-25-2007; operative 1-25-2007. Submitted to OAL for printing only (Register 2007, No. 4).
154. New section 64.3 filed 4-18-2007; operative 4-18-2007. Submitted to OAL for printing only (Register 2007, No. 16).
155. New section 64.4 filed 4-19-2007; operative 4-19-2007. Submitted to OAL for printing only (Register 2007, No. 16).
156. New section 64.5 filed 4-19-2007; operative 4-19-2007. Submitted to OAL for printing only (Register 2007, No. 16).
157. New section 64.6 filed 4-19-2007; operative 4-19-2007. Submitted to OAL for printing only (Register 2007, No. 16).
158. Amendment of section 51.19 filed 9-28-2007; operative 9-28-2007. Submitted to OAL for printing only (Register 2007, No. 39).
159. New section 30.14 filed 7-8-2008; operative 7-8-2008. Submitted to OAL for printing only (Register 2008, No. 28).
160. New section 44.3 filed 9-23-2008; operative 9-23-2008. Submitted to OAL for printing only (Register 2008, No. 39).
161. Amendment of section 51.19 filed 1-28-2009; operative 1-28-2009. Submitted to OAL for printing only (Register 2009, No. 5).
162. New section 64.7 filed 2-3-2009; operative 2-3-2009. Submitted to OAL for printing only (Register 2009, No. 6).
163. New section 30.15 filed 3-30-2009; operative 3-30-2009. Submitted to OAL for printing only (Register 2009, No. 14).
164. Amendment of section 30.1 filed 4-17-2009; operative 4-17-2009. Submitted to OAL for printing only (Register 2009, No. 16).
165. Amendment of section 38.3 filed 1-11-2010; operative 1-11-2010. Submitted to OAL for printing only (Register 2010, No. 3).
166. New section 51.26 filed 11-2-2010; operative 11-2-2010. Submitted to OAL for printing only (Register 2010, No. 45).
167. Amendment of section 51.15 filed 5-24-2011; operative 5-24-2011. Submitted to OAL for printing only (Register 2011, No. 21).
168. Amendment of section 51.24 filed 5-24-2011; operative 5-24-2011. Submitted to OAL for printing only (Register 2011, No. 21).
169. New section 51.27 filed 5-25-2011; operative 5-25-2011. Submitted to OAL for printing only (Register 2011, No. 21).
170. Amendment of section 51.25 filed 5-31-2011; operative 5-31-2011. Submitted to OAL for printing only (Register 2011, No. 22).
171. Amendment of section 51.2 filed 6-1-2011; operative 6-1-2011. Submitted to OAL for printing only (Register 2011, No. 22).
172. Amendment of section 51.7 filed 6-6-2011; operative 6-6-2011. Submitted to OAL for printing only (Register 2011, No. 23).
173. Amendment of section 101.1 filed 9-2-2011; operative 9-2-2011 (Register 2011, No. 35). Submitted to OAL for printing only.
174. New section 101.2 filed 9-2-2011; operative 9-2-2011 (Register 2011, No. 35). Submitted to OAL for printing only.
175. Amendment of section 30.14 filed 10-6-2011; operative 10-6-2011. Submitted to OAL for printing only (Register 2011, No. 40).
176. New section 30.16 filed 10-6-2011; operative 10-6-2011. Submitted to OAL for printing only (Register 2011, No. 40).
177. New article 55, section 117.1 filed 12-8-2011; operative 12-8-2011. Submitted to OAL for printing only (Register 2011, No. 49).
178. Amendment of section 101.2 filed 12-15-2011; operative 12-15-2011. Submitted to OAL for printing only (Register 2011, No. 50).
179. Amendment of subsection 101.1 filed 12-28-2011; operative 12-28-2011. Submitted to OAL for printing only (Register 2011, No. 52).
Chapter 3. Microfilming and Other Photographic Reproductions
Article 1. The Forms of Certification Approved
Note • History
The form of certification for microfilming or other photographic reproduction of public records, approved by the Attorney General and required by the respective statutes, rules, and regulations shall be substantially as set forth in the following regulation in this article.
NOTE
New authority cited: Section 14756, Government Code.
HISTORY
1. New article (Sections 200, 201 and 202) filed 12-3-53 as an emergency; effective upon filing (Register 53, No. 22).
2. Citation of new authority filed 12-13-66 (Register 66, No. 44).
Note • History
NOTE: Given the limited and particular application of these regulations, the Attorney General requests that these regulations not be set forth in full in the California Code of Regulations, but that appropriate reference be made therein pursuant to Government Code section 11409(a).
The affected sections are numbered and titled as follows:
Section
201. General Certification
202. Individual Certification
203. General Certification--Irrigation Districts
204. Individual Certification--Irrigation Districts
The regulations are available to the public for review or purchase at cost at the following location:
ROBERT C. WOODALL, CHIEF
DEPARTMENT OF GENERAL SERVICES
RECORDS MANAGEMENT DIVISION
400 CAPITOL MALL, ROOM 206
SACRAMENTO, CA 95814
ARCHIVES
SECRETARY OF STATE
1020 “O” STREET
SACRAMENTO, CA 95814
SUSAN J. ORTON
DEPUTY ATTORNEY GENERAL
555 CAPITOL MALL, SUITE 350
SACRAMENTO, CA 95814
NOTE
Authority cited: Section 14756, Government Code. Reference: Section 14756, Government Code.
HISTORY
1. Amendment filed 12-13-66; effective thirtieth day thereafter (Register 66, No. 44).
2. Amendment filed 11-28-79; effective thirtieth day thereafter (Register 79, No. 48). For prior history, see Registers 66, No. 44; 56, No. 2; and 55, No. 17.
3. Amendment filed 1-30-80; effective thirtieth day thereafter (Register 80, No. 5).
Article 2. Updatable Microfiche Certification
§205-207. Microfiche Certification.
Note • History
Note: Given the limited and particular application of these regulations, the Attorney General requests that these regulations not be set forth in full in the California Code of Regulations, but that appropriate reference be made therein pursuant to Government Code section 11409(a).
The affected sections are numbered and titled as follows:
Section
205. Master Certification for Each Fiche
206. Master Fiche Certification
207. Update Certifications of Microfiche-Cross Reference to Master Certification
The regulations are available to the public for review or purchase at cost at the following location:
ROBERT C. WOODALL, CHIEF
DEPARTMENT OF GENERAL SERVICES
RECORDS MANAGEMENT DIVISION
400 CAPITOL MALL, ROOM 206
SACRAMENTO, CA 95814
ARCHIVES
SECRETARY OF STATE
1020 “O” STREET
SACRAMENTO, CA 95814
SUSAN J. ORTON
DEPUTY ATTORNEY GENERAL
555 CAPITOL MALL, SUITE 350
SACRAMENTO, CA 95814
NOTE
Authority cited: Section 14756, Government Code. Reference: Section 14756, Government Code.
HISTORY
1. New Article 2 (Section 205-207) filed 11-28-79; effective thirtieth day thereafter (Register 79, No. 48).
2. Amendment filed 1-30-80; effective thirtieth day thereafter (Register 80, No. 5).
Chapter 4. Regulations Adopted Pursuant to the Uniform Supervision of Trustees for Charitable Purposes Act*
* Article 7, Chapter 6 of Part 2 of Division 3, Title 2, Government Code. (Sections 12586(b) and 12587, Government Code).
Note • History
(a) Every charitable corporation, unincorporated association, trustee or other person subject to the registration requirements of that act entitled the “Supervision of Trustees and Fundraisers for Charitable Purposes Act” (Article 7, Chapter 6, Part 2, Division 3, Title 2, of the Government Code commencing with Section 12580, hereafter “Act”) shall file with the Attorney General a copy of the articles of incorporation and bylaws, trust agreement, decree of distribution or other instrument governing its operation, as provided below. Filing of the Initial Registration Form, the supporting documents required by that form, and the required registration fee of $25 shall constitute the initial registration. Required information and supplemental documents identified in the Initial Registration Form that are not available at the time of filing of the form may be submitted within ninety (90) days of submittal of the form.
(b) An Initial Registration Form and supplemental documents identified in that form shall be submitted to the Registry of Charitable Trusts. The Initial Registration Form shall require the following:
(1) Name of the organization (the name must be the legal name as stated in the organization's organizing instrument);
(2) Official mailing address of the organization;
(3) Federal employer identification number from the Internal Revenue Service;
(4) Federal employer identification group exemption number from the Internal Revenue Service (if applicable);
(5) If the organization is a corporation, the corporate or organization number from the Secretary of State. If the organization is unincorporated, the organization number assigned by the Franchise Tax Board upon application for California tax exemption;
(6) Names, addresses, and positions of all trustees or directors and officers;
(7) Attach or provide a statement fully describing the primary activity of the organization. (A copy of the material submitted with the application for federal or state tax exemption will normally provide this information.);
(8) If the organization is based outside of California, comment fully on the extent of activities in California and how the California activities relate to total activities. In addition, list all funds, property, and other assets held or expected to be held in California. Indicate whether you are monitored in your home state and, if so, by whom;
(9) If assets (funds, property, etc.) have been received, enter the date first received;
(10) Annual accounting period adopted (Fiscal Year or Calendar Year, and if fiscal year, state the date that is the end of the year);
(11) Attach your founding documents as follows:
(A) Corporations -- Furnish a copy of the articles of incorporation and all amendments and current bylaws. If incorporated outside of California, enter the date the corporation qualified through the California Secretary of State's Office to conduct activities in California;
(B) Associations -- Furnish a copy of the instrument creating the organization (bylaws, constitution and/or articles of association);
(C) Trusts -- Furnish a copy of the trust instrument or will and decree of final distribution;
(D) Trustees for charitable purposes -- Furnish a statement describing your operations and charitable purpose.
(12) State whether or not the organization has applied for or been granted Internal Revenue Service (IRS) tax exempt status. If yes, state or provide the following:
(A) Date of application for tax exemption and date of exemption determination letter;
(B) Under which subdivision of Internal Revenue Code section 501(c) the organization has applied for, or received, tax exempt status;
(C) Whether contributions to the organization are tax-deductible (if known);
(D) Attach a copy of the federal exemption determination letter issued by the IRS, if available; and
(E) Attach a copy of IRS Form 1023 “Application for Recognition of Exemption under Section 501(c)(3) of the Internal Revenue Code”, if available;
(13) If your organization contracts with or otherwise engages the services of any commercial fundraiser for charitable purposes, fundraising counsel, or commercial co-venturer, provide the name, address, type of service provider and telephone number of the provider(s);
(14) Signature of officer, director, or trustee executing the Initial Registration Form, signed under penalty of perjury;
(15) Title of person signing the Initial Registration Form;
(16) Date of signature;
(17) Organization's telephone number;
(18) Organization's e-mail address;
(19) Organization's fax number; and
(20) Organization's website (if the organization has a website).
NOTE
Authority cited: Sections 12584, 12585, 12586 and 12587, Government Code. Reference: Sections 12581, 12583, 12585, 12586 and 12587, Government Code.
HISTORY
1. New Subchapter 4 ( §§ 300 through 305) filed 12-28-55 as an emergency; effective upon filing (Register 56, No. 1).
2. Repealer of §§ 300 through 305 filed 8-28-59 as an emergency; effective upon filing. New §§ 300 through 310 filed 8-28-59 as an emergency; effective upon filing (Register 59, No. 14).
3. Certificate of Compliance--Section 11422.1, Gov. Code for Sections 300 through 310 filed 10-30-59 (Register 59, No. 18).
4. Amendment filed 5-30-74; effective thirtieth day thereafter (Register 74, No. 22).
5. Amendment of chapter heading, section and Note filed 10-7-99; operative 11-6-99 (Register 99, No. 41).
6. Amendment of section heading, section and Note filed 6-13-2005; operative 6-13-2005 pursuant to Government Code section 11343.4 (Register 2005, No. 24).
7. Redesignation and amendment of section as subsection (a) and new subsections (b)-(b)(20) filed 12-11-2007; operative 1-10-2008 (Register 2007, No. 50).
§301. Periodic Written Reports.
Note • History
Except as otherwise provided in the Act, every charitable corporation, unincorporated association, trustee, or other person subject to the reporting requirements of the Act shall also file with the Attorney General periodic written reports, under oath, setting forth information as to the nature of the assets held for charitable purposes and the administration thereof by such corporation, unincorporated association, trustee, or other person. Except as otherwise provided in these regulations, these reports include the Annual Registration Renewal Fee Report, (“RRF-1” 3/05), hereby incorporated by reference, which must be filed with the Registry of Charitable Trusts annually by all registered charities, as well as the Internal Revenue Service Form 990, which must be filed on an annual basis with the Registry of Charitable Trusts, as well as with the Internal Revenue Service. At the time of the annual renewal of registration filing the RRF-1, the registrant must submit a fee, as set forth in section 311.
A tax-exempt charitable organization which is allowed to file form 990-PF or 990-EZ with the Internal Revenue Service, may file that form with the Registry of Charitable Trusts in lieu of Form 990.
A charitable organization that is not exempt from taxation under federal law shall use Internal Revenue Service Form 990 to comply with the reporting provisions of the Supervision of Trustees and Fundraisers for Charitable Purposes Act. The form shall include, at the top of the page, in 10-point type, all capital letters, “THIS ORGANIZATION IS NOT EXEMPT FROM TAXATION.”
Registration requirements for commercial fundraisers for charitable purposes, fundraising counsel for charitable purposes, and commercial coventurers are set forth in section 308.
NOTE
Authority cited: Sections 12586 and 12587, Government Code. Reference: Sections 12581, 12582, 12583, 12586, 12587, 12599, 12599.1 and 12599.2, Government Code.
HISTORY
1. Amendment filed 5-30-74; effective thirtieth day thereafter (Register 74, No. 22).
2. Amendment of section and new Note filed 10-7-99; operative 11-6-99 (Register 99, No. 41).
3. Amendment of section and Note filed 6-13-2005; operative 6-13-2005 pursuant to Government Code section 11343.4 (Register 2005, No. 24).
Note • History
All instruments, reports or other data required to be filed pursuant to these regulations or pursuant to the provisions of the Act shall be filed with the Registry of Charitable Trusts in the office of the Attorney General, Sacramento, California.
NOTE
Authority cited: Sections 12586 and 12587, Government Code. Reference: Sections 12585, 12586, 12587, 12599, 12599.1 and 12599.2, Government Code.
HISTORY
1. Amendment filed 5-30-74; effective thirtieth day thereafter (Register 74, No. 22).
2. Amendment of section and new Note filed 6-13-2005; operative 6-13-2005 pursuant to Government Code section 11343.4 (Register 2005, No. 24).
Note • History
All periodic written reports required to be filed under the provisions of section 12586 of the Government Code and section 301 of these regulations shall be filed with the Registry of Charitable Trusts, and include: (1) the Annual Registration Renewal Fee Report (“RRF-1” 3/05); and (2) Internal Revenue Service Form 990, 990-EZ or 990-PF, as applicable.
NOTE
Authority cited: Sections 12586 and 12587, Government Code. Reference: Sections 12581, 12583, 12586 and 12587, Government Code.
HISTORY
1. Amendment filed 5-30-74; effective thirtieth day thereafter (Register 74, No. 22).
2. Amendment of section and new Note filed 6-13-2005; operative 6-13-2005 pursuant to Government Code section 11343.4 (Register 2005, No. 24).
Note • History
The first such periodic report shall be filed as required by paragraph (d) of section 12586 of the Government Code.
NOTE
Authority cited: Sections 12586 and 12587, Government Code. Reference: Sections 12581, 12583, 12586 and 12587, Government Code.
HISTORY
1. Amendment of section and new Note filed 6-13-2005; operative 6-13-2005 pursuant to Government Code section 11343.4 (Register 2005, No. 24).
§305. Annual Filing of Reports.
Note • History
After the first periodic report is filed as required by section 304 of these regulations, periodic written reports shall thereafter be filed on an annual basis unless specifically required or permitted to be filed on other than an annual basis as set forth in these regulations, or when filing has been suspended by the Attorney General pursuant to Government Code section 12586. The time for filing any periodic report subsequent to the first periodic report shall be not later than four (4) months and fifteen (15) days following the close of each calendar or fiscal year subsequent to the filing of the first report, but in no event less than once annually, unless for good cause extension of such annual filing has been granted by the Attorney General, or otherwise excused. If the Internal Revenue Service grants an extension to file the Form 990, 990-PF or 990-EZ that extension will be honored by the Registry of Charitable Trusts for purposes of filing the Form 990, 990-PF or 990-EZ and the Annual Registration Renewal Fee Report (“RRF-1”) with the Registry of Charitable Trusts. The RRF-1 and the Form 990, 990-PF or 990-EZ shall be filed simultaneously with the Registry of Charitable Trusts.
NOTE
Authority cited: Sections 12586 and 12587, Government Code. Reference: Sections 12581, 12582, 12583, 12586 and 12587, Government Code.
HISTORY
1. Amendment filed 5-30-74; effective thirtieth day thereafter (Register 74, No. 22).
2. Amendment of section and new Note filed 6-13-2005; operative 6-13-2005 pursuant to Government Code section 11343.4 (Register 2005, No. 24).
Note • History
(a) Periodic reports shall be submitted under oath and shall set forth in detail all of the information required by the applicable forms set forth in these regulations. Incomplete or incorrect reports will not be accepted as meeting the requirements of the law.
(b) A copy of an account filed by a trustee in a court having jurisdiction of the trust shall not be accepted in lieu of a report on official forms unless such court accounting is identical in form and content with the official forms and is compatible without alteration with electronic data processing equipment in the same manner as reports on official forms.
(c) When requested by the Attorney General any periodic report shall be supplemented to include such additional information as the Attorney General deems necessary to enable the Attorney General to ascertain whether the corporation, trust or other relationship is being properly administered.
NOTE
Authority cited: Sections 12586 and 12587, Government Code. Reference: Sections 12581, 12586 and 12587, Government Code.
HISTORY
1. New section filed 4-19-56 as an emergency; effective upon filing (Register 56, No. 7).
2. Repealer and new section filed 8-28-59 as an emergency; effective upon filing (Register 59, No. 14).
3. Amendment filed 5-30-74; effective thirtieth day thereafter (Register 74, No. 22).
4. Amendment of subsections (a) and (c) and new Note filed 6-13-2005; operative 6-13-2005 pursuant to Government Code section 11343.4 (Register 2005, No. 24).
§307. Extended Reporting Period.
Note • History
A charitable corporation, unincorporated association, trustee, or other person otherwise required to file a Form 990, 990-PF or 990-EZ pursuant to section 301 that has gross revenue under twenty-five thousand dollars ($25,000) during any fiscal year and that has gross assets under $25,000 at all times during such year shall file a Form 990, 990-PF or 990-EZ subsequent to the first report required by section 304, or its last report filed pursuant to section 305, or subsection (ii) of this section, upon the earlier of (i) the lapse of ten years after any such filing or (ii) the occurrence of any of the following:
(1) the total gross revenue or assets of the charitable corporation, unincorporated association, or trust during any fiscal year was $25,000 or more;
(2) the corporation or unincorporated association was dissolved or merged, the trust was terminated or modified, all or substantially all of the assets of the corporation or trust were sold or transferred, or the corporate articles were amended to change the charitable purposes of the corporation;
(3) the charitable purposes of the corporation, unincorporated association, or trust were abandoned by the directors or trustees;
(4) there were any self-dealing transactions, as defined in California Corporations Code section 5233, or any transactions described in Probate Code section 16004, or any loans made by the corporation or trust to a director, officer or trustee.
The Form 990, 990-EZ or 990-PF report filed pursuant to this section, shall cover the most recent preceding fiscal year of the charitable registrant.
All organizations are required to file the RRF-1 report annually, whether or not the organization is eligible for extended reporting of the 990, 990-EZ or 990-PF.
It shall be the continuing responsibility of the directors or trustees to notify the Registry of Charitable Trusts in the office of the Attorney General, Sacramento, California, of any change of mailing address for the corporation, unincorporated association or trust.
All such charitable corporations, unincorporated associations and trusts having gross revenue or gross assets under $25,000 shall be subject to audit by the Attorney General at any time, notwithstanding these extended reporting periods.
NOTE
Authority cited: Sections 12586 and 12587, Government Code. Reference: Sections 12586 and 12587, Government Code.
HISTORY
1. New section filed 12-20-78; effective thirtieth day thereafter (Register 78, No. 51).
2. Amendment filed 6-27-84; effective thirtieth day thereafter (Register 84, No. 26).
3. Amendment of section and Note filed 6-13-2005; operative 6-13-2005 pursuant to Government Code section 11343.4 (Register 2005, No. 24).
§308. Registration and Notice Requirements for Commercial Fundraisers for Charitable Purposes, Fundraising Counsel for Charitable Purposes, and Commercial Coventurers.
Note • History
Every commercial fundraiser for charitable purposes, fundraising counsel for charitable purposes, and commercial coventurer that is subject to the Act must register with the Attorney General prior to soliciting any funds in California, and annually on or before January 15 of each year. The registration requirements and fees are set forth in this section.
(a) A “commercial fundraiser for charitable purposes,” as defined in Government Code section 12599, must submit the following at the time of initial registration and annual renewal:
(1) A completed and signed Commercial Fundraiser for Charitable Purposes Annual Registration Form (“CT-1CF” 3/05) which is incorporated by reference.
(2) $350 in the form of a certified or cashier's check.
(3) The original of a properly executed $25,000 surety bond form in the registrant's name, together with a signed Registry of Charitable Trusts Surety Bond Form (“CT-4CF” 3/05), which is incorporated herein by reference; or completion of the Deposit by Assignment in Lieu of Commercial Fundraiser for Charitable Purposes Surety Bond Form (“CT-8CF” 3/05) and Receipt for Notice of Assignment in Lieu of Commercial Fundraiser for Charitable Purposes Surety Bond Form (“CT-9CF” 3/05), incorporated herein by reference, together with the original passbook or certificate of deposit indicating $25,000 is held in the Attorney General's name.
(4) An annual financial report as described in Government Code section 12599(d). The forms for the annual financial report include the Annual Financial Report/Commercial Fundraisers (“CT-2CF” 3/05), which is incorporated by reference; the Annual Financial Report/Thrift Store Operations (“CT-2TCF” 3/05), which is incorporated by reference; and the Annual Financial Report/Vehicle Donation Program (“CT-2VCF” 3/05), which is incorporated by reference. The annual financial reports must be filed on or before January 30 of each year.
(b) A “fundraising counsel for charitable purposes,” as defined in Government Code section 12599.1, must submit the following at the time of initial registration and annual renewal:
(1) A completed and signed Fundraising Counsel for Charitable Purposes Annual Registration Form (“CT-3CF” 3/05), which is incorporated by reference.
(2) $350 in certified or cashier's check.
(c) A “commercial coventurer,” as defined in Government Code section 12599.2, unless exempted by Government Code section 12599.2(b), shall submit the following at the time of initial registration and annual renewal:
(1) A completed and signed Commercial Coventurer Annual Registration Form (“CT-5CF” 3/05), which is incorporated by reference.
(2) $350 in certified or cashier's check.
(3) If required to register and report pursuant to Government Code section 12599.2(c), annual financial reports shall be filed on the Commercial Coventurer Annual Financial Report Form (“CT-6CF” 3/05), which is incorporated by reference. The annual financial reports must be filed on or before January 30 of each year.
(d) Every commercial fundraiser for charitable purposes and every fundraising counsel for charitable purposes shall file a notice of intent to solicit for charitable purposes as required by Government Code sections 12599 and 12599.1. Commercial fundraisers shall file the Notice of Intent to Solicit for Charitable Purposes -- Commercial Fundraiser for Charitable Purposes Form (“CT-10CF” 3/05), which is incorporated by reference, and fundraising counsel shall file the Notice of Intent to Solicit for Charitable Purposes -- Fundraising Counsel for Charitable Purposes Form (“CT-11CF” 3/05), which is incorporated by reference. The forms shall be filed with the Registry of Charitable Trusts in the office of the Attorney General, Sacramento, California.
NOTE
Authority cited: Sections 12586, 12587, 12599, 12599.1 and 12599.2, Government Code. Reference: Sections 12587, 12599, 12599.1, 12599.2 and 12599.5, Government Code.
HISTORY
1. New section filed 6-13-2005; operative 6-13-2005 pursuant to Government Code section 11343.4 (Register 2005, No. 24). For prior history, see Register 74, No. 22.
History
HISTORY
1. Repealer filed 5-30-74; effective thirtieth day thereafter (Register 74, No. 22).
§310. Public Inspection of Charitable Trust Records.
Note • History
The register, copies of instruments and the reports filed with the Attorney General, except as provided in Government Code section 12590, shall be open to public inspection at the Registry of Charitable Trusts in the office of the Attorney General, Sacramento, California, at such reasonable times as the Attorney General may determine. Such inspection shall at all times be subject to the control and supervision of an employee of the Office of the Attorney General.
NOTE
Authority cited: Sections 12587 and 12590, Government Code. Reference: Section 12590, Government Code.
HISTORY
1. Amendment of section and new Note filed 6-13-2005; operative 6-13-2005 pursuant to Government Code section 11343.4 (Register 2005, No. 24).
§311. Annual Registration Fee.
Note • History
(a) No form or report from any charitable corporation, unincorporated association, trustee or other person required to register or file a periodic report shall be accepted for filing unless accompanied by the appropriate fee.
Filing and processing fees shall be paid by registrants at the time of filing as follows:
(1) a $25 initial registration fee;
(2) an annual registration renewal fee, the amount of which shall be determined based on the registrant's gross annual revenue for the preceding fiscal year, as follows:
Gross Annual Revenue Fee
Less than $25,000 0
Between $25,000 and $100,000 $25
Between $100,001 and $250,000 $50
Between $250,001 and $1 million $75
Between $1,000,001 and $10 million $150
Between $10,000,001 and $50 million $225
Greater than $50 million $300
(b) This section does not apply to commercial fundraisers for charitable purposes, as defined by Government Code section 12599, fundraising counsel for charitable purposes, as defined by Government Code section 12599.1, or commercial coventurers, as defined by Government Code section 12599.2.
NOTE
Authority cited: Sections 12586 and 12587, Government Code. Reference: Sections 12585, 12586, 12587, 12599, 12599.1 and 12599.2, Government Code.
HISTORY
1. New section filed 10-7-99; operative 11-6-99 (Register 99, No. 41).
2. Amendment of section and Note filed 6-13-2005; operative 6-13-2005 pursuant to Government Code section 11343.4 (Register 2005, No. 24).
§312. Use of Annual Registration Fee.
Note • History
Annual registration fees paid pursuant to Government Code section 12587 and section 311 of this chapter, and registration or renewal fees paid pursuant to Government Code sections 12599, 12599.1 and 12599.2, shall be used solely to operate and maintain the Attorney General's Registry of Charitable Trusts and provide public access via the Internet to reports filed with the Registry of Charitable Trusts in the office of the Attorney General, Sacramento, California.
NOTE
Authority cited: Sections 12586 and 12587, Government Code. Reference: Sections 12585, 12586, 12587, 12599, 12599.1 and 12599.2, Government Code.
HISTORY
1. New section filed 10-7-99; operative 11-6-99 (Register 99, No. 41).
2. Amendment of section and Note filed 6-13-2005; operative 6-13-2005 pursuant to Government Code section 11343.4 (Register 2005, No. 24).
§312.1. Board or Trustee Review of Executive Compensation.
Note • History
The board of directors or an authorized committee of the board of a charitable corporation or unincorporated association and all trustees of a charitable trust shall review and approve the compensation, including benefits, of all of the following: every person, regardless of title, with powers, duties, or responsibilities comparable to the president, chief executive officer, treasurer, or chief financial officer. The review shall be conducted in accordance with Government Code section 12586(g).
NOTE
Authority cited: Sections 12586 and 12587, Government Code. Reference: Section 12586, Government Code.
HISTORY
1. New section filed 6-13-2005; operative 6-13-2005 pursuant to Government Code section 11343.4 (Register 2005, No. 24).
Chapter 4.1. Regulations Adopted Pursuant to the Statewide Registry of Private Conservators and Guardians [Repealed]
HISTORY
1. Change without regulatory effect repealing chapter 4.1 (articles 1-5, sections 313-327) filed 2-18-2009 pursuant to section 100, title 1, California Code of Regulations (Register 2009, No. 8).
Chapter 4.3. Regulations Adopted Pursuant to the California Uniform Supervision of International Student Exchange Visitor Placement Organizations Act of 1994*
*Article 8.2 of Chapter 6, Division 3, Title 2, Government Code (Sections 12620 through 12630, Government Code)
*Article 8.2 of Chapter 6, Division 3, Title 2, Government Code (Sections 12620 through 12630, Government Code)
Article 1. General Provisions and Definitions
Note • History
Every organization required by the provisions of the California Uniform Supervision of International Student Exchange Visitor Placement Organizations Act of 1994 (Article 8.2 of Chapter 6, Division 3, Title 2 of the Government Code commencing with section 12620) shall, prior to arranging the placement of any international student exchange visitor in any elementary or secondary school or other educational program in California, register with the Attorney General's Registry of International Student Exchange Visitor Placement Organization by filing Form ISEVPO-1, the registration form prescribed by the Attorney General, with the Registry at the address set forth in section 351.
NOTE
Authority cited: Section 12627, Government Code. Reference: Sections 12623 and 12627, Government Code.
HISTORY
1. New chapter 4.3 (sections 350-384), article 1 and section filed 1-11-96; operative 1-11-96 pursuant to Government Code section 11343.4(d) (Register 96, No. 2).
2. Change without regulatory effect amending chapter heading and section filed 8-26-96 pursuant to section 100, title 1, California Code of Regulations (Register 96, No. 35).
Note • History
The address to be used for delivery and receipt of mail, information, registration applications, amendments, fees and other material required by the Act is:
OFFICE OF THE ATTORNEY GENERAL
ATTN: REGISTRY OF INTERNATIONAL STUDENT EXCHANGE
VISITOR PLACEMENT ORGANIZATIONS
455 GOLDEN GATE AVENUE, SUITE 11000
SAN FRANCISCO, CA 94102-7004
The telephone number to be used for inquiries relating to this Act and to be disclosed by the organization as required by the Act is: (415) 703-1006.
NOTE
Authority cited: Section 12627, Government Code. Reference: Sections 12622, 12623 and 12627, Government Code.
HISTORY
1. New section filed 1-11-96; operative 1-11-96 pursuant to Government Code section 11343.4(d) (Register 96, No. 2).
2. Amendment filed 3-15-2006; operative 4-14-2006 (Register 2006, No. 11).
Note • History
The registration applications, copies of instruments and reports filed with the Attorney General shall be open to public inspection at the Office of the Attorney General in San Francisco at such reasonable times as the Attorney General may determine. Such inspections shall at all times be subject to the control and supervision of an employee of the Office of the Attorney General.
NOTE
Authority cited: Section 12627, Government Code. Reference: Sections 12625 and 12627, Government Code.
HISTORY
1. New section filed 1-11-96; operative 1-11-96 pursuant to Government Code section 11343.4(d) (Register 96, No. 2).
2. Change without regulatory effect amending section filed 8-26-96 pursuant to section 100, title 1, California Code of Regulations (Register 96, No. 35).
§353. Registration Applications.
Note • History
All registration applications shall be submitted in the manner and on the form prescribed by the Attorney General, as required by Paragraph (a) of section 12626 of the Government Code.
NOTE
Authority cited: Section 12627, Government Code. Reference: Sections 12626 and 12627, Government Code.
HISTORY
1. New section filed 1-11-96; operative 1-11-96 pursuant to Government Code section 11343.4(d) (Register 96, No. 2).
§354. Registration Applications -- Grounds for Denial.
Note • History
Any application received by the Attorney General which is not on the prescribed form, is incomplete, unsigned, illegible, or does not include all required fees, information and documents, as required by paragraph (a) of section 12626 of the Government Code, shall not be accepted for filing.
NOTE
Authority cited: Section 12627, Government Code. Reference: Sections 12623, 12626 and 12627, Government Code.
HISTORY
1. New section filed 1-11-96; operative 1-11-96 pursuant to Government Code section 11343.4(d) (Register 96, No. 2).
2. Change without regulatory effect amending section filed 8-26-96 pursuant to section 100, title 1, California Code of Regulations (Register 96, No. 35).
§355. Time of Registration and Renewal.
Note • History
The initial registration and annual renewals shall be filed as required by paragraph (a) of section 12623 of the Government Code.
NOTE
Authority cited: Section 12627, Government Code. Reference: Sections 12623 and 12627, Government Code.
HISTORY
1. New section filed 1-11-96; operative 1-11-96 pursuant to Government Code section 11343.4(d) (Register 96, No. 2).
Note • History
Fees for registration and renewal shall be calculated as required by paragraph (b) of section 12623 of the Government Code.
NOTE
Authority cited: Section 12627, Government Code. Reference: Sections 12623 and 12627, Government Code.
HISTORY
1. New section filed 1-11-96; operative 1-11-96 pursuant to Government Code section 11343.4(d) (Register 96, No. 2).
Note • History
Terms defined in section 12621 of the Government Code shall apply in these regulations. In addition, the following definitions shall be applicable when used in these regulations:
(a) “Attorney General” means the California Attorney General or any employee of the Attorney General acting under the authority of the Attorney General.
(b) “Act” means the California Uniform Supervision of International Student Exchange Visitor Placement Organization Act of 1994.
(c) “Host family” means the family residing in the State of California that the international student exchange visitor resides with during his or her period of academic study.
(d) “U.S. Department of State regulations” means regulations promulgated by the United States Department of State, Educational and Cultural Affairs Division (U.S. Department of State) governing exchange visitor programs designated by them.
(e) “U.S. Department of State designation letter” means the letter from the U.S. Department of State showing acceptance into its program.
(f) “Responsible officer” means the officer or employee of the international student placement organization who has primary authority for supervising placements in the State of California.
(g) “Responsible officer address” means the physical location of the responsible officer.
(h) “Immediate family” means the parent(s) or legal guardian(s) of an international student exchange visitor.
(i) “Nonimmigrant visa” means a visa category used by nonresident aliens whose primary purpose for visiting the United States is to study full time at an approved institution.
NOTE
Authority cited: Section 12627, Government Code. Reference: Sections 12621 and 12627, Government Code.
HISTORY
1. New section filed 1-11-96; operative 1-11-96 pursuant to Government Code section 11343.4(d) (Register 96, No. 2).
2. Change without regulatory effect amending subsections (b) and (c) filed 8-26-96 pursuant to section 100, title 1, California Code of Regulations (Register 96, No. 35).
3. Amendment of subsections (d) and (e) filed 3-15-2006; operative 4-14-2006 (Register 2006, No. 11).
Article 2. International Student Exchange Agency Registration Standards
Note • History
The organization shall be fully responsible for the selection of suitable students for participation in its international student exchange visitor program. Selection shall be limited to students who have a sufficient command of the English language to enable them to function well in an English-speaking academic and community environment. Students shall also be screened for demonstrated maturity, good character, and ability to derive maximum benefit from the program experience.
NOTE
Authority cited: Section 12627, Government Code. Reference: Sections 12627 and 12628, Government Code.
HISTORY
1. New article 2 and section filed 1-11-96; operative 1-11-96 pursuant to Government Code section 11343.4(d) (Register 96, No. 2).
§359. Orientation of Students and Host Families.
Note • History
(a) The organization shall provide:
(1) Each student and immediate family of each student with suitable orientation prior to departure from their home and upon arrival in the State of California to acquaint them in advance with the customs of the State of California and the United States. In addition, they shall be provided with detailed knowledge of the school and academic program in which he or she will be participating and information relating to their host family.
(2) Each host family with suitable orientation in advance of the student's arrival, including information on family, school, cultures of the student's native country, as well as information relating to the academic program in which the student will be enrolled.
(b) Each organization shall maintain in their records a copy of the letters used to notify the student, immediate family, and host family of the above information.
NOTE
Authority cited: Section 12627, Government Code. Reference: Sections 12627 and 12628, Government Code.
HISTORY
1. New section filed 1-11-96; operative 1-11-96 pursuant to Government Code section 11343.4(d) (Register 96, No. 2).
2. Change without regulatory effect amending subsection (a)(1) filed 8-26-96 pursuant to section 100, title 1, California Code of Regulations (Register 96, No. 35).
§360. Health and Accident Insurance.
Note • History
(a) Each organization shall ensure that every student participating in the exchange program has health and accident insurance from the time of departure from home to the time the student returns to his or her home country. Minimum acceptable insurance is:
(1) Medical and accident coverage of fifty thousand dollars per illness or accident;
(2) Preparation and transportation of remains to the student's home country (minimum of five thousand dollars) in the event of death. Coverage may be provided in one of the following ways:
(A) By the student;
(B) By the organization.
(b) The organization is responsible for providing each student, each student's immediate family and the host family detailed printed information regarding the terms and limits of insurance coverage and procedures for filing a claim (including forms wherever possible).
(c) The organization shall maintain in its files proof of health and accident insurance.
NOTE
Authority cited: Section 12627, Government Code. Reference: Section 12627, Government Code.
HISTORY
1. New section filed 1-11-96; operative 1-11-96 pursuant to Government Code section 11343.4(d) (Register 96, No. 2).
Note • History
No student shall be brought into the State of California by the organization unless he or she has been accepted in writing as a student by the legally authorized designee of the admitting school. The organization shall maintain in its files copies of such documents authorizing enrollment.
NOTE
Authority cited: Sections 12627, Government Code. Reference: Section 12627, Government Code.
HISTORY
1. New section filed 1-11-96; operative 1-11-96 pursuant to Government Code section 11343.4(d) (Register 96, No. 2).
§362. Selection of Host Family.
Note • History
(a) The organization is responsible for making all arrangements for the placement of each student with a host family whose home is located in a place convenient to the educational institution in which the student is to be enrolled.
(b) The organization shall make every effort to assure the maximum degree of compatibility between the family and the student, including, wherever possible, the presence in the family of a teenage student.
(c) The organization's representative shall visit the home of, and personally interview, each host family before a student is assigned to such family.
(d) The organization shall ensure that its representative selects only those homes which reflect the high quality expected of the International Student Exchange Agency Program.
(e) A written record shall be made of this visit and interview by the representative, a copy of which shall be maintained by the organization.
(f) Selection of host families and assignment of students shall be made as far in advance of the student's arrival as possible, but in no event less than three weeks prior to departure from the student's home.
(g) No organization shall bring a student into the United States without written acceptance from the host family.
(h) The host family shall be advised in writing of the name, age, educational status, other background information, and anticipated arrival time of the assigned student.
(i) The student's immediate family shall be advised in writing of the name, address, family composition, and other background information concerning the host family at the earliest possible time, to permit the exchange of correspondence between the respective families in advance of the student's arrival.
(j) Copies of these notifications shall be maintained in files by the organization.
NOTE
Authority cited: Section 12627, Government Code. Reference: Section 12627, Government Code.
HISTORY
1. New section filed 1-11-96; operative 1-11-96 pursuant to Government Code section 11343.4(d) (Register 96, No. 2).
§363. Host Family Housing Requirements for Students.
Note • History
(a) Each organization shall be responsible for placing the student with a host family which can provide housing which:
(1) Furnishes separate private sleeping quarters for each sex;
(2) A bed of his or her own; and
(3) No more than four persons to a bedroom.
(b) The host family's home and household equipment shall be maintained in a clean and sanitary condition, free of hazards, and in good repair. The home shall be accessible to other resources in the event of an emergency (e.g., telephone, emergency services, etc.).
NOTE
Authority cited: Section 12627, Government Code. Reference: Section 12627, Government Code.
HISTORY
1. New section filed 1-11-96; operative 1-11-96 pursuant to Government Code section 11343.4(d) (Register 96, No. 2).
2. Change without regulatory effect amending subsection (b) filed 8-26-96 pursuant to section 100, title 1, California Code of Regulations (Register 96, No. 35).
§364. Change in Host Family Assignment.
Note • History
If unforeseen events occur and it is in the best interest of the student, the organization may make a change in the host family assignment of a student. Reports of any such changes and the reasons therefore shall be retained by the organization. Notification of any change shall be sent within twenty-four hours to the immediate family, host families, and the school of placement.
NOTE
Authority cited: Section 12627, Government Code. Reference: Section 12627, Government Code.
HISTORY
1. New section filed 1-11-96; operative 1-11-96 pursuant to Government Code section 11343.4(d) (Register 96, No. 2).
Note • History
(a) Each organization shall advise its students that they may not accept or undertake regular employment while enrolled in the program.
(b) Students may engage in occasional intermittent jobs, such as tutoring, grass-cutting, baby-sitting and the like.
(c) Students may not perform the duties of a household domestic for compensation or otherwise in the home of the host family.
(d) Students may be asked to assist in normal daily chores in the host family household which other members of the family perform.
NOTE
Authority cited: Section 12627, Government Code. Reference: Section 12627, Government Code.
HISTORY
1. New section filed 1-11-96; operative 1-11-96 pursuant to Government Code section 11343.4(d) (Register 96, No. 2).
§366. Supervision by Organization.
Note • History
The organization shall maintain regular personal contact with each of its students, the host family, and the high school in which each student is enrolled. The organization shall initiate action to attempt to resolve any problems which may arise with respect to the student's participation in his or her academic program or with respect to the student's relationship with his or her host family.
NOTE
Authority cited: Section 12627, Government Code. Reference: Sections 12627 and 12628, Government Code.
HISTORY
1. New section filed 1-11-96; operative 1-11-96 pursuant to Government Code section 11343.4(d) (Register 96, No. 2).
§367. Travel Responsibility of Organization.
Note • History
(a) Each organization shall be responsible for maintaining records of prepaid travel arrangements of all students placed in the State of California by the organization.
(b) Transportation must be provided both to and from the student's home to their destination by air and/or surface modes of commercial transportation.
(c) Travel arrangements shall be carried out by the purchase of a round-trip ticket or tickets to their final destinations for each student prior to the entry of each student into the State of California. These travel arrangements may be made either:
(1) By the organization; or
(2) By the student.
(d) A copy of the travel itinerary and a copy of the prepaid round-trip ticket shall be maintained by the organization in their files.
(e) A copy of the prepaid round-trip ticket shall be given to the host family.
NOTE
Authority cited: Section 12627, Government Code. Reference: Section 12627, Government Code.
HISTORY
1. New section filed 1-11-96; operative 1-11-96 pursuant to Government Code section 11343.4(d) (Register 96, No. 2).
2. Change without regulatory effect amending subsections (a) and (c) filed 8-26-96 pursuant to section 100, title 1, California Code of Regulations (Register 96, No. 35).
§368. Information to Be Provided.
Note • History
(a) An international student placement agency shall provide each student, each student's immediate family, and the host family with the information document which, in addition to the disclosures required by section 12628 of the Government Code, shall contain at a minimum: Disclosure of all monies paid to the agency which are to be paid to the host family, students, or for special or additional activities during the program period. The timing and method of payment are to be specified.
(b) In addition, each student and host family shall receive a statement which includes the amount of the fee to be charged the student.
NOTE
Authority cited: Section 12627, Government Code. Reference: Sections 12627 and 12628, Government Code.
HISTORY
1. New section filed 1-11-96; operative 1-11-96 pursuant to Government Code section 11343.4(d) (Register 96, No. 2).
§369. Agency Records Requirements.
Note • History
(a) Each organization shall keep records at the organizational office of services rendered to host families and students. The records and obligations shall include:
(1) The name, home address, and telephone number of the student (in that student's home country) to whom services are provided or promised.
(2) The name, address and telephone number of the host family with whom the student is placed, which shall be on file at least seven days prior to the student's arrival in the State of California.
(3) Document that each student entered the State with a non-immigrant visa and is enrolled in an elementary or secondary educational institution, or any other educational program.
(4) Document that authorizes enrollment in school of acceptance.
(5) Copy of written records of interview between the organization's representative and the host family.
(6) Copy of correspondence to the student's immediate family advising them of the name, address, family composition, and other background information concerning the host family.
(7) Copy of correspondence to host family(ies) advising them of the name, age, educational status, other background information, and anticipated arrival time of student.
(8) The amount of the organization's fee(s) charged to a student and an itemization of the services attributable to individual portions of the fee(s).
(9) A complete copy of any written agreements entered into between the organization, students, and the host families.
(10) Copy of health and accident insurance policy covering participating students and a statement of how coverage shall be provided.
(b) The records shall be maintained for a period of one year from the date on which the student departs from the State of California. For purposes of investigating a complaint or otherwise assuring compliance with this Chapter and rules adopted thereunder, the records shall be subject to inspection by the Attorney General upon request.
NOTE
Authority cited: Section 12627, Government Code. Reference: Section 12627, Government Code.
HISTORY
1. New section filed 1-11-96; operative 1-11-96 pursuant to Government Code section 11343.4(d) (Register 96, No. 2).
2. Change without regulatory effect amending subsections (a)(2)-(3) and (b) filed 8-26-96 pursuant to section 100, title 1, California Code of Regulations (Register 96, No. 35).
Article 3. Conditions Applicable to Registration
§370. Appointment of a Responsible Officer and Responsible Officer Address.
Note • History
(a) Each organization shall appoint and continuously maintain a responsible officer, as required by section 12626 of the Government Code, who has primary responsibility for supervising placements within the State of California.
(b) The responsible officer shall be an employee or officer of the organization.
(c) The person who signs the application as responsible officer as required by section 12626 of the Government Code shows acceptance of assuming the duties of the responsible officer.
(d) The responsible officer shall have an address which shall be a specific geographic location, and be identified by number, if any, and street, or building address, or rural route, city, state, and zip code, or, if a commonly known street or rural route does not exist, by legal description. The responsible officer's address may not be identified by post office box number or other nongeographic address. For purposes of communicating by mail, the Attorney General may permit the use of a post office address in conjunction with the geographic location if they are located in same city, if the organization also maintains on file the specific geographic address of the California office.
NOTE
Authority cited: Section 12627, Government Code. Reference: Sections 12626 and 12627, Government Code.
HISTORY
1. New article 3 and section filed 1-11-96; operative 1-11-96 pursuant to Government Code section 11343.4(d) (Register 96, No. 2).
2. Change without regulatory effect amending subsection (a) filed 8-26-96 pursuant to section 100, title 1, California Code of Regulations (Register 96, No. 35).
§371. Change of Responsible Officer and/or Responsible Officer Address.
Note • History
An organization may change its responsible officer or responsible officer address by delivering to the Attorney General, within thirty days of the change, a statement of change that sets forth:
(a) The name of the organization;
(b) If the current officer address is to be changed, the street address of the new officer address in accordance with section 12626 of the Government Code;
(c) If the current responsible officer is to be changed, the name of the new responsible officer and the new officer's written consent accepting the responsibility of the responsible officer.
NOTE
Authority cited: Section 12627, Government Code. Reference: Sections 12626 and 12627, Government Code.
HISTORY
1. New section filed 1-11-96; operative 1-11-96 pursuant to Government Code section 11343.4(d) (Register 96, No. 2).
2. Amendment of first paragraph filed 3-15-2006; operative 4-14-2006 (Register 2006, No. 11).
§372. Resignation of Responsible Officer.
Note • History
(a) A responsible officer may resign by signing and delivering to the Attorney General for filing a statement of resignation. The statement must also include a statement that the responsible officer address is also discontinued.
(b) After filing the statement the Attorney General shall mail a copy of the filed statement to the organization at its organizational address.
(c) The organization shall appoint a new responsible officer and responsible officer address within thirty days of notification.
NOTE
Authority cited: Section 12627, Government Code. Reference: Section 12627, Government Code.
HISTORY
1. New section filed 1-11-96; operative 1-11-96 pursuant to Government Code section 11343.4(d) (Register 96, No. 2).
§373. Duties of the Responsible Officer.
Note • History
The officer who signs the application consenting to serve as responsible officer shall:
(a) Accept all official communications and inquiries from the Attorney General on behalf of the organization.
(b) Maintain copies of all documentation, as required by Section 369, above, on behalf of the organization for each individual student placed in the State of California.
(c) Furnish all documentation, information, reports, documents, books, files and other records requested by the Attorney General on all matters relating to the students placed in California by the organization.
NOTE
Authority cited: Section 12627, Government Code. Reference: Section 12627, Government Code.
HISTORY
1. New section filed 1-11-96; operative 1-11-96 pursuant to Government Code section 11343.4(d) (Register 96, No. 2).
2. Change without regulatory effect amending first paragraph and subsection (b) filed 8-26-96 pursuant to section 100, title 1, California Code of Regulations (Register 96, No. 35).
§374. Individual Located in the State of California.
Note • History
(a) The organization shall maintain an in-State telephone number. This telephone number shall be registered to an individual residing in the State of California, which may be:
(1) An employee for the organization; or
(2) An officer for the organization; or
(3) A volunteer for the organization.
(b) The organization shall insure that this individual has:
(1) A listing of all placements of students by the organization and the location of each in the State of California;
(2) Knowledge of emergency procedures;
(3) Twenty-four-hour contact with the organization for emergencies;
(4) Knowledge and capability to assist and advise the students in their relationship with the organization.
(c) Each individual maintaining the in-State telephone number for the organization shall sign a written agreement with the organization, a copy of which shall be submitted to the Attorney General with the registration application.
NOTE
Authority cited: Section 12627, Government Code. Reference: Sections 12626, 12627 and 12628 , Government Code.
HISTORY
1. New section filed 1-11-96; operative 1-11-96 pursuant to Government Code section 11343.4(d) (Register 96, No. 2).
2. Change without regulatory effect amending subsections (a) and (b)(1) filed 8-26-96 pursuant to section 100, title 1, California Code of Regulations (Register 96, No. 35).
§375. Requirement to Register.
Note • History
Each organization operating in California is required to register with the Attorney General if two or more students are placed in an elementary or secondary school or other educational program in California within a five year period.
NOTE
Authority cited: Section 12627, Government Code. Reference: Sections 12621, 12623 and 12627, Government Code.
HISTORY
1. New section filed 1-11-96; operative 1-11-96 pursuant to Government Code section 11343.4(d) (Register 96, No. 2).
§376. Transaction of Business or Conducting Affairs.
Note • History
No organization that is a foreign corporation or limited partnership will be registered under this program unless and until the organization complies with foreign corporation or limited partnership registration requirements set forth in Corporation Code 2100 et seq. and 15691 et seq., respectively.
No nonprofit organization that is subject to the provisions of that act entitled the “Supervision of Trustees and Fundraisers for Charitable Purposes Act” (Article 7, Chapter 6, Part 2, Division 3, Title 2, of the Government Code commencing with Section 12580) will be registered under this program unless and until the organization complies with the registration requirements set forth in Government Code section 12580 et seq.
NOTE
Authority cited: Sections 2100 et seq. and 15692 et seq., Corporations Code; and Sections 12585 and 12627, Government Code. Reference: Section 12627, Government Code.
HISTORY
1. New section filed 1-11-96; operative 1-11-96 pursuant to Government Code section 11343.4(d) (Register 96, No. 2).
2. New second paragraph and amendment of Note filed 3-15-2006; operative 4-14-2006 (Register 2006, No. 11).
§377. Application for Registration.
Note • History
(a) Any organization meeting the requirements set forth in Government Code section 12621 shall register with the Attorney General. Such registration shall be made on ISEVPO-1, the form prescribed by the Attorney General, and filed with the Attorney General's office.
(b) The applicant must also provide evidence that they have met the established standards as an international student exchange visitor placement organization as follows:
(1) All organizations designated by the U.S. Department of State shall submit a copy of the U.S. Department of State Designation letter showing current registration; and submit a notarized statement, on ISEVPO-2, the form prescribed by the Attorney General, declaring that the organization has met all standards and obligations as required by 356 through 374 above.
(2) All organizations not designated by the U.S. Department of State shall submit a notarized statement, on ISEVPO-2, declaring that the organization has met all the standards and obligations as required by Sections 356 through 374 above.
NOTE
Authority cited: Section 12627, Government Code. Reference: Sections 12626 and 12627, Government Code.
HISTORY
1. New section filed 1-11-96; operative 1-11-96 pursuant to Government Code section 11343.4(d) (Register 96, No. 2).
2. Amendment of subsections (b)(1)-(2) filed 3-15-2006; operative 4-14-2006 (Register 2006, No. 11).
§378. Annual Renewal of Registration or Late Registration.
Note • History
(a) No later than January 15 of each calendar year in which the organization does business in California, the organization shall file a renewal of registration with the Attorney General, by completing the registration requirements set forth in Section 377 above. Such renewal of registration shall be effective for one calendar year. If an organization registers with the Attorney General after January 15 of the calendar year, the effective date of the registration will be the date that the registration is approved by the Attorney General, and the registration will expire on January 14th of the following year.
(b) The Attorney General may mail a Form ISEVPO-1 to the responsible officer/responsible officer address within forty-five days prior to expiration date of the registration.
(c) Failure of the Attorney General to notify the organization of renewal does not relieve the organization's obligation to file renewal documents.
(d) Applications for renewal of registration shall be filed no later than the due date specified in section 12623 of the Government Code.
NOTE
Authority cited: Section 12627, Government Code. Reference: Sections 12623, 12626 and 12627, Government Code.
HISTORY
1. New section filed 1-11-96; operative 1-11-96 pursuant to Government Code section 11343.4(d) (Register 96, No. 2).
2. Change without regulatory effect amending subsection (b) filed 8-26-96 pursuant to section 100, title 1, California Code of Regulations (Register 96, No. 35).
3. Amendment of section heading and subsection (a) filed 3-15-2006; operative 4-14-2006 (Register 2006, No. 11).
Note • History
(a) Organizations required to register under section 12623 of the Government Code shall pay an initial registration fee of one hundred fifty dollars ($150).
(b) Organizations required to file renewal of registration under section 12623 of the Government Code shall pay an annual renewal fee of fifty dollars ($50).
(c) A notification of change of information required under section 12626 of the Government Code shall be accepted without fee so long as the organization has current registration status.
NOTE
Authority cited: Section 12627, Government Code. Reference: Sections 12623 and 12627, Government Code.
HISTORY
1. New section filed 1-11-96; operative 1-11-96 pursuant to Government Code section 11343.4(d) (Register 96, No. 2).
Article 4. Termination and Revocation of International Student Exchange Organization's Registrations
Note • History
Registrations of organizations shall be terminated when any of the following circumstances set forth occur:
(a) Voluntary termination. An organization may voluntarily terminate its registration by notifying the Attorney General of such intent. The organization's registration shall terminate upon such notification.
(b) Failure to apply for renewal of registration. Failure to apply for renewal of registration will result in the automatic termination of the organization's registration. If so terminated, the organization must apply for a new registration. The effective date of the new registration will be the date that the registration is approved by the Attorney General, and the registration will expire on January 14th of the following year.
(c) Loss of license, permit or accreditation. An organization's registration shall automatically terminate in the event that the organization fails to remain in compliance with local, state or federal statutes and regulations, or professional requirements necessary to carry out the activities for which it was registered.
(d) Ownership change. An organization's registration shall automatically terminate in the event of a change of structure of the organization.
(e) Failure to notify. An organization's registration shall automatically terminate in the event the organization fails to notify the Attorney General within thirty (30) days of any changes in their registration documents, as required by Section 12626 of the Government Code.
NOTE
Authority cited: Section 12627, Government Code. Reference: Sections 12623, 12626 and 12627, Government Code.
HISTORY
1. New article 4 and section filed 1-11-96; operative 1-11-96 pursuant to Government Code section 11343.4(d) (Register 96, No. 2).
2. Change without regulatory effect amending subsection (e) filed 8-26-96 pursuant to section 100, title 1, California Code of Regulations (Register 96, No. 35).
3. Amendment of subsection (b) filed 3-15-2006; operative 4-14-2006 (Register 2006, No. 11).
§381. Responsibilities of Organization upon Termination.
Note • History
(a) The termination of the organization's registration shall not relieve the organization's obligation to all students who are in the State of California.
(b) The organization shall immediately cancel any student's exchange visit prior to entry to the State of California unless a transfer to another registered program can be obtained.
NOTE
Authority cited: Section 12627, Government Code. Reference: Section 12626, Government Code.
HISTORY
1. New section filed 1-11-96; operative 1-11-96 pursuant to Government Code section 11343.4(d) (Register 96, No. 2).
2. Change without regulatory effect amending section filed 8-26-96 pursuant to section 100, title 1, California Code of Regulations (Register 96, No. 35).
Article 5. Miscellaneous Provisions
§382. Adherence to Regulations.
Note • History
Organizations are required to adhere to Sections 12620 through 12630 of the Government Code and Sections 350 through 384 of Title 11, Chapter 4.3 of the California Code of Regulations.
NOTE
Authority cited: Section 12627, Government Code. Reference: Section 12627, Government Code.
HISTORY
1. New article 5 and section filed 1-11-96; operative 1-11-96 pursuant to Government Code section 11343.4(d) (Register 96, No. 2).
§383. Requests by Attorney General.
Note • History
Organizations shall furnish all information, reports, documents, books, files and other records requested by the Attorney General on all matters related to the organization's international student exchange visitor placement programs.
NOTE
Authority cited: Section 12627, Government Code. Reference: Section 12627, Government Code.
HISTORY
1. New section filed 1-11-96; operative 1-11-96 pursuant to Government Code section 11343.4(d) (Register 96, No. 2).
§384. Inquiries and Investigations.
Note • History
Organizations shall cooperate fully with any inquiry or investigation that may be undertaken by the Attorney General.
NOTE
Authority cited: Section 12627, Government Code. Reference: Sections 12627 and 12629, Government Code.
HISTORY
1. New section filed 1-11-96; operative 1-11-96 pursuant to Government Code section 11343.4(d) (Register 96, No. 2).
Chapter 4.5. Regulations Adopted Pursuant to the Uniform Management of Institutional Funds Act
§401. Reports Required of Institutions Electing to Avail Themselves of the Powers Granted Under The Uniform Management of Institutional Funds Act.
Note • History
Every institution as defined in Civil Code Section 2290.1(1), which elects to avail itself of any of the powers granted under that act entitled The Uniform Management of Institutional Funds Act (Chapter 3, Title 8, Part 4, Division 3d of the Civil Code, commencing with Section 2290.1) shall file with the Attorney General reports as required by Civil Code Section 2290.10.
NOTE
Authority cited: Section 2290.10, Civil Code.
HISTORY
1. New Subchapter 4.5 (Sections 401-408) filed 8-22-75; effective thirtieth day thereafter (Register 75, No. 34).
All reports required to be filed under the provisions of Civil Code Section 2290.10, and by these regulations, shall be filed with the Registrar of Charitable Trusts in the Office of the Attorney General, Sacramento, California.
§403. Reports to Be Filed on Forms Prescribed by the Attorney General.
All reports required to be filed under the provisions of Civil Code Section 2290.10, and by these regulations, shall be reported in writing on forms prescribed by the Attorney General and obtainable on request from the Registrar of Charitable Trusts.
(a) The first report required to be filed under the provisions of Civil Code Section 2290.10, and by these regulations, shall be filed not later than four (4) months and fifteen (15) days following the close of the first calendar or fiscal year in which the institution required to file such report has elected to avail itself of any of the powers granted under the provisions of The Uniform Management of Institutional Funds Act. The choice of calendar or fiscal year as a reporting period is up to the reporting institution.
(b) If the date on which the first report of any institution is due under these regulations has passed as of the time that these regulations take effect, then each such institution shall have until sixty (60) days after the date that these regulations take effect, within which to file such report.
(c) Periodic reports shall thereafter be filed on an annual basis. The time for filing annual reports subsequent to the filing of the first report required under the provisions of Civil Code Section 2290.10, and by these regulations, shall be no later than four (4) months and fifteen (15) days following the close of each calendar or fiscal year subsequent to the filing of the first report. The choice of calendar or fiscal year as a reporting period is up to the reporting institution.
(d) The Registrar of Charitable Trusts may grant such extensions of time within which to file any reports required by Civil Code Section 2290.10, or by these regulations, as he in the exercise of sound discretion shall deem appropriate; but in no event shall he extend the time to file any such report beyond a period of six (6) months from the time such report was originally due to be filed.
§405. Comparison Data to Be Filed Within One Year of First Report.
(a) Within one year of the filing of the first report required under the provisions of Civil Code Section 2290.10, and by these regulations, each institution filing such a report shall also file on a form prescribed by the Attorney General a report on the management of the institution's endowment fund for the five (5) years immediately preceding January 1, 1974.
(b) The purpose of such report is to provide comparison data on the management of the endowment funds of reporting institutions, by which a determination can be made whether the use of the powers granted under the provisions of The Uniform Management of Institutional Funds Act has resulted in improvements in the management of those funds.
§406. Filing of Written Statement by Institutions Electing Not to Avail Themselves of the Powers Granted Under the Provisions of The Uniform Management of Institutional Funds Act.
Every institution electing not to avail itself of the powers granted under the provisions of The Uniform Management of Institutional Funds Act in any calendar or fiscal year shall file with the Registrar of Charitable Trusts a written statement to that effect within the time that the institution would have been required to file a report, had it elected to use such powers.
§407. Confidentiality of Reports.
(a) Reports required to be filed under the provisions of Civil Code Section 2290.10, and by these regulations, shall be confidential. At the discretion of the Assistant Attorney General in charge of the Special Statutory Compliance Section of the Office of the Attorney General, such reports shall be made available to such outside consultants as it may be necessary or desirable to employ for the purpose of conducting a pilot study or studies of the management of endowment funds of institutions electing to use the powers granted under the provisions of The Uniform Management of Institutional Funds Act.
(b) Any information furnished voluntarily to the Office of the Attorney General by any institution electing not to use the powers granted by The Uniform Management of Institutional Funds Act, which information is furnished for the purpose of comparing the management of the endowment funds of such institutions with that of institutions electing to use the powers granted by the Act, shall be treated as specified in Section 407(a) above.
Note • History
This subchapter shall remain in effect until January 1, 1983, and as of that date is repealed.
NOTE
Authority cited: Section 2290.10, Civil Code. Reference: Sections 2290.1-2290.12, Civil Code.
HISTORY
1. Amendment filed 11-2-78 as an emergency; effective upon filing (Register 78, No. 44).
2. Certificate of Compliance filed 12-20-78 (Register 78, No. 51).
Chapter 4.6. Nonprofit Raffle Program Regulations Chapter 9 of Part 1, Title 9, Penal Code (Section 320.5, Penal Code)
Article 1. Title, Scope, and Definitions
Note • History
This chapter shall be known as the Department of Justice Regulations for the Nonprofit Raffle Program. These regulations implement, interpret and make specific the establishment of a registration and reporting program for specified nonprofit organizations, as required by Penal Code section 320.5, enacted by statute in 2000 and effective July 1, 2001. These regulations apply to any eligible organization, as defined in Penal Code section 320.5(c), which conducts a raffle as defined in Penal Code section 320.5(b) on or after July 1, 2001.
NOTE
Authority cited: Section 320.5(h), Penal Code. Reference: Section 320.5, Penal Code.
HISTORY
1. New chapter 4.6 (articles 1-5), article 1 (sections 410-411) and section filed 6-1-2001 as an emergency; operative 7-1-2001 (Register 2001, No. 22). 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.
2. New chapter 4.6 (articles 1-5), article 1 (sections 410-411) and section refiled 10-29-2001 as an emergency; operative 10-29-2001 (Register 2001, No. 44). A Certificate of Compliance must be transmitted to OAL by 2-26-2002 or emergency language will be repealed by operation of law on the following day.
3. New chapter 4.6 (articles 1-5), article 1 (sections 410-411) and section refiled 2-25-2002 as an emergency; operative 2-27-2002 (Register 2002, No. 9). A Certificate of Compliance must be transmitted to OAL by 6-27-2002 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 2-25-2002 order, including repealer and new section, transmitted to OAL 5-22-2002 and filed 7-2-2002 (Register 2002, No. 27).
5. Amendment of chapter heading and section filed 9-18-2012; operative 10-18-2012 (Register 2012, No. 38).
Note • History
The following definitions shall be applicable when used in these regulations:
(a) “Administrative information” means any information maintained by the Department of Justice (“DOJ”) that is reasonably necessary for DOJ to perform the duties required by Penal Code section 320.5. Such information includes, but is not limited to, the date a registration application or report is received, the date the registration takes effect, and the expiration date of the registration.
(b) “Attorney General” means the California Attorney General or any employee of the Attorney General acting under the authority of the Attorney General.
(c) “Department of Justice” means the California Department of Justice (“DOJ”) or any employee of DOJ acting under the authority of DOJ.
(d) “Eligible organization” means a private nonprofit organization as defined in Penal Code section 320.5(c) and excludes those entities specified in Penal Code section 320.5(h).
(e) “Fee” means the fee established by DOJ as authorized by Penal Code section 320.5(h).
(f) “Nonprofit Raffle Program” means all information, documents and other material filed with or maintained by DOJ, including registration applications and electronic databases, reports and any processes, procedures or other means of effectuating the requirements of Penal Code section 320.5.
(g) “Raffle” is defined in Penal Code section 320.5(b).
(h) “Registrant” means an eligible organization which has filed an application to be registered in the Nonprofit Raffle Program.
(i) “Registration application” or “registration form” means Form CT-NRP-1 (Rev. 05/2011) which is incorporated by reference.
(j) “Report” means the completed Form CT-NRP-2 (Rev. 05/2011) (which is incorporated by reference) that has been signed by a responsible fiduciary of the registrant declaring that the information therein is true and complete.
(k) “Responsible Fiduciary” and “Fiduciary” mean an authorized Officer or Director of the eligible organization.
NOTE
Authority cited: Section 320.5(h), Penal Code. Reference: Section 320.5, Penal Code.
HISTORY
1. New section filed 6-1-2001 as an emergency; operative 7-1-2001 (Register 2001, No. 22). 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.
2. New section refiled 10-29-2001 as an emergency; operative 10-29-2001 (Register 2001, No. 44). A Certificate of Compliance must be transmitted to OAL by 2-26-2002 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 2-25-2002 as an emergency; operative 2-27-2002 (Register 2002, No. 9). A Certificate of Compliance must be transmitted to OAL by 6-27-2002 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 2-25-2002 order, including repealer and new section, transmitted to OAL 5-22-2002 and filed 7-2-2002 (Register 2002, No. 27).
5. Amendment filed 9-18-2012; operative 10-18-2012 (Register 2012, No. 38).
Article 2. Manner of Registration, Who Must Register, Fee for Registration
Note • History
Every eligible organization shall, prior to conducting any raffle in California, be registered with DOJ in the Nonprofit Raffle Program. The organization shall submit a registration application on Form CT-NRP-1 (Rev. 05/2011), the form prescribed by DOJ, which shall contain all of the information required, including a statement signed by a responsible fiduciary of the eligible organization (such as an officer or director of the organization), attesting that the information provided is true and correct. If the organization plans to conduct more than one raffle during the annual registration period (September 1 through August 31), it must indicate on the application form each date on which it plans to conduct a raffle; however, if any date changes, the organization is not required to amend its application. Only one application is required during the annual registration period even if the organization conducts more than one raffle. The application shall be submitted in the manner required by these regulations. The registration application and the required fee shall be submitted to the address set forth in section 416.
An eligible organization is not registered until it has received written confirmation from DOJ as provided in section 422.
NOTE
Authority cited: Section 320.5(h), Penal Code. Reference: Section 320.5, Penal Code.
HISTORY
1. New article 2 (sections 415-420) and section filed 6-1-2001 as an emergency; operative 7-1-2001 (Register 2001, No. 22). 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.
2. New article 2 (sections 415-420) and section refiled 10-29-2001 as an emergency; operative 10-29-2001 (Register 2001, No. 44). A Certificate of Compliance must be transmitted to OAL by 2-26-2002 or emergency language will be repealed by operation of law on the following day.
3. New article 2 (sections 415-420) and section refiled 2-25-2002 as an emergency; operative 2-27-2002 (Register 2002, No. 9). A Certificate of Compliance must be transmitted to OAL by 6-27-2002 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 2-25-2002 order, including repealer and new section, transmitted to OAL 5-22-2002 and filed 7-2-2002 (Register 2002, No. 27).
5. Amendment filed 9-18-2012; operative 10-18-2012 (Register 2012, No. 38).
Note • History
The address to be used for delivery and receipt of mail, information, registration applications, amendments, fees, reports and other material required by Penal Code section 320.5 is:
DEPARTMENT OF JUSTICE
OFFICE OF THE ATTORNEY GENERAL
ATTN.: NONPROFIT RAFFLE PROGRAM
1300 I STREET
P.O. BOX 903447
SACRAMENTO, CA 94203-4470
The telephone number to be used for inquiries relating to the Nonprofit Raffle Program is (916) 445-2021, extension 9 or inquires may be made via email at raffles@doj.ca.gov.
NOTE
Authority cited: Section 320.5(h), Penal Code. Reference: Section 320.5, Penal Code.
HISTORY
1. New section filed 6-1-2001 as an emergency; operative 7-1-2001 (Register 2001, No. 22). 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.
2. New section refiled 10-29-2001 as an emergency; operative 10-29-2001 (Register 2001, No. 44). A Certificate of Compliance must be transmitted to OAL by 2-26-2002 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 2-25-2002 as an emergency; operative 2-27-2002 (Register 2002, No. 9). A Certificate of Compliance must be transmitted to OAL by 6-27-2002 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 2-25-2002 order, including repealer and new section, transmitted to OAL 5-22-2002 and filed 7-2-2002 (Register 2002, No. 27).
5. Amendment filed 9-18-2012; operative 10-18-2012 (Register 2012, No. 38).
Note • History
A completed registration form and registration fee must be submitted by September 1 of each year (i.e., September 1 through August 31) during which a raffle is expected to be conducted. If an eligible organization which is not registered determines after September 1 of any year that it will conduct a raffle during the year (September 1 through August 31), the organization shall submit its registration application at least 60 days before the date the raffle is held.
NOTE
Authority cited: Section 320.5(h), Penal Code. Reference: Section 320.5, Penal Code.
HISTORY
1. New section filed 6-1-2001 as an emergency; operative 7-1-2001 (Register 2001, No. 22). 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.
2. New section refiled 10-29-2001 as an emergency; operative 10-29-2001 (Register 2001, No. 44). A Certificate of Compliance must be transmitted to OAL by 2-26-2002 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 2-25-2002 as an emergency; operative 2-27-2002 (Register 2002, No. 9). A Certificate of Compliance must be transmitted to OAL by 6-27-2002 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 2-25-2002 order, including repealer and new section, transmitted to OAL 5-22-2002 and filed 7-2-2002 (Register 2002, No. 27).
5. Amendment filed 9-18-2012; operative 10-18-2012 (Register 2012, No. 38).
Note • History
The registration fee shall be determined by the DOJ. The fee is $20 for the initial one-year registration period. As provided in section 320.5 of the Penal Code, the fee may be increased as necessary to cover the actual costs of the Department of Justice to administer and enforce Penal Code section 320.5.
NOTE
Authority cited: Section 320.5(h), Penal Code. Reference: Section 320.5, Penal Code.
HISTORY
1. New section filed 6-1-2001 as an emergency; operative 7-1-2001 (Register 2001, No. 22). 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.
2. New section refiled 10-29-2001 as an emergency; operative 10-29-2001 (Register 2001, No. 44). A Certificate of Compliance must be transmitted to OAL by 2-26-2002 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 2-25-2002 as an emergency; operative 2-27-2002 (Register 2002, No. 9). A Certificate of Compliance must be transmitted to OAL by 6-27-2002 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 2-25-2002 order, including repealer and new section, transmitted to OAL 5-22-2002 and filed 7-2-2002 (Register 2002, No. 27).
§419. Registration Applications--Time for Processing. [Repealed]
Note • History
NOTE
Authority cited: Section 15376, Government Code; and Section 320.5, Penal Code. Reference: Section 15376, Government Code; and Section 320.5, Penal Code.
HISTORY
1. New section filed 6-1-2001 as an emergency; operative 7-1-2001 (Register 2001, No. 22). 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.
2. New section refiled 10-29-2001 as an emergency; operative 10-29-2001 (Register 2001, No. 44). A Certificate of Compliance must be transmitted to OAL by 2-26-2002 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 2-25-2002 as an emergency; operative 2-27-2002 (Register 2002, No. 9). A Certificate of Compliance must be transmitted to OAL by 6-27-2002 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 2-25-2002 order, including repealer and new section, transmitted to OAL 5-22-2002 and filed 7-2-2002 (Register 2002, No. 27).
5. Repealer filed 9-18-2012; operative 10-18-2012 (Register 2012, No. 38).
§419.1. Appeal Process. [Repealed]
Note • History
NOTE
Authority cited: Section 15378, Government Code; and Section 320.5, Penal Code. Reference: Section 15378, Government Code; and Section 320.5, Penal Code.
HISTORY
1. New section filed 7-2-2002; operative 7-2-2002 pursuant to Government Code section 11343.4 (Register 2002, No. 27).
2. Repealer filed 9-18-2012; operative 10-18-2012 (Register 2012, No. 38).
§419.2. Denial, Revocation or Suspension of Registration.
Note • History
(a) The DOJ may deny any registration application and may revoke or suspend any registration it has issued if the applicant:
(1) Submits false or misleading information in the application.
(2) Fails to meet or comply with any requirements set forth in Penal Code section 320.5 or these regulations.
(3) Engages in any conduct that is not in the best interests of the public's health, safety or general welfare.
(b) If the DOJ denies an application or revokes or suspends a registration it has issued, the DOJ shall inform the applicant in writing of the reasons for the denial, revocation or suspension.
(c) The eligible organization may reapply when it has remedied the matters which caused the denial, revocation or suspension.
NOTE
Authority cited: Section 320.5(h), Penal Code. Reference: Section 320.5, Penal Code.
HISTORY
1. New section filed 7-2-2002; operative 7-2-2002 pursuant to Government Code section 11343.4 (Register 2002, No. 27).
§419.3. Appeal of Denial, Revocation or Suspension.
Note • History
Each denial, revocation, or suspension of a registration, or any other administrative action taken against an applicant or registrant, shall be subject to Penal Code section 320.5(j).
NOTE
Authority cited: Section 320.5(h), Penal Code. Reference: Section 320.5, Penal Code.
HISTORY
1. New section filed 7-2-2002; operative 7-2-2002 pursuant to Government Code section 11343.4 (Register 2002, No. 27).
Note • History
Every eligible organization that is registered shall file, on or before October 1 of each year, a single report for the raffle or raffles conducted which shall contain all of the required information, including a statement signed by a responsible fiduciary of the eligible organization attesting that the information provided is true and correct. The report shall be filed with DOJ at the address set forth in section 416 on Form CT-NRP-2 (Rev. 05/2011) in the manner required by these regulations.
A single aggregate report shall be filed even if an organization conducts more than one raffle during the reporting year.
NOTE
Authority cited: Section 320.5(h), Penal Code. Reference: Section 320.5, Penal Code.
HISTORY
1. New section filed 6-1-2001 as an emergency; operative 7-1-2001 (Register 2001, No. 22). 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.
2. New section refiled 10-29-2001 as an emergency; operative 10-29-2001 (Register 2001, No. 44). A Certificate of Compliance must be transmitted to OAL by 2-26-2002 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 2-25-2002 as an emergency; operative 2-27-2002 (Register 2002, No. 9). A Certificate of Compliance must be transmitted to OAL by 6-27-2002 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 2-25-2002 order, including repealer and new section, transmitted to OAL 5-22-2002 and filed 7-2-2002 (Register 2002, No. 27).
5. Amendment filed 9-18-2012; operative 10-18-2012 (Register 2012, No. 38).
Article 3. Contents of and Access to the Non-Profit Raffle Program
§421. Nonprofit Raffle Program.
Note • History
DOJ shall maintain copies of all registration applications accepted for filing and copies of all reports provided pursuant to section 320.5 of the Penal Code, which together shall constitute the Nonprofit Raffle Program required by section 320.5 of the Penal Code. DOJ may retain the foregoing information in electronic form so long as actual copies are archived and retrievable for the period prescribed by law.
NOTE
Authority cited: Section 320.5(h), Penal Code. Reference: Section 320.5, Penal Code.
HISTORY
1. New article 3 (sections 421-423) and section filed 6-1-2001 as an emergency; operative 7-1-2001 (Register 2001, No. 22). 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.
2. New article 3 (sections 421-423) and section refiled 10-29-2001 as an emergency; operative 10-29-2001 (Register 2001, No. 44). A Certificate of Compliance must be transmitted to OAL by 2-26-2002 or emergency language will be repealed by operation of law on the following day.
3. New article 3 (sections 421-423) and section refiled 2-25-2002 as an emergency; operative 2-27-2002 (Register 2002, No. 9). A Certificate of Compliance must be transmitted to OAL by 6-27-2002 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 2-25-2002 order, including repealer and new section, transmitted to OAL 5-22-2002 and filed 7-2-2002 (Register 2002, No. 27).
5. Amendment of section heading and section filed 9-18-2012; operative 10-18-2012 (Register 2012, No. 38).
Note • History
After the DOJ has approved a registration application, the DOJ shall provide written confirmation to the eligible organization that it is registered.
NOTE
Authority cited: Section 320.5(h), Penal Code. Reference: Section 320.5, Penal Code.
HISTORY
1. New section filed 6-1-2001 as an emergency; operative 7-1-2001 (Register 2001, No. 22). 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.
2. New section refiled 10-29-2001 as an emergency; operative 10-29-2001 (Register 2001, No. 44). A Certificate of Compliance must be transmitted to OAL by 2-26-2002 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 2-25-2002 as an emergency; operative 2-27-2002 (Register 2002, No. 9). A Certificate of Compliance must be transmitted to OAL by 6-27-2002 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 2-25-2002 order, including repealer and new section, transmitted to OAL 5-22-2002 and filed 7-2-2002 (Register 2002, No. 27).
Note • History
After July 1, 2001, a raffle may be conducted by an eligible organization, provided the organization is registered with the DOJ as provided in section 320.5 of the Penal Code and these regulations.
NOTE
Authority cited: Section 320.5(h), Penal Code. Reference: Sections 320.5, Penal Code.
HISTORY
1. New section filed 6-1-2001 as an emergency; operative 7-1-2001 (Register 2001, No. 22). 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.
2. New section refiled 10-29-2001 as an emergency; operative 10-29-2001 (Register 2001, No. 44). A Certificate of Compliance must be transmitted to OAL by 2-26-2002 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 2-25-2002 as an emergency; operative 2-27-2002 (Register 2002, No. 9). A Certificate of Compliance must be transmitted to OAL by 6-27-2002 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 2-25-2002 order, including repealer and new section, transmitted to OAL 5-22-2002 and filed 7-2-2002 (Register 2002, No. 27).
Article 4. Penalties for False Registration or Misrepresentation
§424. Penalties for False Registration or Misrepresentation.
Note • History
An eligible organization that submits false or misleading information in the registration application, or fails to provide required information in either the registration form or the raffle report form shall be subject to denial, revocation or suspension of its registration. Each instance of a misrepresentation, submission of false information, or failure to submit required information in the registration or reporting process shall constitute a separate violation.
NOTE
Authority cited: Section 320.5(h), Penal Code. Reference: Section 320.5, Penal Code.
HISTORY
1. New article 4 (section 424) and section filed 6-1-2001 as an emergency; operative 7-1-2001 (Register 2001, No. 22). 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.
2. New article 4 (section 424) and section refiled 10-29-2001 as an emergency; operative 10-29-2001 (Register 2001, No. 44). A Certificate of Compliance must be transmitted to OAL by 2-26-2002 or emergency language will be repealed by operation of law on the following day.
3. New article 4 (section 424) and section refiled 2-25-2002 as an emergency; operative 2-27-2002 (Register 2002, No. 9). A Certificate of Compliance must be transmitted to OAL by 6-27-2002 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 2-25-2002 order, including repealer and new section, transmitted to OAL 5-22-2002 and filed 7-2-2002 (Register 2002, No. 27).
Article 5. Miscellaneous Provisions
§425. Requests by Attorney General.
Note • History
Eligible organizations shall furnish all information, documents and other records requested by DOJ including, but not limited to, information pursuant to Penal Code section 320.5(h) in order to enable the Attorney General and other law enforcement agencies to ascertain compliance with Penal Code section 320.5 and establish and maintain the Nonprofit Raffle Program.
NOTE
Authority cited: Section 320.5(h), Penal Code. Reference: Section 320.5, Penal Code.
HISTORY
1. New article 5 (sections 425-426) and section filed 6-1-2001 as an emergency; operative 7-1-2001 (Register 2001, No. 22). 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.
2. New article 5 (sections 425-426) and section refiled 10-29-2001 as an emergency; operative 10-29-2001 (Register 2001, No. 44). A Certificate of Compliance must be transmitted to OAL by 2-26-2002 or emergency language will be repealed by operation of law on the following day.
3. New article 5 (sections 425-426) and section refiled 2-25-2002 as an emergency; operative 2-27-2002 (Register 2002, No. 9). A Certificate of Compliance must be transmitted to OAL by 6-27-2002 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 2-25-2002 order, including repealer and new section, transmitted to OAL 5-22-2002 and filed 7-2-2002 (Register 2002, No. 27).
5. Amendment filed 9-18-2012; operative 10-18-2012 (Register 2012, No. 38).
§426. Inquiries and Investigations.
Note • History
Eligible organizations shall cooperate fully with any inquiry or investigation that may be undertaken by the Attorney General to enforce the provisions of Penal Code section 320.5.
NOTE
Authority cited: Section 320.5(h), Penal Code. Reference: Section 320.5, Penal Code.
HISTORY
1. New section filed 6-1-2001 as an emergency; operative 7-1-2001 (Register 2001, No. 22). 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.
2. New section refiled 10-29-2001 as an emergency; operative 10-29-2001 (Register 2001, No. 44). A Certificate of Compliance must be transmitted to OAL by 2-26-2002 or emergency language will be repealed by operation of law on the following day.
3. New section refiled 2-25-2002 as an emergency; operative 2-27-2002 (Register 2002, No. 9). A Certificate of Compliance must be transmitted to OAL by 6-27-2002 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 2-25-2002 order, including repealer and new section, transmitted to OAL 5-22-2002 and filed 7-2-2002 (Register 2002, No. 27).
Chapter 4.7. Regulations for the California Gang, Crime, and Violence Prevention Partnership Program
Article 1. General Provisions
Note • History
This Chapter shall be known as the Regulations for the California Gang, Crime, and Violence Prevention Partnership (GCVPP) Program. It may be cited as such and will be referred to in this Chapter as “these regulations.”
NOTE
Authority cited: Sections 13825.3(c) and 13825.5, Penal Code. Reference: Sections 13825.1-13825.5, Penal Code.
HISTORY
1. New chapter 4.7 (articles 1-6, sections 435-485), article 1 (sections 435-437) and section filed 5-6-2002 as an emergency; operative 5-6-2002 (Register 2002, No. 19). A Certificate of Compliance must be transmitted to OAL by 9-3-2002 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 5-6-2002 order transmitted to OAL by 8-30-2002 and filed 10-10-2002 (Register 2002, No. 41).
Note • History
The GCVPP Program will provide funding to community-based organizations (CBOs) and non-profit agencies to implement prevention and intervention activities that have a demonstrated record of success in accordance with these regulations and Penal Code Sections 13825.1 through 13825.6. By means of these prevention and intervention activities, the purpose of the GCVPP Program is to help reduce the level of gang involvement, criminal activity, and youth violence to the extent authorized by legislation in communities with a high incidence of gang violence.
These regulations shall set forth the general provisions, applicant requirements, the selection process, funding information, use of funds, and program administration information.
NOTE
Authority cited: Sections 13825.3(c) and 13825.5, Penal Code. Reference: Sections 13825.1-13825.5, Penal Code.
HISTORY
1. New section filed 5-6-2002 as an emergency; operative 5-6-2002 (Register 2002, No. 19). A Certificate of Compliance must be transmitted to OAL by 9-3-2002 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 5-6-2002 order, including amendment of second paragraph, transmitted to OAL by 8-30-2002 and filed 10-10-2002 (Register 2002, No. 41).
Note • History
The words used in this Chapter have the following meanings:
(a) “Applicant” means a community-based organization or non-profit agency that submits a proposal for California Gang, Crime, and Violence Prevention Partnership Program funds.
(b) “Blanket fidelity bond” means an insurance document to protect public funds by assuring reimbursement by the grantee of the DOJ grant award funds which are stolen or otherwise misappropriated by officials and/or employees of a DOJ grantee.
(c) “The California Gang, Crime, and Violence Prevention Partnership Program,” or the “GCVPP”, is the title of the program which is mandated by Penal Code Section 13825.1 et seq. to be administered by the DOJ.
(d) “Community-based organization” or “CBO”, for the purposes of the GCVPP Program, means an organization established to serve at-risk youth, their families, schools, and the community with programs of prevention and intervention services and activities.
(e) The “DOJ” means the Department of Justice in the State of California.
(f) “Four-year funding cycle” means four 12-month grant periods based on the initial grant application with the DOJ option to renew for three additional grant periods.
(g) “Gang” means a group of people who form an alliance for a common purpose, engage in criminal activity, and follow one or more of these criteria: have a common name, have a structured dress style, have a common symbol, frequently congregate on and claim a geographical location, and associate on a regular and continual basis.
(h) “Grant period” means a 12-month period of funding based on the state fiscal budget year of July 1 to June 30.
(i) “Grantee” means an organization or agency that has been awarded a GCVPP Program grant by the DOJ.
(j) “Memorandum of Understanding”, or “MOU,” means a signed agreement between the applicant agency and each collaborative partner, other CBO, or non-profit agency that provides services and or activities to the grant.
(k) “Non-profit agency” means a private, non-profit agency that is certified as a tax-exempt organization under Title 26, United States Code, Section 501(c)(3).
(l) “Operational Agreement”, or “OA,” means a signed agreement between the applicant agency and each collaborative partner, other CBO, or non-profit agency that provides services or activities to the grant.
(m) “Outside Evaluator” for the GCVPP Program means an individual acting under contract or by agreement with a grantee, to conduct the evaluation as required in Sections 442 and 468 of these regulations.
(n) “Program Manager” means the DOJ staff employee responsible for the management and oversight of the GCVPP Program.
(o) “Project” means the provided services and activities funded under the terms of the Grant Award Agreement pursuant to Section 450 of these regulations.
(p) “Request for Proposal”, or “RFP,” means the document from the DOJ to interested parties requesting proposals for funding.
NOTE
Authority cited: Sections 13825.3(c) and 13825.5, Penal Code. Reference: Sections 13825.1-13825.5, Penal Code.
HISTORY
1. New section filed 5-6-2002 as an emergency; operative 5-6-2002 (Register 2002, No. 19). A Certificate of Compliance must be transmitted to OAL by 9-3-2002 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 5-6-2002 order, including amendment of section, transmitted to OAL by 8-30-2002 and filed 10-10-2002 (Register 2002, No. 41).
Article 2. Applicant Requirements
Note • History
(a) Applicant CBOs and non-profit agencies shall provide services in a community with a high incidence of gang violence as defined by Penal Code Section 13825.2.
(b) Applicants shall meet the eligibility requirements as set forth in Penal Code Sections 13825.4 and 13825.5.
(c) Applicants shall have the ability to participate in the evaluation as set forth in Sections 442 and 468 of these regulations.
NOTE
Authority cited: Sections 13825.3(c) and 13825.5, Penal Code. Reference: Sections 13825.2, 13825.4 and 13825.5, Penal Code.
HISTORY
1. New article 2 (sections 438-442) and section filed 5-6-2002 as an emergency; operative 5-6-2002 (Register 2002, No. 19). A Certificate of Compliance must be transmitted to OAL by 9-3-2002 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 5-6-2002 order, including amendment of section, transmitted to OAL by 8-30-2002 and filed 10-10-2002 (Register 2002, No. 41).
Note • History
(a) The GCVPP Program's RFP will be released by the DOJ at the end of each four-year funding cycle on a competitive, statewide basis and shall set forth the requirements for the submission of a proposal for funding in accordance with these regulations.
(b) Applicants must submit four copies of the complete proposal, one of which must have the original signature on the grant proposal cover sheet of the applicant's authorized officer or agent, and the fiscal officer.
(c) A complete proposal includes:
(1) Grant proposal checklist, which includes check boxes for items one through nine.
(2) Evidence of the applicant's CBO or non-profit agency status.
(3) Grant proposal cover sheet, which includes the following applicant information:
(A) Grant amount requested.
(B) Agency name.
(C) County.
(D) Street address.
(E) Telephone and FAX numbers.
(F) E-mail address.
(G) Name of the organization's or agency's executive director and designated contact person.
(H) Contact name, agency telephone number, and E-mail address of any collaborative partner(s).
(I) The original signatures of the applicant's authorized officer or agent and the fiscal officer.
(4) A project narrative detailing the following:
(A) Applicant qualifications, as required by Penal Code Section 13825.5, which includes information demonstrating at least two years of experience in the administration of a program providing prevention or intervention services that have positively affected the attitudes and behaviors of at-risk youth toward gangs, crime, or violence.
(B) Problem statement/documentation of need, supported by local or federal law enforcement agency data, which includes a description of the demographics of the targeted service area, including geographical boundaries, economic composition, and ethnic breakdown of the community, data that clearly demonstrates the size and scope of the youth gang, crime, and violence problems in their community, a description of the at-risk youth population in the targeted service area, including its size and the level of its disproportion to the general youth population of the community, a description of the underlying risk factors that have contributed to the youth violence problem in the community, and the ratio of juvenile arrests compared to the general youth population of their community.
(C) At-risk target population, which includes a description of the proposed at-risk target population, a description of how the services and activities under the proposed project address and strengthen identified protective factors, a description which includes the number of youth, family, and siblings projected to be served under the project, a description that details how the targeted at-risk population and the projected number of youth served supports the documented needs addressed in the problem statement, a description of the plan or process the applicant will use to ensure that the at-risk youth population for the proposed project meets the at-risk criteria required in the law, and a description of how the services and activities provided under the proposed project will demonstrated a change in attitudes and behaviors of the youth served.
(D) Project description, which includes the applicant's chosen project services and activities as referenced in Penal Code Section 13825.4(a)(1-4), and the goals and objectives of the proposed services and activities, a description of the staff that will provide the services and activities, where the services and activities will be provided, the at-risk factors the youth served meet, and how applicants providing mentoring services will use the Quality Assurance Standards of the Governor's Mentoring Partnership as required by Section 441(b) of these regulations. Supporting documents will include MOUs, OAs, the goal and objective summary sheets, and the project summary sheets as referred to in subsection (c)(5) and (c)(7) of this regulation.
(E) Project implementation plan, which includes the identification, roles, and responsibilities of all collaborative members, other CBOs or non-profit agencies not included in the collaborative, that serve as service providers for the project services and activities in the proposed project. The plan must include a description of the resource providers within the community which should result in an overall assessment of the resources that are available to youth and their families. The plan shall also include, a description of the plan for providing parents and families with support, services, and information, a plan to involve members of the at-risk target population in the development, coordination, implementation, and evaluation of the project, and a description of how the project will expand current prevention and intervention services in the targeted community.
(F) Project evaluation plan, which includes the methods to be used for the objective evaluation of their services and activities to determine changes in attitudes and behaviors of the at-risk youth, information on how the service providers will be monitored, what the local evaluation will address, and how the results of the evaluation will be used for program planning and implementation for future projects in the community.
(G) Budget narrative, which summarizes the applicant's proposed budget and how it supports the stated services and activities, how funds are allocated to support direct services through the duties of the project-funded staff, including any qualifications and/or educational requirements, how the project-funded staff duties and time commitments support the proposed services and activities, the necessity for any subcontracts, and any unusual expenditures. Supporting documentation for the budget narrative are the budget sheets, referred to in subsection (c)(6), of this regulation.
(5) Memoranda of Understanding or Operational Agreements with each collaborative partner, CBO and/or non-profit agency, outside of the applicant's agency providing services to the project. These annual agreements must be in accordance with Section 461 of these regulations.
(6) Budget sheets setting forth the first year's budget, which includes line-item detail of personnel services and operating expenses.
(7) Goal and objective summary sheets and project summary sheet.
(8) An original or certified copy of a resolution from the governing board or council authorizing the applicant to enter into a Grant Award Agreement and a commitment to participate in the entire four-year funding cycle with the DOJ, if available at the time of application. If not available, the resolution must be provided prior to execution of the Grant Award Agreement in accordance with Section 450 of these regulations.
(9) Request for advance funds, if deemed necessary by the applicant, and in accordance with Section 471 of these regulations.
NOTE
Authority cited: Sections 13825.3(c) and 13825.5, Penal Code. Reference: Sections 13825.2, 13825.3, 13825.4 and 13825.5, Penal Code.
HISTORY
1. New section filed 5-6-2002 as an emergency; operative 5-6-2002 (Register 2002, No. 19). A Certificate of Compliance must be transmitted to OAL by 9-3-2002 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 5-6-2002 order, including amendment of section, transmitted to OAL by 8-30-2002 and filed 10-10-2002 (Register 2002, No. 41).
§440. At-Risk Target Population.
Note • History
(a) The target population for the GCVPP Program is at-risk youth, ages five to 20, who meet the at-risk factors set forth in Penal Code Sections 13825.2(a) and 13825.4(c).
(b) The at-risk target population must include one or more of the attitudinal and behavioral factors as set forth in Penal Code Section 13825.4(c)(3)-(10).
(c) Applicants are encouraged to provide services and activities to at-risk youth, ages eight to 14, not involved in gangs.
NOTE
Authority cited: Sections 13825.3(c) and 13825.5, Penal Code. Reference: Sections 13825.2 and 13825.4, Penal Code.
HISTORY
1. New section filed 5-6-2002 as an emergency; operative 5-6-2002 (Register 2002, No. 19). A Certificate of Compliance must be transmitted to OAL by 9-3-2002 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 5-6-2002 order transmitted to OAL by 8-30-2002 and filed 10-10-2002 (Register 2002, No. 41).
§441. Services and Activities.
Note • History
(a) All applicants are required to provide services and activities as set forth in Penal Code Section 13825.4 (a) and (b).
(b) Applicants proposing to provide mentoring services must follow the Governor's Mentoring Partnership, Quality Assurance Standards, Publication Number (ADP) 02-1121, February 2002, which is hereby incorporated by reference in its entirety. This document can be obtained through the Office of the Attorney General's Crime and Violence Prevention Center's Web site at http://www.safestate.org/documents/governorsmentoringstandards.pdf.
NOTE
Authority cited: Sections 13825.3(c) and 13825.5, Penal Code. Reference: Section 13825.4, Penal Code.
HISTORY
1. New section filed 5-6-2002 as an emergency; operative 5-6-2002 (Register 2002, No. 19). A Certificate of Compliance must be transmitted to OAL by 9-3-2002 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 5-6-2002 order, including amendment of subsection (b), transmitted to OAL by 8-30-2002 and filed 10-10-2002 (Register 2002, No. 41).
Note • History
(a) Applicants must have the ability to objectively evaluate the effectiveness of their services and activities as required by Penal Code Section 13825.4(d)(7), and set forth in Section 468 of these regulation.
(b) Applicants must obtain a qualified Outside Evaluator as required in Section 469(e) of these regulations in order to perform the required evaluation activities.
NOTE
Authority cited: Sections 13825.3(c) and 13825.5, Penal Code. Reference: Section 13825.4, Penal Code.
HISTORY
1. New section filed 5-6-2002 as an emergency; operative 5-6-2002 (Register 2002, No. 19). A Certificate of Compliance must be transmitted to OAL by 9-3-2002 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 5-6-2002 order, including amendment of subsection (b), transmitted to OAL by 8-30-2002 and filed 10-10-2002 (Register 2002, No. 41).
Article 3. Selection Process
§443. Applicant Proposal Review.
Note • History
(a) Proposals that meet the deadline for submission of the RFP as specified and provide the required documentation of CBO or non-profit agency status will be read, evaluated, and rated.
(b) Proposals that do not meet the requirement set forth in subsection (a) above will be disqualified and will not be read, evaluated, or rated.
(c) Proposals will be read, evaluated, and rated according to the specific requirements of Sections 444 and 445 of these regulations.
(d) The DOJ will advise applicants that their proposal was incomplete or disqualified only after completion of the entire rating process.
NOTE
Authority cited: Sections 13825.3(c) and 13825.5, Penal Code. Reference: Sections 13825.3 and 13825.5, Penal Code.
HISTORY
1. New article 3 (sections 443-450 and Appendix A) and section filed 5-6-2002 as an emergency; operative 5-6-2002 (Register 2002, No. 19). A Certificate of Compliance must be transmitted to OAL by 9-3-2002 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 5-6-2002 order, including amendment of subsections (a) and (d), transmitted to OAL by 8-30-2002 and filed 10-10-2002 (Register 2002, No. 41).
Note • History
(a) Each proposal will be read, evaluated, and rated solely on its individual merit by a team of three raters based upon the applicant's proposed efficiency and effectiveness in providing the services and activities set forth in Penal Code Section 13825.4(a) and these regulations.
(b) A pool of qualified raters will be selected from DOJ staff, as well as from staff from other agencies, who have experience working with youth programs.
(c) Each rater will individually:
(1) Assign a numerical score to the narrative sections of the proposal, as set forth in Section 439(c)(4)(A-G) of these regulations as follows:
(A) The applicant qualifications section has one question with a total point value of 40 possible points.
(B) The applicant's description of the problem and documentation of need has five questions with a total point value of 40 possible points.
(C) The applicant's at-risk target population has six questions with a total point value of 80 possible points.
(D) The applicant's project description has five questions with a total point value of 100 possible points.
(E) The applicant's project implementation plan has six questions with a total point value of 60 possible points.
(F) The applicant's project evaluation plan has four questions with a total point value of 60 possible points.
(G) The applicant's budget narrative has three questions with a total point value of 40 possible points.
(2) Rate each section of the proposal using a numerical scale which sets forth the maximum and minimum points. The point value varies with the importance of the question and the rater responds using the following five categories:
(A) Does not respond to the question.
(B) The information presented does not provide a good response to the information requested in the specified section of the RFP. The response does not present an argument supporting the applicant's proposal.
(C) The information presented provides an adequate response to the information requested in the specified section of the RFP. The response presents a persuasive argument supporting the applicant's proposal.
(D) The information presented provides a more than adequate response to the information requested in the specified section of the RFP and gives a clear and detailed response to the information requested. The response presents a very persuasive argument supporting the applicant's proposal.
(E) The information presented provides an outstanding response to the information requested in the specified section of the RFP, gives a clear and detailed response, and provides highly relevant information exceeding the information requested. The response presents a highly persuasive and compelling argument supporting the applicant's proposal.
(d) The separate scores of each rater of the team will be averaged to obtain a single score for the proposal.
(e) The averaged scores of all proposals will be ranked in order from highest to lowest to establish a proposed funding list for the GCVPP Program.
(f) If proposals are tied and it is necessary to break the tie, the tie will be broken by the re-rating of the proposals by another team of independent raters that have not previously participated in rating the tied proposals.
NOTE
Authority cited: Sections 13825.3(c) and 13825.5, Penal Code. Reference: Sections 13825.3 and 13825.5, Penal Code.
HISTORY
1. New section filed 5-6-2002 as an emergency; operative 5-6-2002 (Register 2002, No. 19). A Certificate of Compliance must be transmitted to OAL by 9-3-2002 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 5-6-2002 order, including amendment of section, transmitted to OAL by 8-30-2002 and filed 10-10-2002 (Register 2002, No. 41).
Note • History
The rating sheets to be used for the 2002-2006 four-year funding cycle are set forth in Appendix A to this Article.
NOTE
Authority cited: Sections 13825.3(c) and 13825.5, Penal Code. Reference: Sections 13825.3 and 13825.5, Penal Code.
HISTORY
1. New section filed 5-6-2002 as an emergency; operative 5-6-2002 (Register 2002, No. 19). A Certificate of Compliance must be transmitted to OAL by 9-3-2002 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 5-6-2002 order transmitted to OAL by 8-30-2002 and filed 10-10-2002 (Register 2002, No. 41).
§446. Site Visit to Finalists.
Note • History
(a) At a minimum, those applicants ranking within funding level on the proposed funding list must participate in a site visit conducted by DOJ staff prior to the posting of the Notice of the Intent to Fund.
(b) The site visit will include, but not be limited to, a review and verification of the information represented in the applicant's proposal.
(c) Failure to adequately verify the information represented in the applicant's proposal will result in the elimination from the proposed funding list established by the rating process and the next applicant on the proposed funding list will be visited for proposed funding.
NOTE
Authority cited: Sections 13825.3(c) and 13825.5, Penal Code. Reference: Sections 13825.3 and 13825.5, Penal Code.
HISTORY
1. New section filed 5-6-2002 as an emergency; operative 5-6-2002 (Register 2002, No. 19). A Certificate of Compliance must be transmitted to OAL by 9-3-2002 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 5-6-2002 order, including amendment of subsection (a), transmitted to OAL by 8-30-2002 and filed 10-10-2002 (Register 2002, No. 41).
§447. Notice of Intent to Fund.
Note • History
(a) Upon completion of the site visit process, a Notice of Intent to Fund will be posted at the Office of the Attorney General at 1300 I Street in Sacramento, and will also be posted on the Attorney General's Web site at http://www.safestate.org/index.cfm?navID=228 for a five working-day period.
(b) The Notice of Intent to Fund will have an alphabetical listing of all proposed grantees and proposed funding levels.
NOTE
Authority cited: Sections 13825.3(c) and 13825.5, Penal Code. Reference: Sections 13825.3 and 13825.5, Penal Code.
HISTORY
1. New section filed 5-6-2002 as an emergency; operative 5-6-2002 (Register 2002, No. 19). A Certificate of Compliance must be transmitted to OAL by 9-3-2002 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 5-6-2002 order, including amendment of subsection (a), transmitted to OAL by 8-30-2002 and filed 10-10-2002 (Register 2002, No. 41).
Note • History
(a) Applicants may protest the Notice of Intent to Fund by filing a written protest with the DOJ's Crime and Violence Prevention Center at 1300 I Street, Sacramento, CA, 95814.
(b) The protest must be received by the DOJ within five working days from the date of posting of the Notice of Intent to Fund.
(c) The applicant must file their written protest setting forth the grounds on which they base their contentions that the selection process violated Penal Code Sections 13825.1 et. seq.
(d) Upon receipt of a protest, the DOJ will review the protest and respond in writing to the applicant within five working days.
NOTE
Authority cited: Sections 13825.3(c) and 13825.5, Penal Code. Reference: Sections 13825.3 and 13825.5, Penal Code.
HISTORY
1. New section filed 5-6-2002 as an emergency; operative 5-6-2002 (Register 2002, No. 19). A Certificate of Compliance must be transmitted to OAL by 9-3-2002 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 5-6-2002 order transmitted to OAL by 8-30-2002 and filed 10-10-2002 (Register 2002, No. 41).
Note • History
(a) If the RFP is not canceled, awards will be announced within 10 working days after the posting of the Notice of Intent to Fund.
(b) A Notice of Award setting out an alphabetical listing of grantees and grant amounts will be posted at the Office of the Attorney General at 1300 I Street in Sacramento, and will be posted on the Attorney General's Web site at http://www.safestate.org/index.cfm?navID=228.
(c) All applicants who submitted a proposal will be notified of the results in writing at the completion of the selection process.
NOTE
Authority cited: Sections 13825.3(c) and 13825.5, Penal Code. Reference: Sections 13825.3 and 13825.5, Penal Code.
HISTORY
1. New section filed 5-6-2002 as an emergency; operative 5-6-2002 (Register 2002, No. 19). A Certificate of Compliance must be transmitted to OAL by 9-3-2002 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 5-6-2002 order, including amendment of subsection (b), transmitted to OAL by 8-30-2002 and filed 10-10-2002 (Register 2002, No. 41).
Note • History
(a) Within 60 calendar days of the Notice of Award, proposed grantees must complete any minor budgetary or programmatic revisions negotiated with DOJ staff prior to the Grant Award Agreement being signed and the beginning of project implementation.
(b) Any modifications made during the negotiations will not substantially change the original grant application services and activities selected for funding.
(c) Funding will only be made available to proposed grantees pursuant to a Grant Award Agreement, signed by the authorizing officer or agent for the grant and the DOJ, which will include:
(1) Grant Award Face Sheet, which sets forth the:
(A) Funding level of state funds.
(B) Matching funds specified in Section 453, when applicable.
(C) Total grant amount disbursed on an annual basis.
(D) Effective dates of the grant period.
(2) The approved proposal.
(3) Certificate of Assurance, which certifies that the applicant will comply with GCVPP Program regulations.
(4) DOJ-approved MOUs or OAs between the applicant agency and all other service providers.
(5) An original or certified copy of a resolution from the governing board or council authorizing the applicant to enter into a Grant Award Agreement, documenting a commitment to participate in the entire four-year funding cycle with the DOJ, if not provided with the proposal.
(6) Drug Free Workplace Certification, as required by Government Code Sections 8350-8357.
(d) The Grant Award Agreement is subject to:
(1) Any additional restrictions, limitations, or conditions enacted by the Legislature and contained in the Budget Act(s).
(2) Any statute enacted by the Legislature which may affect the provisions, terms, or funding of the grant.
(e) If any or all of the above conditions are not met, the DOJ reserves the right to not award grant funds and to fund the next eligible applicant on the proposed funding list.
NOTE
Authority cited: Sections 13825.3(c) and 13825.5, Penal Code. Reference: Sections 13825.3 and 13825.5, Penal Code.
HISTORY
1. New section and Appendix A filed 5-6-2002 as an emergency; operative 5-6-2002 (Register 2002, No. 19). A Certificate of Compliance must be transmitted to OAL by 9-3-2002 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 5-6-2002 order, including amendment of subsections (c)(3) and (c)(5) and new revision of Appendix A, transmitted to OAL by 8-30-2002 and filed 10-10-2002 (Register 2002, No. 41).
Appendix A
Article 4. Funding
Note • History
(a) Project funding will be based on an initial 12-month grant period, subject to three annual renewals and any statutory or regulatory changes, for a four-year funding cycle.
(b) An extension of the12-month grant period, not to exceed three months, may be authorized and approved by the DOJ if based upon adequate justification and program necessity. The Grant Program Extension Request shall be signed by the authorizing officer or agent and the fiscal officer for the grant, as well as the DOJ, and sets forth the following:
(1) Organization name.
(2) Project title.
(3) Grant award number
(4) Amendment number, if applicable.
(5) Original grant award.
(6) Requested dates of extension.
(7) Previous extensions, if applicable.
(8) Total number of months of the original grant award.
(9) Total number of months of the grant award, including extensions.
(10) Total grant funds awarded.
(11) Total grant funds to be extended
(12) Justification for extension and statement of impact if extension is denied.
(c) Upon completion of a four-year funding cycle, a new RFP will be released and new GCVPP Program grantees will be selected on a statewide, competitive basis.
NOTE
Authority cited: Sections 13825.3(c) and 13825.5, Penal Code. Reference: Sections 13825.3 and 13825.5, Penal Code.
HISTORY
1. New article 4 (sections 451-453) and section filed 5-6-2002 as an emergency; operative 5-6-2002 (Register 2002, No. 19). A Certificate of Compliance must be transmitted to OAL by 9-3-2002 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 5-6-2002 order transmitted to OAL by 8-30-2002 and filed 10-10-2002 (Register 2002, No. 41).
Note • History
(a) If the state budget allocates funding for the GCVPP Program, the DOJ will award funding, less administrative costs, to a funding level of up to $237,500 for each grantee per grant period.
(b) The DOJ does not have the authority to disburse or reimburse any costs incurred until the state budget and DOJ allocation is passed and the Grant Award Agreement is fully executed.
(c) All funds made available to the DOJ for the purpose of this grant shall be disbursed to grantees that comply with the requirements of Penal Code Sections 13825.1 through 13825.5 and these regulations.
(d) If more grant funds are made available in the state budget or by elimination of a grantee during the four-year funding cycle, the existing grantees in that four-year funding cycle will receive a prorated share of the funds equally divided among all grantees upon execution of a modified Grant Award Agreement.
(e) If enough funds are made available from the State Budget within a four-year funding cycle to fund additional projects, the DOJ will release a new RFP for a new four year funding cycle for newly funded projects.
NOTE
Authority cited: Sections 13825.3(c) and 13825.5, Penal Code. Reference: Sections 13825.3 and 13825.5, Penal Code.
HISTORY
1. New section filed 5-6-2002 as an emergency; operative 5-6-2002 (Register 2002, No. 19). A Certificate of Compliance must be transmitted to OAL by 9-3-2002 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 5-6-2002 order, including amendment of section, transmitted to OAL by 8-30-2002 and filed 10-10-2002 (Register 2002, No. 41).
Note • History
(a) All grantees must provide a cash or in-kind match to the state funds in the second, third, and fourth years of the grant funding cycle. The grant match is as follows:
(1) A five percent match in the second year.
(2) A 10 percent match in the third year.
(3) A 15 percent match in the fourth year.
(b) The cash or in-kind match may be one or any combination of the following:
(1) Cash.
(2) Services.
(3) Resources of comparable value, such as materials, personnel, and facilities.
(4) Private foundation funds or in-kind contributions from other agencies that demonstrate community support.
(c) Cash match is income from a source other than state or federal funds that is budgeted for the project. When used to augment the project, cash expenditures for items such as personnel, facilities, and supplies may be considered a cash match, if not in violation of Article Five of these regulations.
(d) In-kind match is the project's contribution of non-cash outlay of materials or resources to support a percentage of the project-funded services and activities.
(1) It may include non-cash outlay contributed by other public agencies and institutions, private organizations, or individuals.
(2) Examples of in-kind match include donated office supplies, equipment, professional services, or volunteer time.
(3) In general, the value of in-kind contributions is determined by fair market value.
NOTE
Authority cited: Sections 13825.3(c) and 13825.5, Penal Code. Reference: Sections 13825.3 and 13825.5, Penal Code.
HISTORY
1. New section filed 5-6-2002 as an emergency; operative 5-6-2002 (Register 2002, No. 19). A Certificate of Compliance must be transmitted to OAL by 9-3-2002 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 5-6-2002 order transmitted to OAL by 8-30-2002 and filed 10-10-2002 (Register 2002, No. 41).
Article 5. Use of Funds
Note • History
(a) Allowable personnel expenses are defined as those necessary to provide direct services under the grant.
(b) Grant funds may be used to pay for direct personnel services including, but not limited to, counselors, community workers, clerical, and other project staff.
(c) Personnel costs must be identified on the personnel budget sheet by position, duties, percentage of the salary, and benefits paid by the grant.
(d) All other persons must be shown as consultants on the operating expense budget sheet and supported by a contract, an MOU, or an OA.
(e) Administrative staffing costs (i.e., Executive Director, Project Director not providing direct services to youth) may not exceed 10 percent of the total grant amount and cannot be included in the indirect costs.
(f) Administrative personnel who provide direct services must maintain accurate records to demonstrate time usages attributable to the grant.
NOTE
Authority cited: Sections 13825.3(c) and 13825.5, Penal Code. Reference: Section 13825.4, Penal Code.
HISTORY
1. New article 5 (sections 454-463) and section filed 5-6-2002 as an emergency; operative 5-6-2002 (Register 2002, No. 19). A Certificate of Compliance must be transmitted to OAL by 9-3-2002 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 5-6-2002 order, including amendment of subsection (c), transmitted to OAL by 8-30-2002 and filed 10-10-2002 (Register 2002, No. 41).
Note • History
(a) Allowable operating expenses are defined as necessary expenditures, exclusive of personnel salaries and benefits, directly charged to the project and cannot be included in the indirect costs.
(b) Operating expenses must be clearly listed on budget sheets in line-item detail.
(c) Out-of-state travel and per diem are allowable operating expenses, subject to prior DOJ approval. Approval must be requested in writing, documenting the purpose of the travel, location, the benefit to the program goals and objectives, the cost, and how the proposed travel will further the intent of the grant award.
(d) Audit costs are allowable operating expenses as defined in Section 462 of these regulations and must be identified on the operating expenses budget sheets.
NOTE
Authority cited: Sections 13825.3(c) and 13825.5, Penal Code. Reference: Section 13825.4, Penal Code.
HISTORY
1. New section filed 5-6-2002 as an emergency; operative 5-6-2002 (Register 2002, No. 19). A Certificate of Compliance must be transmitted to OAL by 9-3-2002 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 5-6-2002 order, including new subsection (d), transmitted to OAL by 8-30-2002 and filed 10-10-2002 (Register 2002, No. 41).
Note • History
(a) Allowable equipment includes, but is not limited to, computer equipment, furniture and office equipment, telephone systems, and motorized vehicle purchase or lease. A DOJ Equipment Property Sticker is required on all equipment, which is (1) non-expendable, tangible personal property; (2) having a useful life of more than one year; and (3) having a cost over $499 per unit.
(b) Equipment purchases are not to exceed five percent of the total project budget and are not to be included in the indirect costs.
(c) Any equipment purchases under $499 are allowable and must be in line-item detail on budget sheets under operating expenses.
NOTE
Authority cited: Sections 13825.3(c) and 13825.5, Penal Code. Reference: Section 13825.4, Penal Code.
HISTORY
1. New section filed 5-6-2002 as an emergency; operative 5-6-2002 (Register 2002, No. 19). A Certificate of Compliance must be transmitted to OAL by 9-3-2002 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 5-6-2002 order, including amendment of section, transmitted to OAL by 8-30-2002 and filed 10-10-2002 (Register 2002, No. 41).
Note • History
(a) Each grantee must budget for the costs involved in obtaining the services of an Outside Evaluator to conduct the local evaluation, and to participate in the statewide evaluation and data collection effort pursuant to Section 468 of these regulations.
(b) Each grant period, a grantee may budget up to 15 percent of the total grant award for evaluation costs.
NOTE
Authority cited: Sections 13825.3(c) and 13825.5, Penal Code. Reference: Section 13825.4, Penal Code.
HISTORY
1. New section filed 5-6-2002 as an emergency; operative 5-6-2002 (Register 2002, No. 19). A Certificate of Compliance must be transmitted to OAL by 9-3-2002 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 5-6-2002 order transmitted to OAL by 8-30-2002 and filed 10-10-2002 (Register 2002, No. 41).
Note • History
(a) Allowable indirect costs are defined as shared costs not readily itemized or assignable to a particular project, but are necessary to the operation of the organization or agency to perform the grant-related services and activities.
(b) Grantees may charge a flat, indirect cost rate not exceeding 10 percent of the total salaries, excluding benefits and overtime, or five percent of the total direct project cost, excluding equipment purchases, and must be clearly identified on the operating expenses budget sheet.
NOTE
Authority cited: Sections 13825.3(c) and 13825.5, Penal Code. Reference: Section 13825.4, Penal Code.
HISTORY
1. New section filed 5-6-2002 as an emergency; operative 5-6-2002 (Register 2002, No. 19). A Certificate of Compliance must be transmitted to OAL by 9-3-2002 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 5-6-2002 order transmitted to OAL by 8-30-2002 and filed 10-10-2002 (Register 2002, No. 41).
§459. Travel and Per Diem Costs.
Note • History
(a) Grantees are required to include in their budgets sufficient per diem and travel allocations for project-related personnel and/or subcontractors to conduct project business and to attend the mandated DOJ training and meetings.
(b) Grantees must maintain documentation of travel to support the travel expenditure(s), including, but not limited to, travel claims, mileage logs, and receipt vouchers.
(c) Project-related personnel and/or subcontractors are required to adhere to the per diem rates and policies established by the State of California in the California Code of Regulations Title 2, Section 599.619 and 559.631.
(d) Grantees may use their travel and per diem policy only if the policy is more restrictive than that of the State of California.
(e) Out-of-state travel by project-related personnel and/or subcontractors must be pre-approved in writing, 30 calendar days prior to travel, by the DOJ Program Manager.
NOTE
Authority cited: Sections 13825.3(c) and 13825.5, Penal Code. Reference: Section 13825.4, Penal Code.
HISTORY
1. New section filed 5-6-2002 as an emergency; operative 5-6-2002 (Register 2002, No. 19). A Certificate of Compliance must be transmitted to OAL by 9-3-2002 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 5-6-2002 order, including amendment of subsection (a), transmitted to OAL by 8-30-2002 and filed 10-10-2002 (Register 2002, No. 41).
Note • History
(a) Project income is defined as profit resulting from activities related to the project and is the amount of income remaining after deducting costs.
(b) Income may be generated through, but not limited to, the following activities:
(1) The sale of publications, videos, and other materials developed by the project with these grant funds.
(2) Conference and training registration fees.
(3) Interest earned on generated income.
(c) Project income must be used for allowable costs that further the services and activities of the project, excluding the payment of salaries and benefits.
(d) Project income must be reported pursuant to Section 473 of these regulations.
NOTE
Authority cited: Sections 13825.3(c) and 13825.5, Penal Code. Reference: Section 13825.4, Penal Code.
HISTORY
1. New section filed 5-6-2002 as an emergency; operative 5-6-2002 (Register 2002, No. 19). A Certificate of Compliance must be transmitted to OAL by 9-3-2002 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 5-6-2002 order transmitted to OAL by 8-30-2002 and filed 10-10-2002 (Register 2002, No. 41).
Note • History
(a) Grantees must enter into an MOU or an OA with each collaborative partner, other CBO and/or non-profit agency, providing services to the grantee.
(b) At a minimum, the signed MOU or OA between the grantee, collaborative partner, or other organization and/or agency, must set forth the following:
(1) Description of the services, roles, and responsibilities.
(2) Methods to assure quality of service.
(3) Length of service.
(4) Funding level budgeted.
(5) Authorizing signatures of the grantee agency and each collaborative partner or organization and/or agency providing services to the project.
(c) Any MOU or OA must be approved by the DOJ prior to services being rendered. The MOU or OA shall be null and void if not approved by the DOJ, if the funds are not supplied by the Legislature, or if the grant is not awarded.
NOTE
Authority cited: Sections 13825.3(c) and 13825.5, Penal Code. Reference: Section 13825.4, Penal Code.
HISTORY
1. New section filed 5-6-2002 as an emergency; operative 5-6-2002 (Register 2002, No. 19). A Certificate of Compliance must be transmitted to OAL by 9-3-2002 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 5-6-2002 order, including amendment of section heading and section, transmitted to OAL by 8-30-2002 and filed 10-10-2002 (Register 2002, No. 41).
Note • History
(a) All grantees must arrange for an annual audit of their project conducted by a Certified Public Accountant operating as an independent auditor using generally-accepted accounting standards.
(b) The audit shall be completed and the report sent to the DOJ no later than six months after the completion of each grant period or termination of a Grant Award Agreement.
(c) Grantees may budget up to one percent of the total grant to help offset the cost of the audit. The audit costs must be identified on the operating expenses budget sheet.
NOTE
Authority cited: Sections 13825.3(c) and 13825.5, Penal Code. Reference: Section 13825.4, Penal Code.
HISTORY
1. New section filed 5-6-2002 as an emergency; operative 5-6-2002 (Register 2002, No. 19). A Certificate of Compliance must be transmitted to OAL by 9-3-2002 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 5-6-2002 order transmitted to OAL by 8-30-2002 and filed 10-10-2002 (Register 2002, No. 41).
§463. Prohibited Use of Funding.
Note • History
(a) Funds cannot be used to supplant current program funding and must be used to augment existing program funding and grantees are prohibited from reducing current or existing federal, state, or local funds because of the awarding of GCVPP Program grant funds.
(b) Grantees are prohibited from using grant funds for the following:
(1) Financial campaigns, endowment drives, solicitation of gifts, or similar expenses incurred solely to raise capital or obtain contributions for the agency.
(2) Real property, including land, land improvements, structures and their attachments, structural improvements, and alterations.
(3) Interest payments.
(4) Food and beverages.
(5) Professional licenses.
(6) Annual professional dues or fees.
(7) Finance charges, late payment fees, penalties, and returned check charges.
(8) Lobbying.
(9) Depreciation charges.
NOTE
Authority cited: Sections 13825.3(c) and 13825.5, Penal Code. Reference: Section 13825.4, Penal Code.
HISTORY
1. New section filed 5-6-2002 as an emergency; operative 5-6-2002 (Register 2002, No. 19). A Certificate of Compliance must be transmitted to OAL by 9-3-2002 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 5-6-2002 order, including amendment of section, transmitted to OAL by 8-30-2002 and filed 10-10-2002 (Register 2002, No. 41).
Article 6. Project Administration
§464. Compliance Requirements.
Note • History
(a) Grantees must comply with all requirements of Penal Code Sections 13825.1 through 13825.5 and these regulations.
(b) Failure to comply with any or all of these requirements may result in modification or withholding of grant funds, reimbursement to the DOJ of unauthorized grant expenditures, or termination of the grant.
NOTE
Authority cited: Sections 13825.3(c) and 13825.5, Penal Code. Reference: Sections 13825.1-13825.5, Penal Code.
HISTORY
1. New article 6 (sections 464-485) and section filed 5-6-2002 as an emergency; operative 5-6-2002 (Register 2002, No. 19). A Certificate of Compliance must be transmitted to OAL by 9-3-2002 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 5-6-2002 order transmitted to OAL by 8-30-2002 and filed 10-10-2002 (Register 2002, No. 41).
§465. Mandatory Training/Meetings.
Note • History
Grantees must attend all DOJ grant-related meetings and training sessions which may include GCVPP Program administration and evaluation sessions.
NOTE
Authority cited: Section 13825.3(c), Penal Code. Reference: Sections 13825.3 and 13825.4, Penal Code.
HISTORY
1. New section filed 5-6-2002 as an emergency; operative 5-6-2002 (Register 2002, No. 19). A Certificate of Compliance must be transmitted to OAL by 9-3-2002 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 5-6-2002 order transmitted to OAL by 8-30-2002 and filed 10-10-2002 (Register 2002, No. 41).
Note • History
(a) Grantees are required to obtain and send annually to the DOJ a notarized copy of a blanket fidelity bond or equivalent insurance contract applicable to all grant-related personnel and/or subcontractors of the DOJ-funded project.
(b) The bond must be sent to the DOJ prior to project implementation.
(c) The “State of California, Department of Justice” must be named as the beneficiary on the bond or endorsement.
(d) The bond must be in effect and provide protection to the DOJ, without interruption, during the entire grant period, including any applicable extensions.
(e) The bond must be in an amount equal to 50 percent of the total grant award and have a deductible not to exceed $1,000.
(f) The bond must be accompanied by proof of payment, which includes the bonding company name, bond number, description and amount of coverage, and the effective date of the bond.
NOTE
Authority cited: Section 13825.3(c), Penal Code. Reference: Sections 13825.4 and 13825.5, Penal Code.
HISTORY
1. New section filed 5-6-2002 as an emergency; operative 5-6-2002 (Register 2002, No. 19). A Certificate of Compliance must be transmitted to OAL by 9-3-2002 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 5-6-2002 order transmitted to OAL by 8-30-2002 and filed 10-10-2002 (Register 2002, No. 41).
§467. Credits and Disclaimers.
Note • History
(a) All publications produced in part or in full with GCVPP Program grant funds must contain a credit reference as follows: “The preparation of this publication was assisted financially through a grant from the Department of Justice through the California Gang, Crime, and Violence Prevention Partnership Program.”
(b) A disclaimer statement must also be included and must read as follows: “The opinions, findings, and conclusions of this publication are those of the author and not necessarily those of the Department of Justice.”
(c) The DOJ reserves a royalty-free, nonexclusive, and irrevocable license to reproduce, publish, and use these materials and to authorize others to do so.
(d) Copies of any publications must be made available to the DOJ at no charge upon request.
NOTE
Authority cited: Section 13825.3(c) Penal Code. Reference: Section 13825.4, Penal Code.
HISTORY
1. New section filed 5-6-2002 as an emergency; operative 5-6-2002 (Register 2002, No. 19). A Certificate of Compliance must be transmitted to OAL by 9-3-2002 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 5-6-2002 order transmitted to OAL by 8-30-2002 and filed 10-10-2002 (Register 2002, No. 41).
Note • History
(a) Each grantee shall annually objectively evaluate the effectiveness of their services and activities to determine changes in attitudes and behaviors of the at-risk youth being served, as required by Penal Code Section 13825.4(d)(7).
(b) The evaluation methodology must be approved by the DOJ.
(c) Each grantee shall obtain the services of an Outside Evaluator to conduct the local evaluation required by subsection (a) above.
(d) The Outside Evaluator shall also be responsible for participation in the annual statewide evaluation and data collection process.
(e) The DOJ, the grantee project director or equivalent, and each grantee's Outside Evaluator shall jointly meet to discuss, develop, and agree upon the components of the statewide evaluation that must be used by all grantees for the four-year funding cycle, including the assessment tools, measurements, standards, and procedures.
NOTE
Authority cited: Sections 13825.3(c) and 13825.5, Penal Code. Reference: Sections 13825.3, 13825.4 and 13825.5, Penal Code.
HISTORY
1. New section filed 5-6-2002 as an emergency; operative 5-6-2002 (Register 2002, No. 19). A Certificate of Compliance must be transmitted to OAL by 9-3-2002 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 5-6-2002 order transmitted to OAL by 8-30-2002 and filed 10-10-2002 (Register 2002, No. 41).
Note • History
(a) In carrying out the requirements of this grant, the grantee must have, at a minimum, different individuals in the following mandatory positions.
(b) A Executive Director, or equivalent who will be the principal administrative authority for the entire grant project and will be designated in the resolution by the governing body or council, to sign the following documents:
(1) Grant Proposal Cover Sheet.
(2) MOU or OA.
(3) Grant Award Face Sheet.
(4) Budget and Program Modification forms.
(5) Invoices.
(6) Project Income Reports.
(7) Biannual Fiscal Reports.
(8) Use of Equipment Certification Form.
(c) A Project Director, or equivalent, who will have the general administrative authority for implementing project services and activities and maintaining compliance with the requirements of the Grant Award Agreement, and is responsible for:
(1) Providing overall supervision of project staff and activities.
(2) Ensuring that all project funds expended or obligated are allowable costs and in compliance with the approved budget.
(3) Maintaining required documentation of project services and activities and accomplishments.
(4) Reviewing and signing the Progress Report.
(d) A Fiscal Officer, who may be an independent, qualified contract fiscal agent, will monitor the actual receipt and payment of grant funds, including:
(1) Maintaining proper accounting records.
(2) Reviewing and signing the Project Claim Invoices, budget and project modifications, and Biannual Fiscal Reports.
(3) Ensuring the appropriate expenditure of funds.
(e) An Outside Evaluator who will conduct various activities related to the local and statewide project evaluation requirements as set forth in Section 468 of these regulations. At a minimum, the Outside Evaluator, must have a baccalaureate degree or a minimum of two years experience in applied behavioral research.
(f) Any changes in key personnel, as identified in this Section, must be reported to the DOJ in writing and documented on a Grant Award Modification form as soon as the change is known. Failure to make these changes will result in return of grant documentation requiring that person's signature.
NOTE
Authority cited: Section 13825.3(c), Penal Code. Reference: Sections 13825.3 and 13825.4, Penal Code.
HISTORY
1. New section filed 5-6-2002 as an emergency; operative 5-6-2002 (Register 2002, No. 19). A Certificate of Compliance must be transmitted to OAL by 9-3-2002 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 5-6-2002 order, including amendment of section, transmitted to OAL by 8-30-2002 and filed 10-10-2002 (Register 2002, No. 41).
Note • History
Directors, officers, employees, and contractors of the grantee (hereinafter “officials”) are under an obligation to avoid conflicts of interests in the administration of grant funds. In furtherance of this policy, officials shall not participate in a decision to expend grant funds if the expenditure would benefit:
(a) A business entity in which the official has an investment interest.
(b) An individual, business entity, or non-profit organization that is a source of income to any official or any entity that employs the official or in which he or she serves in a management capacity.
(c) Any real property in which the official has an equity or leasehold interest.
(d) Any individual or entity with which the official is negotiating for, or has been promised, prospective employment.
NOTE
Authority cited: Section 13825.3(c), Penal Code. Reference: Section 13825.4, Penal Code.
HISTORY
1. New section filed 5-6-2002 as an emergency; operative 5-6-2002 (Register 2002, No. 19). A Certificate of Compliance must be transmitted to OAL by 9-3-2002 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 5-6-2002 order, including amendment of section, transmitted to OAL by 8-30-2002 and filed 10-10-2002 (Register 2002, No. 41).
Note • History
(a) Grantees may request a 25 percent advance of the grant funds available in the first grant period only. The advance will only be granted after the initial Grant Award Agreement has been approved by the DOJ.
(b) No advance of grant funds will be allowed in subsequent grant periods, two, three, and four.
(c) The advance shall be cleared within the first three Project Claim Invoices submitted.
(d) Subsequent invoices beyond the first three invoices will be reduced by the outstanding advance amount until the entire advance has been cleared.
(e) If the grantee does not report sufficient expenditures to cover the advance, the DOJ will bill and collect the funds from the grantee for the outstanding amount of the advance immediately upon completion of the grant period.
NOTE
Authority cited: Section 13825.3(c), Penal Code. Reference: Section 13825.4, Penal Code.
HISTORY
1. New section filed 5-6-2002 as an emergency; operative 5-6-2002 (Register 2002, No. 19). A Certificate of Compliance must be transmitted to OAL by 9-3-2002 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 5-6-2002 order transmitted to OAL by 8-30-2002 and filed 10-10-2002 (Register 2002, No. 41).
Note • History
(a) Grantees must invoice only for costs authorized in the Grant Award Agreement and in accordance with these regulations.
(b) The DOJ reserves the right to make the final determination if an expense is allowable and necessary.
(c) Expenses and necessary encumbrances must be incurred during the grant period.
(d) Grantees can choose to submit a monthly or quarterly Project Claim Invoice to the DOJ for all project expenditures. These invoices must be received by the 10th of the following month. Those grantees that choose to submit quarterly Project Claim Invoices must remain in a quarterly filing status throughout the grant period.
(e) The Project Claim Invoice includes the following:
(1) Period covered.
(2) Agency name.
(3) Mailing address.
(4) Telephone and FAX numbers.
(5) Contact person.
(6) Project title
(7) Total grant budget.
(8) Current expenditures.
(9) Available balance.
(10) Funds requested.
(f) The Project Claim invoice must be signed and dated by the grantee's authorized officer or agent, and the fiscal officer.
(g) Grantees must submit the final Project Claim Invoice within 30 calendar days of the end of the grant period, including the extension period.
(h) If the grantee does not submit a final invoice within 120 calendar days from the end of the grant period, the DOJ will consider the last invoice submitted as the final invoice and close out the grant.
(i) Once the DOJ has processed the final Project Claim Invoice, no further payment activities against the grant will be permitted.
(j) Grantees are prohibited from billing other federal, state, or local agencies for goods and/or services billed and/or reimbursed to the grantee by the DOJ.
(k) Grantees must retain source documents to substantiate all financial information reported pursuant to Section 482 of these regulations.
NOTE
Authority cited: Section 13825.3(c), Penal Code. Reference: Section 13825.4, Penal Code.
HISTORY
1. New section filed 5-6-2002 as an emergency; operative 5-6-2002 (Register 2002, No. 19). A Certificate of Compliance must be transmitted to OAL by 9-3-2002 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 5-6-2002 order, including amendment of subsection (f), transmitted to OAL by 8-30-2002 and filed 10-10-2002 (Register 2002, No. 41).
Note • History
(a) Grantees must report all project income to the DOJ, either monthly or quarterly, in conjunction with the Project Claim Invoice and on a separate form, which includes the following:
(1) Grant period covered.
(2) Agency name.
(3) Mailing address.
(4) Telephone and FAX numbers.
(5) Contact person.
(6) Project title.
(7) Type of project income.
(8) Amount of the project income.
(9) Where the proposed income category funds will be allocated in the project budget.
(b) The project income form must be signed and dated by the grantee's authorized officer or agent, and the fiscal officer.
NOTE
Authority cited: Section 13825.3(c), Penal Code. Reference: Section 13825.4, Penal Code.
HISTORY
1. New section filed 5-6-2002 as an emergency; operative 5-6-2002 (Register 2002, No. 19). A Certificate of Compliance must be transmitted to OAL by 9-3-2002 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 5-6-2002 order transmitted to OAL by 8-30-2002 and filed 10-10-2002 (Register 2002, No. 41).
Note • History
(a) An encumbrance is an accounting transaction which occurs when funds are set aside to pay for a particular obligation in the future, therefore funds are no longer available for other expenditures.
(b) To establish an encumbrance, a grantee must do the following:
(1) Submit a formal written request to the DOJ from the grantee's authorized officer or agent, and the fiscal officer prior to the end of the grant period.
(2) Have the expenditures approved by the DOJ in the original budget or a subsequent budget modification.
(3) Submit a purchase order/contract from the vendor or supplier of goods or services to the DOJ.
NOTE
Authority cited: Section 13825.3(c), Penal Code. Reference: Section 13825.4, Penal Code.
HISTORY
1. New section filed 5-6-2002 as an emergency; operative 5-6-2002 (Register 2002, No. 19). A Certificate of Compliance must be transmitted to OAL by 9-3-2002 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 5-6-2002 order transmitted to OAL by 8-30-2002 and filed 10-10-2002 (Register 2002, No. 41).
§475. Biannual Fiscal Reports.
Note • History
(a) Throughout the four-year funding cycle, grantees are required to submit Biannual Fiscal Reports to the DOJ, in line-item detail of expenditures, including:
(1) The approved state funds.
(2) Total expenditures in each line-item.
(3) Line-item detail of cash or in-kind match.
(4) Signatures of the grantee's authorized officer or agent, and the fiscal officer.
(b) The report shall be due within 30 calendar days after the completion of six months of the grant period and at the end of the grant period.
NOTE
Authority cited: Section 13825.3(c), Penal Code. Reference: Section 13825.4, Penal Code.
HISTORY
1. New section filed 5-6-2002 as an emergency; operative 5-6-2002 (Register 2002, No. 19). A Certificate of Compliance must be transmitted to OAL by 9-3-2002 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 5-6-2002 order transmitted to OAL by 8-30-2002 and filed 10-10-2002 (Register 2002, No. 41).
§476. Budget and Project Modifications.
Note • History
(a) A budget modification is a change within the approved budget that does not change the amount in the Grant Award Agreement or the grant period.
(b) Grantees must obtain prior approval from the DOJ in writing for a modification of the budget which:
(1) Increases or decreases the approved budget category amounts by more than 10 percent.
(2) Adds a new line-item to the current approved budget category.
(c) A project modification is a change in project services, activities, or objectives that do not change the Grant Award Agreement, the budget, or the grant period.
(d) Requests to modify the project must be approved by the DOJ. Request to modify must cite justification showing that the need to modify arose from circumstances beyond the grantee's control, including, but not limited to, the following:
(1) Extreme difficulties in acquiring adequate staffing for the project.
(2) Sudden or unexpected termination of necessary project personnel.
(3) Delays in processing grant modifications.
(4) Delays caused by acts of the legislative or judicial bodies.
(5) A strike which affects the performance of the project.
(6) Natural disasters affecting project performance.
(e) Budget modifications and project modifications must be submitted in writing on the DOJ Grant Award Modification form which requires the following:
(1) Date.
(2) Grant award number.
(3) Grant Period.
(4) Amendment number.
(5) Check boxes for program or budget modification.
(6) Agency name.
(7) Agency mailing address.
(8) Agency contact person and title.
(9) Agency phone and FAX numbers.
(10) Budget categories for personnel, operating costs, equipment costs, and totals for approved budget, proposed change, and proposed revised allocation columns.
(11) Justification.
(12) The original signature of the applicant's authorized officer or agent and the fiscal officer.
(13) DOJ review and approval section.
NOTE
Authority cited: Section 13825.3(c), Penal Code. Reference: Section 13825.4, Penal Code.
HISTORY
1. New section filed 5-6-2002 as an emergency; operative 5-6-2002 (Register 2002, No. 19). A Certificate of Compliance must be transmitted to OAL by 9-3-2002 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 5-6-2002 order transmitted to OAL by 8-30-2002 and filed 10-10-2002 (Register 2002, No. 41).
Note • History
(a) The Progress Report shall be due to the DOJ, within 30 calendar days after the completion of the first six months of the grant period.
(b) Grantees shall file the Progress Report using the DOJ reporting format provided at the mandatory grant training held at the beginning of each grant period, and must include the following information:
(1) Project title.
(2) Grant award number.
(3) Grantee's name and address.
(4) Grantee's telephone number.
(5) Grant period.
(6) Name and title of the person preparing the report.
(7) Report period.
(8) Budget status.
(9) Original signature of the Project Director or equivalent agent for the grant.
(10) Names of personnel funded by the grant.
(11) Personnel actions taken, if any.
(12) Project update.
(13) Equipment purchased.
(14) Statewide evaluation status.
(15) Narrative detailing specific information on the progress made toward achieving the project goals and objectives.
(c) Prior approval must be obtained from the DOJ Program Manager for an extension to submit a late report.
NOTE
Authority cited: Section 13825.3(c), Penal Code. Reference: Section 13825.4, Penal Code.
HISTORY
1. New section filed 5-6-2002 as an emergency; operative 5-6-2002 (Register 2002, No. 19). A Certificate of Compliance must be transmitted to OAL by 9-3-2002 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 5-6-2002 order, including amendment of section, transmitted to OAL by 8-30-2002 and filed 10-10-2002 (Register 2002, No. 41).
Note • History
(a) The Outside Evaluator must submit an annual report to the DOJ that must include, at a minimum:
(1) Required elements of the Progress Report as specified in Section 477 of these regulations.
(2) Annual local evaluation in accordance with Section 468(a) of these regulations.
(3) Survey and questionnaire results relating to the project.
(4) Identification of the project's outstanding achievements and accomplishments.
(5) Identification of obstacles and/or lessons learned from the project operations.
(6) Identification of areas of improvement needed in the project.
(b) The annual report must be submitted to the DOJ within 60 calendar days following the end of the grant period.
NOTE
Authority cited: Section 13825.3(c), Penal Code. Reference: Sections 13825.3 and 13825.4, Penal Code.
HISTORY
1. New section filed 5-6-2002 as an emergency; operative 5-6-2002 (Register 2002, No. 19). A Certificate of Compliance must be transmitted to OAL by 9-3-2002 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 5-6-2002 order transmitted to OAL by 8-30-2002 and filed 10-10-2002 (Register 2002, No. 41).
Note • History
(a) The DOJ will conduct, at a minimum, annual fiscal and programmatic monitoring reviews.
(b) The monitoring reviews may be accomplished through formal or informal means.
(1) Formal monitoring may include site visits, during which DOJ staff may review, but not be limited to, all fiscal and personnel documents, programmatic materials, publications, or curriculum used by and developed under this funding.
(2) Informal monitoring may include, but is not limited to, telephone calls, desk monitoring of progress and evaluation reports, biannual fiscal reports, project income reports, project claim invoices, correspondence, and E-mails.
NOTE
Authority cited: Section 13825.3(c), Penal Code. Reference: Section 13825.4, Penal Code.
HISTORY
1. New section filed 5-6-2002 as an emergency; operative 5-6-2002 (Register 2002, No. 19). A Certificate of Compliance must be transmitted to OAL by 9-3-2002 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 5-6-2002 order, including amendment of subsection (b)(2), transmitted to OAL by 8-30-2002 and filed 10-10-2002 (Register 2002, No. 41).
Note • History
(a) Grantees may request technical assistance from the GCVPP Program Manager for assistance with programmatic, fiscal, and other issues related to the implementation, management, and administration of the project.
(b) Technical assistance is provided to support the grantee's efforts in achieving the goals and objectives of the funded grant project.
NOTE
Authority cited: Section 13825.3(c), Penal Code. Reference: Section 13825.4, Penal Code.
HISTORY
1. New section filed 5-6-2002 as an emergency; operative 5-6-2002 (Register 2002, No. 19). A Certificate of Compliance must be transmitted to OAL by 9-3-2002 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 5-6-2002 order transmitted to OAL by 8-30-2002 and filed 10-10-2002 (Register 2002, No. 41).
§481. Annual Grant Renewal Process.
Note • History
(a) All grantees funded in the first year of the four-year funding cycle must submit a continuation application each year for the subsequent grant period.
(b) Continuation in the next four-year funding cycle is contingent upon, but not limited to, the following:
(1) Prior year performance.
(2) Compliance with grant requirements.
(3) Availability of funds.
(c) The continuation application will require a new:
(1) Grant Award Agreement, in accordance with Section 450 of these regulations.
(2) Budget for the next grant period, including the grant match amounts and sources, as required in Section 453 of these regulations.
(3) Goals and objectives summary sheets.
(4) Project summary sheet.
(5) Evidence of CBO or non-profit agency status.
(6) A notarized copy of a blanket fidelity bond or equivalent insurance contract.
(d) Within 60 calendar days from the end of the prior grant period, grantees must have a Grant Award Agreement signed by the authorizing officer or agent for the grant and the DOJ to begin implementation of the new grant period and to request reimbursement of funds.
NOTE
Authority cited: Section 13825.3(c), Penal Code. Reference: Section 13825.4, Penal Code.
HISTORY
1. New section filed 5-6-2002 as an emergency; operative 5-6-2002 (Register 2002, No. 19). A Certificate of Compliance must be transmitted to OAL by 9-3-2002 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 5-6-2002 order transmitted to OAL by 8-30-2002 and filed 10-10-2002 (Register 2002, No. 41).
Note • History
(a) Grantees and subcontractors are required to maintain accounting records and other evidence of procedures and project performance sufficient to properly reflect costs incurred for the implementation, maintenance, and evaluation of the project, including all cost and match funds.
(b) The records must be kept available by the grantee and subcontractors during each grant period and thereafter for five full years from the date of the final payment.
(c) During each grant period and for five years following the final payment, the DOJ and its representatives must be permitted to audit, review, and inspect, from the grantee and/or subcontractor, any of the following items including, but not limited to:
(1) Activities.
(2) Books.
(3) Documents.
(4) Papers and records.
(5) Publications and videotapes.
(6) Equipment.
NOTE
Authority cited: Section 13825.3(c), Penal Code. Reference: Section 13825.4, Penal Code.
HISTORY
1. New section filed 5-6-2002 as an emergency; operative 5-6-2002 (Register 2002, No. 19). A Certificate of Compliance must be transmitted to OAL by 9-3-2002 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 5-6-2002 order, including amendment of subsection (c), transmitted to OAL by 8-30-2002 and filed 10-10-2002 (Register 2002, No. 41).
§483. Withholding of Funds/Termination.
Note • History
(a) The DOJ may withhold funds and/or disallow expenditures anytime the grantee fails to comply with any term or condition of the Grant Award Agreement or requirements of the GCVPP Program.
(b) Failure to comply may include, but is not limited to, the grantee's:
(1) Failure to submit required DOJ Project Claim Invoices in a timely manner.
(2) Failure to submit required DOJ Progress Reports in a timely manner.
(3) Failure to resolve interim or final audit exceptions on past or current grants in a timely manner.
(4) Failure to maintain adequate accounting records.
(5) Failure to submit proof of Blanket Fidelity Bond or equivalent insurance coverage in a timely manner.
(6) Failure to cooperate with or admit DOJ staff or representatives (e.g., audit team or evaluation staff) to review project and/or fiscal records.
(7) Failure to reimburse disallowable costs according to payment terms agreed to by the grantee in a timely manner.
(8) Failure to comply with the conflict of interest policy.
(c) The DOJ reserves the right to terminate a grant and recover grant funds and/or equipment purchased for failure to comply with any term and condition of the Grant Award Agreement or the requirements of the GCVPP Program.
(d) The DOJ shall have the right to terminate or reduce the grant amount for the current grant period if the funding made available by the Budget Act is insufficient.
(e) The DOJ will have no responsibility to pay funds or furnish any other considerations under the intended grant award until the state budget allocation is available.
(f) Previously-approved grantees shall have no responsibility to continue their full and current grant responsibility if their funding has been reduced, delayed, or eliminated.
(g) The DOJ will provide the grantee reasonable notice and opportunity for a full and fair process set forth in the following:
(1) The DOJ will notify the grantee by letter that it intends to terminate payments, and recover grant funds and/or equipment, either in whole or in part; unless the grantee shows good cause why the project should not be terminated and the funds and/or equipment recovered.
(2) The grounds and the effective date of the proposed termination or recovery of funds and/or equipment will be stipulated in the letter.
(3) The grantee will be given 10 calendar days to submit written materials to the DOJ in opposition to the proposed action.
(h) The grantee may reserve the right to terminate its Grant Award Agreement with the DOJ with reasonable notice and opportunity for a full and fair process, subject to the following conditions:
(1) The grantee must notify the DOJ in writing that it intends to terminate the Grant Award Agreement, either in whole or in part. The grounds and the effective date of the termination must be stipulated in a letter to the DOJ.
(2) The grantee must comply with the documentation requirements of Section 484 of these regulations.
(3) The DOJ reserves the right to take up to 10 calendar days to respond to the notice and negotiate final grant conditions.
NOTE
Authority cited: Section 13825.3(c), Penal Code. Reference: Sections 13825.3 and 13825.5, Penal Code.
HISTORY
1. New section filed 5-6-2002 as an emergency; operative 5-6-2002 (Register 2002, No. 19). A Certificate of Compliance must be transmitted to OAL by 9-3-2002 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 5-6-2002 order, including amendment of subsections (b)(5), (g)(1) and (g)(3), transmitted to OAL by 8-30-2002 and filed 10-10-2002 (Register 2002, No. 41).
Note • History
(a) Upon completion of the four-year funding cycle and within 60 calendar days, each grantee must submit to the DOJ the following final documentation:
(1) Biannual Fiscal Report.
(2) Annual local evaluation report.
(3) Statewide data collection and evaluation information.
(4) Use of Equipment Certification, with original signatures of the authorized officer or agent, the fiscal officer, and the DOJ, which includes the following:
(A) Grantee name.
(B) Grant award number.
(C) Project title.
(D) Grantee address.
(E) Contact person and telephone number.
(F) Dates of the grant period.
(G) A certification that the equipment will be used to further prevention and intervention-related activities or to further the intent of the original grant award.
(H) Description of the equipment.
(I) Equipment property sticker number.
(b) Within six months of the completion of a four-year funding cycle the final annual audit report is due to the DOJ pursuant to Section 462 of these regulations.
(c) Failure to provide any documentation in subsection (a) of this regulation will result in non-payment of the final invoice, until such time as documentation is received by the DOJ.
NOTE
Authority cited: Section 13825.3(c), Penal Code. Reference: Sections 13825.3 and 13825.4, Penal Code.
HISTORY
1. New section filed 5-6-2002 as an emergency; operative 5-6-2002 (Register 2002, No. 19). A Certificate of Compliance must be transmitted to OAL by 9-3-2002 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 5-6-2002 order, including amendment of section, transmitted to OAL by 8-30-2002 and filed 10-10-2002 (Register 2002, No. 41).
§485. New Four-Year Funding Cycle.
Note • History
(a) All grantees that have been previously funded by the DOJ will be reviewed for past performance and compliance at each new four-year funding cycle.
(b) Failure to comply with any term or condition of a Grant Award Agreement may result in the denial of future grant awards to any grantee and/or its officers.
(c) The DOJ may not recommend a project for continued funding in a new four-year funding cycle based upon consideration of a review of relevant documentation or information including, but not limited to, the grantee's failure to:
(1) Submit required Project Claim Invoices in a timely manner.
(2) Submit required Progress Reports in a timely manner.
(3) Resolve interim or final audit exceptions on past or current grants in a timely manner.
(4) Maintain adequate accounting records.
(5) Submit proof of a Blanket Fidelity Bond or equivalent insurance coverage in a timely manner.
(6) Cooperate with or admit DOJ staff or representatives (e.g., audit team or evaluation staff) to review project and/or fiscal records.
(7) Reimburse unallowable costs according to payment terms agreed to by the grantee in a timely manner.
(8) Comply with the conflicts of interests policy.
NOTE
Authority cited: Section 13825.3(c), Penal Code. Reference: Sections 13825.3 and 13825.5, Penal Code.
HISTORY
1. New section filed 5-6-2002 as an emergency; operative 5-6-2002 (Register 2002, No. 19). A Certificate of Compliance must be transmitted to OAL by 9-3-2002 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 5-6-2002 order, including amendment of subsection (b)(5), transmitted to OAL by 8-30-2002 and filed 10-10-2002 (Register 2002, No. 41).
Chapter 5. Regulations Governing Health Care Service Plans
Article 1. General Provisions
Note • History
These regulations are adopted pursuant to the authority vested in the Attorney General by Section 12538.5 of the Government Code.
The provisions of the Act and these regulations are cumulative to any other statutory or common law powers of the Attorney General. Nothing contained in the Act or these regulations shall limit the authority of the Attorney General to proceed against a health plan in any other manner provided by law.
NOTE
Authority cited: Section 12538.5, Government Code. Reference §§ 12530 through 12539, Government Code.
HISTORY
1. New Subchapter 5, (Articles 1 through 5; Sections 500 through 507, 510, 511, 512, 520 through 536, 550, 551, 552, 570 through 582) filed 3-29-67; effective thirtieth day thereafter (Register 67, No. 13).
2. Repealer of Subchapter 5 (Sections 500-582, not consecutive) and new Subchapter 5 (Sections 500-593, not consecutive) filed 8-20-75; effective thirtieth day thereafter (Register 75, No. 34).
(a) Notices by health plans and all documents, correspondence, and other matters relating to health plans shall be directed to: Health Plan Registrar, Office of the Attorney General, 3580 Wilshire Boulevard, Los Angeles, California 90010.
(b) Any notice required to be given to the health plan by the Attorney General shall be deemed effective from:
(1) the time it is delivered to any officer of the health plan;
(2) the time it is delivered to any person who appears to be in charge of the principal office of the health plan at the time of delivery; or
(3) two days after notice is placed first class postage prepaid in the United States mail addressed to the principal office of the health plan as such address is then reflected in the records of the Attorney General.
When used in these regulations, the following words and terms shall have the meaning set forth below:
(a) “Act” means the provisions of the Knox-Mills Health Plan Act contained in Article 2.5 of Chapter 6 of Part 2 of Division 3 of Title 2 of the Government Code (commencing with Section 12530);
(b) “Benefits” means the health care services a health plan offers to or arranges for its members;
(c) “Cost of membership” means the prepaid or periodic consideration a health plan receives for providing benefits to a member;
(d) “Health care service plan,” “health care service,” “member,” “membership contract,” “representative,” “healing arts,” “advertising,” “solicitation,” “cash or equivalent,” “net equity,” and “tangible new equity” have the same meaning as defined in the Act;
(e) “Health plan” means a health care service plan required to register with the Attorney General;
(f) “Non-panel provider” means any provider who has not contracted with the health plan to deliver or furnish health care services to members of the health plan;
(g) “Panel-provider” means any provider who has contracted with the health plan to deliver or furnish health care services to members of the health plan;
(h) “Provider” means any individual, group, corporation or other entity which furnishes health care services to members of a health plan;
(i) “Subscriber” means the member whose employment or other status, except as a family dependent, is the basis for membership in the health plan;
(j) “Subsequent provider” means the cost reimburser or provider of health care services who offers the member benefits upon failure, suspension or revocation of the health plan to which the member originally belonged.
Every health plan, not less than 15 days prior to the effective date of any change in the name of the health plan, shall give written notice to the Attorney General advising him of such change of name and the date upon which such change shall be effective.
Every health plan, not later than 30 days prior to any change in the address of its principal place of business, or in the location of any other office or facility of the health plan, shall give written notice to the Attorney General advising him of such change of address and the date upon which such change shall be effective.
Every health plan, not more than 5 days after any change in a partner, sole owner, officer, director, stockholder owning 20 percent or more of the stock of the health plan, or any other person exerting substantial control over the operation of the health plan, shall give written notice to the Attorney General. Said notice shall specify the change of personnel and the date upon which such change shall be effective.
§506. Termination of Benefits.
History
Every health plan, immediately upon determining that it is or will be (whichever first occurs) unable to provide any or all of the benefits specified in a membership contract shall cease offering said membership contract to the public and shall immediately give written notice to the Attorney General. Said notice shall:
(a) State that the health plan is or will be unable to provide benefits;
(b) Specify the benefits it is or will be unable to provide; and
(c) Specify and detail the reasons for its inability to provide such benefits.
HISTORY
1. Editorial correction of first paragraph (Register 95, No. 41).
§507. Termination of Business.
Every health plan, immediately upon determining that it intends to cease doing business or upon terminating its business (whichever first occurs) shall give written notice of such intent or such fact to the Attorney General. Said notice shall include a detailed statement of all reasons for cessation of business and the effective date thereof.
§508. Change in Organizational Document.
Every health plan, immediately upon a change in its basic organizational documents, shall give written notice of such change to the Attorney General. Basic organizational documents include but are not limited to articles of incorporation or association, partnership agreement, trust agreement and bylaws. Such notice shall specify all changes made.
Article 2. Registration
Every health plan shall obtain the necessary forms for registration from the Attorney General.
Registration is accomplished by submitting to the Attorney General:
(a) A completed registration form;
(b) All applicable documents specified by the registration form;
(c) The appropriate registration fee, as specified in Section 12538.4(a) of the Act; and
(d) Such other information as may be required by the Attorney General to insure compliance with the Act and these regulations.
Initial registration is deemed to be complete only after submission of the information required by this section and issuance by the Attorney General of a letter to the health plan stating that it has filed a complete registration and is registered.
The term of registration is the twelve month period commencing April 1 of each calendar year and ending March 31 of the following calendar year.
§518. Annual Registration Date.
The annual registration materials shall be submitted on or before March 31 of each calendar year.
Article 3. Contracts
(a) All contracts entered into by a health plan with members, providers or management companies shall be in writing;
(b) All contracts issued before the effective date of these regulations shall be amended as necessary to comply herewith the first time they are renewed after the effective date of these regulations but in no event later than August 1, 1976.
§521. Deceptive Membership Contracts.
A membership contract which is in violation of any regulation in this article shall be considered as deceptive within the meaning of Section 12531(c) of the Act.
§522. Submission of Contracts.
Every health plan shall submit to the Attorney General:
(a) Not more than 10 days after execution, a copy of each group membership contract;
(b) Not more than 10 days after execution, a copy of each provider contract;
(c) Not less than 30 days prior to execution, a copy of each individual membership contract which the health plan proposes to use; and
(d) Not less than 30 days prior to execution, a copy of each proposed contract between the health plan and a management company.
To the extent a health plan uses standard form contracts it may satisfy the requirements of subparagraphs (a) through (d) by submitting a copy of each standard form contract; provided, however, upon its execution, the health plan shall submit a copy of each contract specified in (d) above.
§523. Amended or Cancelled Contracts.
(a) When a health plan proposes to amend or replace a contract required to be submitted by Section 522(a), (c) or (d) of these regulations, the health plan shall submit to the Attorney General a statement identifying the contract being amended or replaced and a detailed description of the changes being effected.
(b) Every health plan, immediately upon cancellation or amendment of a contract with a provider, shall give written notice of such amendment or cancellation to the Attorney General. Said notice shall set forth the terms of the cancellation or amendment and the reasons therefor.
§524. Interpretation of Contracts.
The Attorney General may require a written statement from a health plan setting forth its interpretation of part or all of any contract.
§525. Issuing Membership Contract.
Upon enrollment every health plan shall deliver to each person who is an individual subscriber to the health plan a complete copy of his membership contract and an evidence of coverage. If the person is a subscriber as a member of a group, the health plan shall cause an evidence of coverage to be delivered to such person. The health plan shall be deemed to have caused an evidence of coverage to be delivered to each group member if the health plan delivers to a representative of the group at least one copy of the evidence of coverage for each member of the group and the contract between the health plan and the group requires that the group give each member of the group a copy of the evidence of coverage.
Every membership contract and any endorsement or papers attached thereto shall be plainly printed in not less than 10 point type provided, however, that supplies of such documents in existence on the effective date of these regulations may be used until August 1, 1976.
§527. Specific Contract Provisions.
Every membership contract shall include at a minimum all of the information specified in Section 542 of these regulations.
Every membership contract which contains any term defined by the Act or by these regulations or which contains the terms “preexisting condition,” “guaranteed renewable,” or “non-cancelable” shall define and explain the meaning of said terms in a manner consistent with the Act and these regulations.
§529. Limitations, Exclusions, Exceptions and Reductions.
(a) Limitations, exclusions, exceptions and reductions shall appear under an appropriate caption such as “LIMITATIONS,” “EXCLUSIONS,” “EXCEPTIONS,” or “REDUCTIONS,” which caption shall be in bold-face type. The provisions relating to such limitations, exclusions, exceptions and reductions shall be printed with at least the same prominence as the provisions which describe benefits;
(b) Provisions in a membership contract which relate to limitations, exclusions, exceptions or reductions which are applicable only to specifically described benefits shall be contained in the same section of the contract where the particular benefits to which they apply are described, and shall be printed with at least the same prominence as the benefits to which they apply.
(a) The provisions in a membership contract which relate to cancellation shall appear under an appropriate caption which shall be in boldface print;
(b) If a membership contract is cancelled by either the health plan or the subscriber, the health plan shall return to the subscriber or to the group, as appropriate, the pro rata portion of the money paid to the health plan which corresponds with any unexpired period for which payment has been received, unless the membership contract clearly provides otherwise;
(c) The health plan may not cancel a membership contract upon less than 30 days' written notice except in the event of non-payment of the prepaid or periodic charge in which case the contract may be cancelled upon 15 days' written notice.
The acceptance by a health plan of the cost of membership tendered by or on behalf of a subscriber after the membership contract has terminated, without requiring a new application for membership in the health plan, shall reinstate the membership contract as though it had never terminated unless the health plan issues to the subscriber a new membership contract accompanied by a written notification advising the subscriber of the manner in which the new contract differs from the benefits or coverage offered in the terminated contract.
No health plan may initiate an increase in the cost of membership which will increase the amount paid by the subscriber without giving the subscriber at least 30 days' written notice of the proposed change.
No health plan may initiate a decrease in the benefits offered by a membership contract without giving the subscriber at least 30 days' written notice of the proposed change. If the subscriber is a member of a group, the notice may be given to a representative of the group.
Upon any change in a panel provider notice thereof shall be given immediately to all subscribers affected thereby. If such change results in subscribers having no reasonable access to panel providers, the health plan shall immediately secure replacement panel providers and give prompt notice thereof.
When members of a health plan are required to give the health plan notice of having received health care services, the notice shall be deemed timely, if under the circumstances, it is given within a reasonable time.
Each contract between a health plan and a provider shall set forth that, immediately upon cancellation or amendment of the contract, the provider shall notify the Attorney General at the address set forth in Section 501 of these regulations of such cancellation of amendment, the text thereof and the effective date thereof.
§537. Notice to Members of a Group.
Notwithstanding any other provision of these regulations, notice to a representative of a group, in lieu of notice to each subscriber thereof, shall be sufficient if (a) the contract between the health plan and the group requires that the group disseminate such notice to its members within a reasonable time after receipt of notice by the group but in no event later than 72 hours after receipt; provided that, if the health plan delivers to the representative of the group a notice more than 72 hours in advance of the time at which such notice must be disseminated, then the contract shall provide that the notice shall be disseminated so that it could reasonably by expected to be received by the members within the time prescribed by these regulations; of (b) if the group in fact gives such notice within the time specified in (a).
Article 4. Evidence of Coverage
Every health plan shall prepare an evidence of coverage for each program of benefits offered.
The evidence of coverage shall have the following format and typography:
(a) It shall be plainly printed;
(b) It shall be written in easily understandable language and shall be clear and concise;
(c) All printing shall be in not less than 10 point type unless otherwise specified herein;
(d) It shall be titled in at least 20 point boldface type “Evidence of Coverage”;
(e) The portions of the text specifying (1) limitations, exclusions, exceptions and reductions; (2) rights of cancellation; (3) restrictions on renewal or reinstatement; (4) rights of the health plan to change benefits; (5) subsequent providers ; and (6) liability of members in the event of nonpayment by the health plan, shall be in type not less than 2 points larger than the text relating to other provisions and in no event less than 12 point type; and
(f) It shall be divided into sections, each of which shall have a title identifying the nature of the information contained therein.
§542. Contents and Typography.
The evidence of coverage shall contain at a minimum the following information:
(a) The name of the health plan, the principal address from which it conducts its business and its telephone number;
(b) The definitions for the words contained therein that have meanings other than those attributed to them by the public in general usage;
(c) The manner in which the member can determine who is or may be entitled to benefits;
(d) The time and date or occurrence upon which coverage takes effect including a specification of any applicable waiting periods;
(e) The time and date or occurrence upon which coverage will terminate;
(f) The conditions upon which cancellation may be effected by the health plan or by the member;
(g) The conditions for and any restrictions upon the member's right to renewal or reinstatement;
(h) The amount of the periodic payment to be made by the member, the time by which the payment must be made and the address at or to which the payment shall be made;
(i) A complete statement of all benefits, limitations, exclusions, exceptions and reductions;
(j) A statement of any restriction on assignment of sums payable to the member by the health plan;
(k) The exact procedures for obtaining benefits including the procedure for filing claims. The procedure for filing claims must state the time by which the claim must be filed, the form in which it is to be filed and the address at or to which it shall be delivered or mailed;
(l) Any procedures required to be followed by the member in the event any dispute arises under the contract, including any requirement for arbitration;
(m) The address and telephone number designated by the health plan to which complaints from members are to be directed;
(n) The name and address of the subsequent provider, if any;
(o) A statement to the effect that, by statute, every contract between the health plan and a panel provider entered into after September 23, 1974, or in effect after September 22, 1975, shall provide that in the event the health plan fails to pay the panel provider, the member shall not be liable to the panel provider for any sums owed by the health plan;
(p) A statement to the effect that in the event the health plan fails to pay non-panel providers, the member may be liable to the non-panel provider for the cost of services; and
(q) A statement which shall be set forth in boldface type not less than 2 points larger than the type required by Section 541(e): “This evidence of coverage constitutes only a summary of the health plan. The health plan contract must be consulted to determine the exact terms and conditions of coverage.”
The evidence of coverage when taken as a whole, with consideration being given to format, typography and language, must constitute a fair disclosure of the provisions of the health plan.
§544. Submission Prior to Use.
Unless the Attorney General gives written permission to the contrary, the evidence of coverage shall be submitted to the Attorney General at least 30 days prior to the intended date of its dissemination. It may not be disseminated during that 30-day period or at any time after disapproval by the Attorney General.
§545. Use of Existing Material.
Notwithstanding the requirements of Section 525 of these regulations, a health plan which prior to the date of filing of these regulations has prepared brochures, pamphlets or other written materials which summarize all the benefits provided by the plan, as well as the plan's limitations, exclusions, exceptions and reductions may continue to distribute such materials in lieu of the evidence of coverage required to be distributed by Section 525 until the existing supply thereof is exhausted, or until August 1, 1976, whichever first occurs.
Article 5. Standard Supplemental Disclosure Form
§550. Preparation and Dissemination.
Every health plan shall prepare and disseminate Standard Supplemental Disclosure Forms as required by Government Code Section 12537.2.
Every Standard Supplemental Disclosure Form shall have the following format and typography:
(a) It shall be plainly printed;
(b) It shall be written in clear, concise and easily understandable language;
(c) All printing shall be in 10 point type unless otherwise specified herein;
(d) It shall be titled in 20 point boldface type “Standard Supplemental Disclosure Form.” No printing shall appear above this title;
(e) The title shall be followed by the name of the health plan, the principal address from which the health plan conducts its business, the telephone number of the health plan and the name of the particular program described in the Standard Supplemental Disclosure Form, if named. This information shall be in type not less than 10 point or more than 30 point;
(f) The remainder of the Standard Supplemental Disclosure Form shall be divided into the following sections:
(1) Definitions;
(2) Benefits;
(3) Limitations, Exclusions, Exceptions and Reductions;
(4) Costs, Copayments, Coinsurance and Deductibles;
(5) Renewal, Cancellation and Reinstatement;
(6) Termination of Enrollment;
(7) Subsequent Providers;
(8) Liability of Members in the Event of Nonpayment by Health Plan.
Each section shall bear the exact title and shall appear in the exact order set forth above. Each section title shall be printed in 16 point boldface type and shall contain the information specified in Section 552 of these regulations.
(g) The text of the section entitled “Limitations, Exclusions, Exceptions and Reductions” shall be in 12 point boldface type.
§552. Contents and Typography.
The Standard Supplemental Disclosure Form shall contain the following information within the following specified sections:
(a) The section entitled “Definitions” shall define each word having a meaning other than that attributed to it by the public in general usage;
(b) The section entitled “Benefits” shall summarize the principal benefits and coverage of the health plan, shall specify the manner of determining each person entitled to benefits and shall specify the manner in which the effective dates and the termination dates of coverage are to be determined;
(c) The section entitled “Limitations, Exclusions, Exceptions and Reductions” shall specify fully every significant limitation, exclusion, exception and reduction;
(d) The section entitled “Costs, Copayments, Coinsurance and Deductibles” shall state the full monthly and annual premium costs, including amounts paid by the employer, if any, and all required copayments and coinsurance and any deductibles. It shall also state the right of the health plan to change premiums, copayments and coinsurance amounts and deductibles, if any;
(e) The section entitled “Renewal, Cancellation and Reinstatement” shall specify the exact renewal and reinstatement conditions and restrictions. If the member does not have the right to renew or reinstate, such fact must be set forth in 10 point boldface type. The right of the member of the health plan to cancel must be fully set forth in 10 point boldface type;
(f) The section entitled “Termination of Enrollment” shall specify when benefits shall cease in the event of termination of enrollment and the effect of such termination upon a member who is hospitalized or undergoing treatment;
(g) The section entitled “Subsequent Providers” shall state the name of each subsequent provider. If only certain benefits are provided by a subsequent provider, the benefits not provided must be specified;
(h) The section entitled “Liability of Members in the Event of Nonpayment by Health Plan” shall contain a statement to the effect that (1) by statute, every contract between the health plan and a panel provider entered into after September 23, 1974, or in effect after September 22, 1975; shall provide that in the event the health plan fails to pay the panel provider the member shall not be liable to the panel provider for any sums owed by the health plan; and (2) in the event the health plan fails to pay a non-panel provider, the member may be liable to the non-panel provider for the cost of services.
The Standard Supplemental Disclosure Form shall conclude with the following statement which shall be set forth in 14 point boldface type: “This disclosure form constitutes only a summary of the health plan. The health plan contract must be consulted to determine governing contractual provisions.”
§554. No Additional Information.
No additional information may be contained in the Standard Supplemental Disclosure Form without the written approval of the Attorney General.
§555. Submission Prior to Use.
Unless the Attorney General gives written permission to the contrary, the Standard Supplemental Disclosure Form shall be submitted to the Attorney General 30 days prior to the intended date of dissemination. It may not be disseminated during that 30-day period or at any time after disapproval.
Article 6. Books and Records
§560. Period of Retention and Location.
(a) Each health plan shall, unless otherwise indicated herein, make and retain for a period of not less than three years the information specified in this article;
(b) Such information shall be kept at the principal office of the health plan in California, if feasible. If the information required is not kept within the State of California, the health plan, at the option of the Attorney General, shall make available at a time and place within this state designated by the Attorney General such information or shall pay the costs incurred by the Attorney General in viewing the information at the out-of-state location.
Every health plan shall make, or cause to be made, and retain, or cause to be retained, books and records which accurately reflect:
(a) The names and last known addresses of all subscribers to the health plan;
(b) All contracts required to be submitted to the Attorney General by the Act or these regulations and all other contracts entered into by the health plan;
(c) All requests made to the health plan for payment of money for health care service, the date the requests were made and the dispositions thereof;
(d) The names and last known addresses of persons, corporations and other entities which solicit or obtain members for the health plan;
(e) The amount of any commission paid to persons, corporations or other entities which obtain members for the health plan and the manner in which said commissions are determined;
(f) The receipt and disbursal of funds the dates and amounts thereof and the purposes therefor;
(g) All financial transactions not heretofore specified.
Every health plan shall prepare and submit to the Attorney General the following:
(a) A statement of financial condition, which may be prepared without audit, for each of the first, second and third quarters of the health plan's accounting year which shall include at least a balance sheet, statement of income and expense and notes of explanation as required by generally accepted accounting principles. Each quarterly statement after the first shall separately state the required information for that quarter and for the year to date; and
(b) An audited statement of the financial condition for the health plan's accounting year which shall include for that year:
(1) A balance sheet;
(2) A statement of income and expense;
(3) A statement of changes in the financial position of the health plan from the previous accounting year;
(4) A statement of retained earnings; and
(5) Notes sufficient to present the financial situation of the health plan in accord with generally accepted accounting principles and including but not limited to disclosure of any adjustments reflected in the audited financial statements which have not been recorded in the health plan's books.
(a) Each financial statement required by Section 562(a) shall be delivered to the Attorney General not later than 45 days after the close of the quarter for which it is made and shall fairly present the financial position of the health plan for that quarter;
(b) The audited financial statement required by Section 562(b) shall be delivered to the Attorney General not later than 90 days after the close of the year for which that statement is made and shall fairly present the financial position of the health plan for that period.
Each quarterly and annual financial statement shall be accompanied by an affidavit of an owner, managing partner or officer of the health plan, made under penalty of perjury, stating that, to the best of the declarant's knowledge the accounting documents submitted (which documents shall be specified) fairly present the financial position of the health plan for the period reported.
Each quarterly and annual statement shall set forth the number of subscribers entitled to health care services from the health plan as of the closing date of that accounting period.
§566. Change of Financial Condition.
Each change in the financial condition of a health plan which may have a significant effect upon the condition of the health plan and which occurs subsequent to the close of an accounting quarter but prior to submission of the financial statement therefor shall be reported to the Attorney General not later than the time that financial statement is submitted.
The following standards shall be applied in the preparation of the audited financial statements:
(a) Appropriate tests of assets, including count of cash and cash items and negotiable securities and satisfactory reconciliation with general ledger accounts, and satisfactory reconciliation of bank accounts with general ledger accounts;
(b) Appropriate tests of liabilities;
(c) Appropriate tests of income and receipts;
(d) Appropriate tests of expenses and disbursements;
(e) All other procedures required by generally accepted auditing standards and other specific procedures as may be required by the Attorney General.
§568. Report and Opinion of Auditor.
The audited financial statements shall be accompanied by the report and opinion of a certified public accountant which shall be prepared in accordance with generally accepted auditing standards and Title 16, Rule 58.1 of the California Code of Regulations. Unless prior approval of the Attorney General has been obtained, the health plan will not be considered in compliance or a disclaimer of opinion on the financial statement of the health plan as such opinions are described in the above-referenced Rule 58.1 and if the qualified or adverse opinion or the disclaimer of opinion can be deleted from the report either by adjustment of the financial statements by the health plan or by extension of auditing procedures by the auditor.
§569. Contents of Financial Statements.
The annual audited financial statement, and each quarterly financial statement, shall include statements of the following:
(a) The amount of tangible net equity as such is defined by the Act, including a schedule setting forth the computation thereof;
(b) The total expenditures for health care services during the immediately preceding two quarters;
(c) The total expenditures paid for nonpanel provider health care services during the immediately preceding four months;
(d) The amount paid and accrued for nonpanel provider health care services during the immediately preceding four months;
(e) The amounts of cash or equivalents maintained as the reserve required by Section 12539.1 of the Act or the name of the insurer with whom insurance is maintained in lieu of the cash or equivalents requirement; and
(f) The amount of incurred but unreported claims reflected in the financial statement and the method by which the amount was determined.
Every health plan when reporting to the Attorney General pursuant to Section 12538.7 of the Act shall report the dollar amount and number of bills outstanding for payment for more than 120 days from the date of the receipt of any service.
§571. Guarantees of Obligations.
No health plan may guarantee an obligation of another without first advising the Attorney General of the proposed guarantee and shall submit to him a copy of the guarantee to be made, all other pertinent details of the obligation, evidence of the obligor's ability to repay, and a statement of whether the obligor renders or will render any services to or on behalf of the health plan. The amount of the guarantee shall be reported as a contingent liability in all financial statements.
§572. Effect of Guarantee on Tangible Net Equity.
For purposes of computing tangible net equity, the amount of the guarantee shall be considered as a liability, unless the Attorney General determines that the making of the guarantee is not likely to subject the health plan to any liability and so advises the health plan.
Every health plan shall advise the Attorney General of the closing date of its accounting year. No health plan may change this date unless it first gives notice of such change to and receive approval therefor from the Attorney General.
§574. Additional Financial Information.
(a) Each registrant shall report in each financial statement required by the Act or these regulations all of its assets and liabilities wherever located within or without the State of California.
(b) Whenever the organizational form of the registrant is a partnership, the required financial information shall include a financial statement of each partner. Each partner's financial statements shall be in the same format and shall contain the same information, when applicable, as that required of a health plan by the Act and by these regulations.
(c) Whenever the registrant conducts any business other than that defined by the Act, whether within or without the State of California, each financial statement required by the Act shall contain the required information for the business subject to the Act and shall contain for each other business a balance sheet and statement of income and expense. The financial reports shall have the following format:
(1) Information relating to the business conducted pursuant to the Act shall be separately stated;
(2) Information relating to each business other than that conducted pursuant to the Act shall be separately stated; and
(3) Information relating to all of the businesses, assets and liabilities of the registrant shall be stated in a consolidated form.
Not later than 90 days after its termination, each health plan shall provide to the Attorney General a closing (final) financial statement which need not be audited but in all other respects shall have the same format and content as the annual audited statement required by 562(b) and shall additionally include a schedule of any account or notes receivable and payable.
§576. Subordinated Obligations.
A subordinated obligation which was not approved by the Attorney General on or before June 30, 1975, shall be considered as a liability in the determination of tangible net equity.
§577. Excessive Administrative Costs.
(a) Administrative costs shall mean all sums expended for other than the following purposes:
(1) Reimbursals to health plan members for health care services paid by the members;
(2) Payments to providers for health care services rendered to members of the health plan;
(3) Expenditures for maintenance of health care facilities and of health care equipment; and
(4) Expenditures for health care supplies.
(b) Administrative costs exceeding 25% of the aggregate dues, fees and other periodic payments received by the health plan for providing health care services to its members shall be presumed to be excessive. The presumption shall be rebuttable. Administrative costs of 25% or less may be excessive depending upon the circumstances.
§578. Notice of Increase in Required Tangible Net Equity.
Whenever the number of subscribers enrolled in the health plan increases so as to increase the tangible net equity required to be maintained by Section 12539 of the Act, the health plan shall immediately give notice to the Attorney General of such fact and of the number of members then enrolled.
Article 7. Subscribers' Advertising and Solicitations
The regulations in this article shall apply to all advertising and solicitations disseminated after the date these regulations become effective.
Any advertising or solicitation which is in violation of any regulation in this article shall be considered untrue or misleading within the meaning of Sections 12531(a) and/or (b) of the Act.
For purposes of determining if a representation is untrue or misleading as defined in the Act, any name used by a health plan is deemed to be included with the phrase “representation.”
§583. Deceptive Names and Descriptive Terms.
The Attorney General may refuse to register a health plan if its name or any descriptive term which the health plan proposes to use is substantially similar to that used by any other health plan or if the name or descriptive term may be deceptive or may tend to mislead.
§584. Disapproval of Advertising and Solicitations.
(a) Before any new or revised advertising or solicitation is adopted by a health plan for distribution to its members, and before said material is distributed, the health plan shall submit to the Attorney General the proposed new or revised advertising or solicitation;
(b) Within 30 days of receipt thereof, the Attorney General shall prohibit use of the proposed new or revised advertising or solicitation if he determines that it is untrue, misleading or deceptive;
(c) Unless the Attorney General gives written permission to the contrary, no health plan may disseminate or permit or cause to be disseminated any new or revised advertising or solicitation during the 30-day period set forth in subsection (b), above, or at any time after disapproval by the Attorney General.
Unless expressly required by state or federal law, no advertising, solicitation, evidence of coverage or standard supplemental disclosure form may include such words or phrases as “approved by,” “chartered by,” “regulated by,” “supervised by,” “audited by,” “examined by,” “registered with,” “subject to regulation by,” or words or phrases of similar import which state or imply that the health plan has received the approval of, is supervised by, or is subject to supervision by the federal government, a state government or of any agency of either.
§586. Particular Words and Phrases.
Words and phrases such as:
(a) “All,” “complete,” “comprehensive,” “100% coverage,” “unlimited,” or words or phrases of similar import may be used only to describe benefits which have such coverage;
(b) “This contract pays $1,000 for hospital room and board expenses,” “100% coverage for hospital room and board expenses,” or words or phrases of similar import shall not be used if the benefits referred to are limited to a maximum daily benefit, by a maximum time limit or are otherwise limited;
(c) “Best,” “finest,” “most comprehensive,” or any other superlative or word or phrase of similar import shall not be used.
§587. Comparative Advertising.
No health plan may represent directly or indirectly that its facilities or services are equal or superior to facilities or services of another health plan unless the health plan possesses empirical evidence to substantiate the representation and submits such evidence to the Attorney General not less than 30 days prior to the intended date of dissemination.
§588. Special Enrollment Period.
No advertising or solicitation shall state or imply that a particular program of benefits is an introductory, initial, limited or special offer, or that enrollment in the health plan is limited to a specific period unless such is the case and the period of time referred to is disclosed.
§589. Commencement of Benefits.
Where all the benefits under a membership contract are not available to a member at the same time, due to factors such as “waiting periods” or “preexisting condition,” no advertising or solicitation shall state or imply that all benefits are immediately available.
§590. Multiple Contract Benefits.
Any advertising or solicitation which refers to benefits which cannot be obtained in a single contract shall disclose the number of contracts that must be subscribed to or purchased to obtain the benefits represented.
§591. Limitations, Exclusions, Exceptions and Reductions.
Any advertising or solicitation which describes specific benefits available under the membership contract shall also describe with the same prominence the limitations, exclusions, exceptions and reductions applicable to said benefits.
If benefits for a preexisting condition are different from those which would be received if the condition were not preexisting, all advertising and solicitations shall clearly and conspicuously state such fact and disclose the nature and extent of such limitations.
Testimonials used in advertising or solicitations must be genuine, true and not misleading, represent the current opinion of the author, be applicable to the contract advertised, and be accurately reproduced. A health plan using a testimonial makes as its own all the statements contained therein and the advertising or solicitations including such statements are subject to all the provisions of these regulations. No testimonial may be used unless the health plan is able to identify the person giving the testimonial, the date of such testimonial, and the membership contract pertaining thereto. No testimonial shall be made or used if the maker thereof receives, directly or indirectly, any remuneration therefor or has any interest in the health plan other than as a member.
Chapter 6. Gaming Registration
Article 1. Gaming Registration
Note • History
(a) “Dishonesty” means:
(1) a disposition to deceive, cheat, steal or defraud;
(2) an absence of integrity;
(3) a lack of honesty; or
(4) a crime resting on dishonest conduct.
(b) “Direct Financial Interest” means a monetary investment in a gaming club.
(c) “Indirect Financial Interest” means owning 1% or more of any business or corporation that in turn owns all or any part of a gaming club and other business.
(d) “Manager” means anyone who represents the interest of the owner in the operation of a gaming establishment, whose duties include but may not be limited to:
(1) the making or changing of policy;
(2) approving credit;
(3) hiring or firing of employees; or
(4) generally exercising independent judgment in the operation of the business. Such person need not have a financial interest in the business.
NOTE
Authority cited: Section 19803, Business and Professions Code. Reference: Sections 19801, 19802, 19807(a) and 19809(a), Business and Professions Code.
HISTORY
1. New Subchapter 6 (Sections 600-604) filed 6-25-84; designated effective 7-1-84 pursuant to Government Code Section 11346.2(d) (Register 84, No. 26). For history of former Subchapter 6, see Registers 82, No. 4; 74, No. 16 and 74, No. 3.
2. Editorial correction of History 1 (Register 97, No. 28).
§601. Registration; Application.
Note
(a) An application form shall be submitted by all individuals who have or who intend to have a financial or management interest in any gaming establishment.
(b) Part I, General Application Information, shall include substantially the following: name of applicant; type of affiliation with club; club affiliated with, if any; address of club; amount of interest in club; names and addresses of other owners/investors if applicant is not sole owner of the establishment.
(c) Part II, Personal History, shall include substantially the following: personal identifiers; marital information; family information; education; military information; prior criminal activity; residence; employment; and character references.
(d) Part III, Financial History, shall include substantially the following: complete financial history of the applicant, including a statement of assets and liabilities; amount invested or to be invested in the gaming club and source of funds; whether the applicant has ever filed bankruptcy.
(e) Applications shall be submitted on forms supplied by the Department of Justice. The completed initial or first-time registration application shall be accompanied by two completed ten-print applicant fingerprint cards obtained from a law enforcement agency and the specified non-refundable application fee. The Department recognizes that local agencies may charge a fee sufficient to recover costs incurred therein. Applications to renew registration need not be accompanied by fingerprint cards.
NOTE
Authority cited: Section 19803, Business and Professions Code. Reference: Sections 19807(a) and 19809(b), Business and Professions Code.
§602. Annual Renewal of Registration.
Note
Registration shall be renewed on an annual basis following instructions that shall be provided when the initial certificate of registration is issued to the applicant.
NOTE
Authority cited: Section 19803, Business and Professions Code. Reference: Section 19808(a), Business and Professions Code.
§603. Furnishing of Additional Information.
Note
The Attorney General may require an applicant for registration or a registrant to supply additional information beyond what is routinely required to be included in the application form in order to carry out the requirements of the Gaming Registration Act.
NOTE
Authority cited: Section 19803, Business and Professions Code. Reference: Section 19809(b), Business and Professions Code.
§604. Registration; Proof Thereof.
Note
Individuals who are required to register shall be provided with an application form and instructions. Two forms of documentation may constitute proof of compliance with the Act and regulations: 1) possession of a valid “conditional registration” which will allow the applicant to operate pending the outcome of the Department of Justice background investigation conducted pursuant to the submission of an application for registration; or 2) possession of a valid annual registration certificate issued when the background investigation has been completed and the applicant has successfully met the requirements of the Act.
NOTE
Authority cited: Section 19803, Business and Professions Code. Reference: Sections 19805 and 19808(b), Business and Professions Code.
Chapter 6.5 Records and Reports of Monetary Instrument Transaction
Article 1. Reporting Requirements
§650. Compliance with Penal Code Sections 14126(a) and (b).
Note
(a) Penal Code section 14162(a), effective January 1, 1987, requires certain financial institutions to make and keep a record of each monetary transaction in excess of $10,000; additionally, the financial institution shall file a report of a monetary transaction with the Department of Justice in a form and at the time as set forth by the Department.
(b) Penal Code section 14162(b), effective January 1, 1987, requires financial institutions other than those covered in Penal Code section 14162(a) to file duplicate copies of the reports required by sections 5313 and 5314 of Title 31 of the United States Code and regulations adopted pursuant to those sections.
(c) No filing of any such report shall be required by the Department until such time as subsequent regulations, specifying the filing time and form for such reports, are adopted.
(d) Nothing stated in this section is intended to, not shall it be deemed to, prevent the investigation or prosecution of any criminal offense set forth in Penal Code Section 186.2, 186.10 and 14166. Nothing stated in this section is intended to, not shall it be deemed to, prevent the imposition of any term of incarceration or monetary penalty set forth in Penal Code sections 186.2, 186.10 and 14166.
(e) Nothing in this section shall be deemed to prevent any law enforcement or prosecuting agency from obtaining reports currently being compiled pursuant to federal reporting requirements by any other lawful means available.
(f) Nothing in this section shall be deemed to suspend the requirement that a financial institution make and keep record of each transaction in excess of $10,000.
NOTE
Authority cited: Section 14160(b), Penal Code. Reference: Section 14162(a) and (b), Penal Code. (New Subchapter 6.5, Section 650, filed 1-21-87, operative 1-22-87; Register 87, No. 5. The “subsequent regulations” referred to in subsection (c) will be found in reserved Section 651, when adopted.
§651. Filing Requirements. (Reserved)
Chapter 7. Criminal Offender Record Information Security
Article 1. Mandatory Securing of Criminal Offender Record Information
Note • History
NOTE
Authority cited: Section 11077, Penal Code. Reference: Sections 11075-11081, Penal Code.
HISTORY
1. New Subchapter 7 (Article 1, Sections 700-710) filed 6-6-75; effective thirtieth day thereafter (Register 75, No. 23).
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).
History
For the purposes of this article, the following definitions shall apply whenever the terms are used.
(a) “Criminal Justice Agency” means a public agency or component thereof which performs a criminal justice activity as its principal function.
(b) “Authorized Person or Agency” means any person or agency authorized by court order, statute, or decisional law to receive criminal offender record information.
(c) (Reserved)
(d) (Reserved)
(e) (Reserved)
(f) “Record Check” means obtaining the most recent rap sheet from the California Department of Justice.
HISTORY
1. Order of Repeal of subsections (c)-(e) filed 6-3-85 by OAL pursuant to Government Code Section 11349.7; effective thirtieth day thereafter (Register 85, No. 26).
§702. Compliance with State Regulations.
History
(a) (Reserved)
(b) (Reserved)
(c) The California Department of Justice shall conduct audits of authorized persons or agencies using criminal offender record information to insure compliance with the State regulations.
(d) (Reserved)
(e) Authorized persons or agencies violating these regulations may lose direct access to criminal offender record information maintained by the California Department of Justice.
HISTORY
1. Order of Repeal of subsections (a), (b) and (d) filed 6-3-85 by OAL pursuant to Government Code Section 11349.7; effective thirtieth day thereafter (Register 85, No. 26).
§703. Release of Criminal Offender Record Information.
History
(a) (Reserved)
(b) Criminal offender record information may be released, on a need-to-know basis, only to persons or agencies authorized by court order, statute, or decisional law to receive criminal offender record information.
(c) (Reserved)
(d) Record checks shall be conducted on all personnel hired after July 1, 1975, who have access to criminal offender record information.
HISTORY
1. Order of Repeal of subsections (a) and (c) filed 6-3-85 by OAL pursuant to Government Code Section 11349.7; effective thirtieth day thereafter (Register 85, No. 26).
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).
§705. Review of Criminal Offender Record 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).
§706. Protection of Criminal Offender Record 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).
(a) Automated systems handling criminal offender record information and the information derived therefrom shall be secure from unauthorized access, alteration, deletion, or release. The computer system and terminals shall be located in secure premises. Non-criminal justice agencies shall not receive criminal offender record information directly from an automated criminal justice system.
(b) Record checks shall be conducted on all personnel hired after July 1, 1975, who have access to the computer system, its terminals, or the stored criminal offender record information.
(c) Each authorized agency shall keep a record of each release of criminal offender record information from the automated system. The record shall be retained and available for inspection for a period of not less than three years from the date of release. This record shall contain the date of release, the requesting terminal identifier, the receiving terminal identifier, and the information given.
§708. Destruction of Criminal Offender Record Information.
History
(a) When criminal offender record information is destroyed, the destruction shall be carried out to the extent that the identity of the subject can no longer reasonably be ascertained. When criminal offender record information is destroyed outside of the authorized agency, a person designated by the agency shall witness the destruction.
(b) (Reserved)
(c) Printouts of criminal offender record information obtained through system development, test, or maintenance shall be destroyed at the completion of the function or purpose for which the printout was obtained.
HISTORY
1. Order of Repeal of subsection (b) filed 6-3-85 by OAL pursuant to Government Code Section 11349.7; effective thirtieth day thereafter (Register 85, No. 26).
§709. Reproduction of Criminal Offender Record 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).
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. Suppression of Incomplete Criminal History Information
Note • History
This Article shall be known as “Suppression of Incomplete Criminal History Information.” The Department of Justice is statutorily mandated to maintain state summary criminal history information reported to it, and to furnish such information to any authorized person, agency, officer, official of state or local government, public utility, or entity to assist in fulfilling employment, licensing, or certification duties. These regulations make specific the steps the Department will take to obtain disposition information corresponding to each arrest reported, and make clear what criminal history information, if any, will be furnished to an authorized entity for employment, licensing or certification purposes, when complete criminal history information is not available.
NOTE
Authority cited: Section 11077, Penal Code. Reference: Section 11105, Penal Code.
HISTORY
1. New article 2 (sections 720-724) and section filed 7-28-2005; operative 8-27-2005 (Register 2005, No. 30).
§721. Definition of Key Terms.
Note • History
The following definitions shall be applicable when used in these regulations:
(a) “Attorney General” means the Attorney General of the State of California or any employee of the Attorney General acting under the authority of the Attorney General. The term Attorney General may be used interchangeably with the term Department of Justice.
(b) “Authorized entity” means any entity or individual authorized by a court, statute or decisional law to receive state summary criminal history information to assist in fulfilling their employment, licensing, or certification duties.
(c) “Criminal justice agencies” means those agencies involved in the apprehension, prosecution, adjudication, incarceration, or correction of criminal offenders; or those agencies responsible for the reporting of criminal offender record information to the Department of Justice.
(d) “Department of Justice” means the California Department of Justice or any employee of the Department of Justice acting under the authority of the Department of Justice, and may be referred to as “the Department” or as “DOJ”.
(e) “Disposition” means the outcome of the arrest charge(s), including but not limited to, conviction, dismissal, acquittal, imposition of sentence by a court, decision by the prosecuting agency not to file or pursue the charge(s), or verification that the arrest charge(s) are pending.
(f) “FBI” means the Federal Bureau of Investigation.
(g) “State summary criminal history” means the California master record of information compiled and maintained by the Department of Justice pertaining to the identification and criminal history of any person, such as name(s), date of birth, physical description, fingerprints, photographs, date of arrest(s), arresting agency or agencies, booking number(s), charge(s), disposition(s), and similar data.
NOTE
Authority cited: Section 11077, Penal Code. Reference: Sections 11105, 13101 and 13125, Penal Code.
HISTORY
1. New section filed 7-28-2005; operative 8-27-2005 (Register 2005, No. 30).
§722. Process to Obtain Complete Criminal History Information.
Note • History
(a) If an individual, as a condition of obtaining employment, or a license, permit or certificate, is required to submit to a state-level criminal history record check, a search of DOJ's criminal history records shall be conducted to determine whether the individual has any record of criminal conduct in California.
(b) When the state criminal history record does not include disposition information corresponding to each and every arrest, DOJ shall make the following efforts to obtain the missing disposition information:
(1) The Department shall query the arresting agency, the prosecuting agency, and the court or local probation agency as applicable; and
(2) If the Department is unable to obtain the missing disposition information from any of these agencies, the Department shall query any other criminal justice agencies that might possess the missing disposition information for the arrest in question.
(c) If an individual, as a condition of obtaining employment, or a license, permit or certificate, is also required to submit to a national-level criminal history record check, DOJ will initiate a search of the FBI's criminal history records to determine whether the individual has any record of criminal conduct in any other jurisdiction.
(d) When the national criminal history record does not include disposition information for each and every arrest, the Department shall make the following efforts to obtain the missing disposition information:
(1) The Department shall search the available automated systems of the out-of-state or federal agency that originated the arrest entry; and
(2) If the Department is unable to obtain the missing disposition information through these efforts, the Department shall query the appropriate state, local or federal agency, as identified by the FBI.
NOTE
Authority cited: Section 11077, Penal Code. Reference: Section 11105 and 13101, Penal Code.
HISTORY
1. New section filed 7-28-2005; operative 8-27-2005 (Register 2005, No. 30).
§723. Suppression of Incomplete Criminal History Information.
Note • History
(a) When the Department has exhausted all efforts described in 722, the disposition information shall be deemed to be unavailable. The Department shall not be required to repeat the Section 722(b) and (d) searches for an unavailable disposition in response to any future request from an authorized entity.
(b) Unless information release is otherwise authorized by law, whenever DOJ furnishes either national or state summary criminal history information to an authorized entity for employment, licensing or certification purposes, the Department shall not disclose any information related to any arrest for which it is unable to obtain a corresponding disposition. The Department shall furnish all other criminal history information, if any, which it is authorized to disclose pursuant to the statute(s) governing the specific applicant type.
(c) Unless otherwise authorized by law, where only an arrest record exists but the Department is unable to obtain corresponding disposition information, the Department shall suppress that arrest information and provide the authorized agency with a response that no criminal history information exists.
NOTE
Authority cited: Section 11077, Penal Code. Reference: Section 432.7, Labor Code; Sections 11105 and 13203, Penal Code; Central Valley Chapter of the 7th Step Foundation, Inc. v. Younger (1979) 95 Cal.App.3d 212; and Central Valley Chapter of the 7th Step Foundation, Inc. v. Younger (1989) 214 Cal.App.3d 145.
HISTORY
1. New section filed 7-28-2005; operative 8-27-2005 (Register 2005, No. 30).
Note • History
The Department shall maintain an audit trail of its efforts to obtain missing arrest disposition information. For each arrest on a subject's record for which the Department is unable to obtain a corresponding disposition, the audit trail information shall include the identity of the person conducting the query, the date of each query, each agency and/or database queried, and the result of each query.
NOTE
Authority cited: Section 11077, Penal Code. Reference: Section 11105, Penal Code.
HISTORY
1. New section filed 7-28-2005; operative 8-27-2005 (Register 2005, No. 30).
Chapter 8. Controlled Substances
Article 1. Controlled Chemical Substance Permitting
Note • History
For purposes of this chapter the following definitions apply:
(a) “Controlled Chemical Substance” means any one of the chemical substances listed under Health and Safety Code Section 11100(a).
(b) “Controlled Chemical Substance Permit” means a permit issued by this Department to conduct business using controlled chemical substances as defined under Health and Safety Code Section 11100(a).
(c) “Applicant” means anyone who manufactures, sells, transfers, furnishes or obtains from outside of the state or who is the duly authorized agent of anyone who manufacturers, sells, transfers, furnishes or obtains from outside of the state, any substance as listed under Health and Safety Code Section 11100(a) and applies for a Controlled Chemical Substance Permit.
(d) “Manufacturer, retailer or wholesaler” means anyone who owns, or who represents the owner of, an operation or business enterprise dealing in the manufacture, sale, transfer, furnishing, or obtaining from outside of the state of any substance as listed in Health and Safety Code Section 11100(a).
(e) “Duly authorized federal or state official” means the chief of a law enforcement agency or a designated subordinate.
(f) “Department” means the California Department of Justice.
(g) “Duly authorized agent” or “representative” means anyone who is responsible for the disbursement and/or custody of controlled chemical substances listed in Health and Safety Code Section 11100(a).
NOTE
Authority cited: Section 11102, Health and Safety Code. Reference: Sections 11100 and 11106, Health and Safety Code.
HISTORY
1. New section filed 5-13-88; operative 6-12-88 (Register 88, No. 21). For prior history, see Register 85, No. 26.
2. New subsection (f) filed 2-21-92; operative 3-23-92 (Register 92, No. 12).
3. Amendment of article heading, section and Note filed 8-28-2006; operative 9-27-2006 (Register 2006, No. 35).
§801. Controlled Chemical Substance Permit Issuance; Application; Fees.
Note • History
(a) Except where a permit is not required as specified under Health and Safety Code section 11106(a), an application form must be submitted by any manufacturer, wholesaler, retailer, or any other person or entity in this state that sells, transfers, furnishes or obtains from outside of the state any substance as listed in Health and Safety Code Section 11100(a).
(b) The Department shall provide the Bureau of Narcotic Enforcement form BNE 010 (Rev. 06/06) Application for Controlled Chemical Substance Permit (which is incorporated by reference), which is to be completed, signed and notarized under penalty of perjury to obtain information to identify the person or entity applying for a permit and that person's business. This application must be filed by each person or entity as specified in subsection (a) above. Each application shall also include a personal history statement (part II of the application form) completed by each owner, partner, corporate officer, manager or any representative with management or control of any substance listed on the permit application.
(c) The Department may require an applicant for a permit to supply additional follow-up or clarifying information beyond what is routinely required to be included in the application form; the Department may also require an inspection of the applicant's premises where controlled chemical substances are proposed to be stored and/or handled.
(d) As a condition of obtaining and holding a permit, the Department or any duly authorized federal or state official shall have authority to make any examination of the books, records and/or inventory of any applicant or person granted a permit, and visit and inspect the premises of the aforementioned during normal business hours as deemed necessary to carry out Chapter 3 of Division 10 of the Health and Safety Code.
(e) If any information submitted in the original application changes, the applicant shall notify the Department in writing within 15 calendar days.
(f) The completed permit application shall be accompanied by the following: 1) a completed ten-print fingerprint card or live scan, which can be obtained and printed at any local law enforcement agency, for each individual acting in the capacity of an owner, manager, agent, or representative for the applicant and each individual employee who has direct access, management or control of any substance listed under subdivision (a) of Health and Safety Code Section 11100; 2) a non-refundable application fee which consists of $1,000 for each application form submitted; and 3) the Department fingerprint processing fee for each ten-print fingerprint card or live scan submitted. The Directors and Officers of publicly held corporations of 50 or more shareholders need not submit a live scan or fingerprint card.
(g) Upon completion of the application processing, the Department will either deny or grant the applicant a permit that will be valid for one year from the date of issue unless suspended or revoked.
NOTE
Authority cited: Sections 11102 and 11106, Health and Safety Code. Reference: Section 11106, Health and Safety Code.
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).
2. Amendment filed 5-13-88; operative 6-12-88 (Register 88, No. 21).
3. Amendment filed 2-21-92; operative 3-23-92 (Register 92, No. 12).
4. Amendment of section heading, section and Note filed 8-28-2006; operative 9-27-2006 (Register 2006, No. 35).
§802. Annual Renewal; Permit Issuance.
Note • History
(a) The Controlled Chemical Substance Permit must be renewed on an annual basis. The Department will provide current permittees with renewal applications at least sixty days prior to the expiration of the permittees' current Controlled Chemical Substance Permit. This renewal application will require the permittee(s) to complete a Bureau of Narcotic Enforcement form BNE 010 (Rev 06/06) Application for Controlled Chemical Substance Permit (which is incorporated by reference). However, if there is no change from the previous application, a copy of that application with a declaration under penalty of perjury may be accepted as a renewal application. The renewal application will be accompanied by one set of 10-print fingerprint cards or live scan for anyone not previously fingerprinted. The permittee(s) must submit the provided renewal application, which must be received by the Department on or before the expiration date of the current Controlled Chemical Substance Permit. The current permit renewal fee shall consist of a non-refundable fee of $500 for the cost of processing the renewal application and the current Department of Justice fingerprint processing fee for each set of ten-print fingerprint cards/scans submitted with the application.
(b) Permittees submitting a renewal application received by the Department on or before the date of expiration will be permitted to continue their operations under the authority of the previously issued permit. Failure to meet this deadline will cause the permit to expire and the permit application process will have to be started anew by the permittee(s).
NOTE
Authority cited: Section 11102, Health and Safety Code. Reference: Section 11106, Health and Safety Code.
HISTORY
1. New section filed 5-13-88; operative 6-12-88 (Register 88, No. 21). For prior history, see Register 85, No. 26.
2. Amendment filed 2-21-92; operative 3-23-92 (Register 92, No. 12).
3. Amendment of section and Note filed 8-28-2006; operative 9-27-2006 (Register 2006, No. 35).
§803. Permittee Information Changes.
Note • History
If any information submitted in the original application or subsequent renewal application changes, or in the event of any change in ownership, management, or employment from the original or renewal application, the permittee shall notify the Department in writing within 15 calendar days and shall submit a personal history statement (part II of the application) and one set of 10-print fingerprint cards or live scan for each added individual having management or control of any controlled chemical substance listed under Health and Safety Code section 11100(a). If any change of employment results in an employee not previously fingerprinted having direct access to any controlled chemical substance, that employee must submit one set of 10-print fingerprint cards or live scan.
NOTE
Authority cited: Section 11102, Health and Safety Code. Reference: Section 11106, Health and Safety Code.
HISTORY
1. New section filed 8-28-2006; operative 9-27-2006 (Register 2006, No. 35). For prior history, see Register 85, No. 26.
§804. Permit Denial, Suspension or Revocation.
Note • History
(a) A permit shall be denied upon application, and a permit may be suspended or revoked, if the applicant or permittee or their agents, representatives, or employees have committed any acts or failures set forth in Health and Safety Code Section 11106(d) or any of the following:
(1) obtained a permit by fraud, misrepresentation, concealment, or through inadvertence or mistake.
(2) made a misrepresentation of, or failed to disclose, a material fact to the Department, or any duly authorized federal or state official.
(3) failed to comply with the processes and/or reporting requirements set forth by Article 1, Chapter 3 of the Health and Safety Code (Section 11100 et seq).
(4) failed to take reasonable steps to prevent any dishonest act(s) or illegal activity substantially related to the qualifications, functions, or duties of a permit holder from occurring on the premises used in the manufacture, sale or transfer of controlled chemical substances.
(b) Revocation or suspension of a permit shall preclude the transfer, sale or furnishing of any substance as set forth in Health and Safety Code Section 11100 until such a time as a permit is re-issued or under order of the court.
(c) Suspension or revocation of a permit for any of the reasons specified in subparagraph (a) shall not preclude the Department or local enforcement agencies from filing criminal charges for any act done which is grounds for suspension or revocation, which act might otherwise constitute a public offense.
NOTE
Authority cited: Section 11102, Health and Safety Code. Reference: Section 11106, Health and Safety Code.
HISTORY
1. New section filed 5-13-88; operative 6-12-88 (Register 88, No. 21). For prior history, see Register 85, No. 26.
2. Amendment filed 2-21-92; operative 3-23-92 (Register 92, No. 12).
3. Amendment of section and Note filed 8-28-2006; operative 9-27-2006 (Register 2006, No. 35).
§805. Permit Holder Responsibility.
Note • History
Any act by any employee or other individual on behalf of the permitted individual or company which constitutes a violation of Chapter 3 of Division 10 of the Health and Safety Code shall constitute grounds for revocation or denial of the permit.
NOTE
Authority cited: Section 11102, Health and Safety Code. Reference: Section 11106(c), (e) and (f), Health and Safety Code.
HISTORY
1. New section filed 5-13-88; operative 6-12-88 (Register 88, No. 21).
2. Amendment filed 2-21-92; operative 3-23-92 (Register 92, No. 12).
§806. Permit Denial, Suspension or Revocation Hearings.
Note • History
All hearings related to Controlled Chemical Substance Permit denial, suspension, or revocation shall be conducted in accordance with Chapter 5 (commencing with Section 11500) of Part 1 of Division 3 of Title 2 of the Government Code.
NOTE
Authority cited: Section 11102, Health and Safety Code. Reference: Section 11106, Health and Safety Code.
HISTORY
1. New section filed 5-13-88; operative 6-12-88 (Register 88, No. 1).
2. Amendment filed 2-21-92; operative 3-23-92 (Register 92, No. 12).
3. Amendment filed 8-28-2006; operative 9-27-2006 (Register 2006, No. 35).
Note • History
(a) Within 30 days after the date of receipt of an application, the Department shall either inform the applicant, in writing, that the application is complete and accepted for filing, or return the application as deficient and specify what information is required. Within 180 days from the date of the receipt of a completed application, the Department shall reach a permit decision unless time is waived by the applicant.
(b) Processing time for Controlled Chemical Substance Permits to be issued by the Department is established with a minimum of 90 days and a maximum of 180 days.
NOTE
Authority cited: Section 11102, Health and Safety Code. Reference: Section 11106, Health and Safety Code.
HISTORY
1. New section filed 2-21-92; operative 3-23-92 (Register 92, No. 12).
2. Amendment of subsection (b) and Note filed 8-28-2006; operative 9-27-2006 (Register 2006, No. 35).
§808. Permit Registration; Proof Thereof.
Note • History
NOTE
Authority cited: Section 11102, Health and Safety Code. Reference: Section 11106, Health and Safety Code.
HISTORY
1. New section filed 5-13-88; operative 6-12-88 (Register 88, No. 21).
2. Repealer filed 2-21-92; operative 3-23-92 (Register 92, No. 12).
Article 2. Controlled Chemical Substance Program Citations
Note • History
(a) The Program Manager of the Controlled Chemical Substance Program of the Bureau of Narcotic Enforcement of the Department may issue a citation to any permittee holding a Controlled Chemical Substance Permit for a minor violation of a provision of law or a regulation enforced by the Department's program.
(b) The issuance or non-issuance of a citation does not preclude the Department from filing a disciplinary action to revoke or suspend a permit.
NOTE
Authority cited: Sections 11102 and 11106.7, Health and Safety Code. Reference: Section 11106.7, Health and Safety Code.
HISTORY
1. New article 2 (sections 810-810.7) and section filed 8-28-2006; operative 9-27-2006 (Register 2006, No. 35).
Note • History
Each citation:
(a) shall be in writing;
(b) shall describe with particularity the nature of the violation, including specific reference to the provision of law or specific regulation determined to have been violated;
(c) may contain an administrative fine, an order of abatement affixing a reasonable period of time for abatement of the violation, or both an administrative fine and an order of abatement;
(d) shall inform the cited person that if he or she desires a hearing to contest the finding of a violation, that hearing shall be requested by written notice to the Department within 30 days of the issuance of the citation.
NOTE
Authority cited: Sections 11102 and 11106.7, Health and Safety Code. Reference: Section 11106.7, Health and Safety Code.
HISTORY
1. New section filed 8-28-2006; operative 9-27-2006 (Register 2006, No. 35).
Note • History
(a) An order of abatement may include an order to correct a deficiency; to require the introduction of, or compliance with, an approved procedure or action; or to cease and desist from a specific action.
(b) The abatement order shall contain a reasonable time in which the cited permittee must comply.
(c) The abatement order may be modified with the approval of the Program Manager if the alternative compliance appears to be a reasonable solution to the correction of the violation.
NOTE
Authority cited: Sections 11102 and 11106.7, Health and Safety Code. Reference: Section 11106.7, Health and Safety Code.
HISTORY
1. New section filed 8-28-2006; operative 9-27-2006 (Register 2006, No. 35).
Note • History
(a) The fine for an initial violation shall be a maximum of $1,000 per individual violation.
(b) The fine for a subsequent violation shall be a maximum of $2,500 per individual violation.
(c) A third violation may result in the filing of an administrative disciplinary action seeking to suspend or revoke the permit.
NOTE
Authority cited: Sections 11102 and 11106.7, Health and Safety Code. Reference: Section 11106.7, Health and Safety Code.
HISTORY
1. New section filed 8-28-2006; operative 9-27-2006 (Register 2006, No. 35).
§810.4. Administrative Fine Assessment.
Note • History
In assessing the administrative fine, the Program Manager shall consider the following factors at minimum:
(a) The nature and severity of the violation.
(b) History of violations of the same or similar nature.
(c) The good or bad faith exhibited by the cited permittee.
(d) Evidence that the violation was willful.
(e) The extent to which the cited permittee has cooperated with the Department.
NOTE
Authority cited: Sections 11102 and 11106.7, Health and Safety Code. Reference: Section 11106.7, Health and Safety Code.
HISTORY
1. New section filed 8-28-2006; operative 9-27-2006 (Register 2006, No. 35).
Note • History
(a) A citation shall be served either personally or by certified mail, return receipt requested, to the permittee's address. Upon the date of personal service or upon the date of receipt of certified mail, the citation shall be considered to have been issued and service shall be considered to be complete.
(b) The time to comply with the citation shall commence upon service.
NOTE
Authority cited: Sections 11102 and 11106.7, Health and Safety Code. Reference: Section 11106.7, Health and Safety Code.
HISTORY
1. New section filed 8-28-2006; operative 9-27-2006 (Register 2006, No. 35).
Note • History
(a) A cited permittee who desires a hearing to contest the finding of the violation or the order of abatement or fine assessment may request the hearing by written notice to the Department within 30 days of the date of issuance of the citation or assessment. This hearing will be conducted in accordance with Chapter 5 (commencing with section 11500) of Part 1 of Division 3 of Title 2 of the Government Code.
(b) In addition to requesting a hearing, the permittee cited may, within ten days after service of the citation, notify the Program Manager in writing of his or her request for an informal conference with the Program Manager regarding the acts charged in the citation. The time allowed for the request shall begin the first day after the citation has been served.
(c) The Program Manager shall, within 30 days from receipt of a request for an informal conference, hold an informal conference with the permittee cited and with or without his or her legal counsel or authorized representative. At the conclusion of the informal conference, the Program Manager may affirm, modify, or dismiss the citation, including any administrative fine levied or order of abatement issued. The Program Manager shall state in writing the reasons for his or her action and serve or mail a copy of his or her findings and decision to the permittee cited within ten days from the date of the informal conference. The decision shall be deemed to be a final order with regard to the citation issued, including the administrative fine levied and the order of abatement.
(d) The permittee cited does not waive his or her request for a hearing to contest a citation by requesting an informal conference after which the citation is affirmed by the Program Manager. If the citation is dismissed after the informal conference, the request for a hearing on the matter of the citation shall be deemed to be withdrawn. If the citation, including any administrative fine levied or order of abatement, is modified, the originally issued citation shall be considered withdrawn and a new citation issued. If a hearing is requested for the subsequent citation, it shall be requested within 30 days in accordance with subsection (a).
NOTE
Authority cited: Sections 11102 and 11106.7, Health and Safety Code. Reference: Section 11106.7, Health and Safety Code.
HISTORY
1. New section filed 8-28-2006; operative 9-27-2006 (Register 2006, No. 35).
§810.7. Failure to Comply with Citation Order.
Note • History
(a) The time allowed for abatement of a violation shall begin the first day after the order of abatement has been served. If a cited permittee who has been issued an order of abatement is unable to complete the abatement within the time set forth in the citation because of conditions beyond his or her control after the exercise of reasonable diligence, the permittee cited may request an extension of time from the Program Manager in which to complete the abatement. Such a request shall be in writing and shall be made within the time set forth for abatement.
(b) The time allowed for the payment of the administrative fine shall be 30 days from the receipt of service of the citation, unless a longer period of time is authorized by the Program Manager.
(c) When an order of abatement or administrative fine is not contested or if the order is appealed and the permittee cited does not prevail, failure to abate the violation charged within the time specified in the citation or failure to pay an administrative fine within the required time shall constitute grounds for disciplinary action.
NOTE
Authority cited: Sections 11102 and 11106.7, Health and Safety Code. Reference: Section 11106.7, Health and Safety Code.
HISTORY
1. New section filed 8-28-2006; operative 9-27-2006 (Register 2006, No. 35).
Chapter 9. Report of Child Abuse
Article 1. Administration of the Child Abuse Central Index
Note • History
The regulations in this article are enacted pursuant to Penal Code sections 11169 and 11170 and set forth the procedures used by the California Department of Justice (DOJ) to administer the Child Abuse Central Index (CACI). The CACI is created pursuant to the Child Abuse and Neglect Reporting Act (CANRA). (Penal Code section 11164 et seq.)
CANRA requires that instances of suspected child abuse or neglect be investigated by county welfare departments or local law enforcement agencies. When an agency conducting an abuse or neglect investigation determines that the allegations of abuse or severe neglect are not unfounded as defined by CANRA, the agency must submit, a report in writing to the DOJ indicating whether the agency's finding is inconclusive or substantiated as these terms are defined by CANRA (Penal Code section 11169(a)). The DOJ is required to prepare a form to be used by the investigating agency to report its finding to the DOJ that allegations of child abuse or severe neglect are not unfounded. The CACI contains the information submitted to the DOJ by the investigating agencies on the Child Abuse or Severe Neglect Indexing Form (BCIA 8583).
The submitting investigating agencies are solely responsible for the accuracy and completeness of the information required on the BCIA 8583. The DOJ is responsible for ensuring that the CACI accurately reflects the information the DOJ receives on the reporting form from the submitting agency. The information in CACI is confidential and shall only be provided to entities authorized to receive it pursuant to Penal Code sections 11167.5, 11170 and 11170.5 or any other provision of law.
These regulations broadly describe how CACI information is collected and disseminated, and include the BCIA 8583 that the investigating county welfare departments and local law enforcement agencies must use to report its finding of substantiated or inconclusive child abuse or severe neglect.
NOTE
Authority cited: Section 11170(a)(1), Penal Code. Reference: Section 11170(a)(1), Penal Code.
HISTORY
1. New article 1 (sections 900-911) and section filed 7-17-98; operative 7-17-98 pursuant to Government Code section 11343.4(d) (Register 98, No. 29). For prior history of article 1, see Register 81, No. 46.
2. Amendment of section and Note filed 4-22-2002; operative 5-22-2002 (Register 2002, No. 17).
3. Amendment filed 5-12-2006; operative 6-11-2006 (Register 2006, No. 19).
4. Amendment of article heading, repealer of article 1 (sections 900-911) and new article 1 (sections 900-906), repealer and new section and amendment of Note filed 1-5-2010; operative 1-5-2010 pursuant to Government Code section 11343.4 (Register 2010, No. 2).
§901. Form Required for Submitting Report of Suspected Child Abuse or Severe Neglect.
Note • History
(a) Agencies required to report instances of known or suspected child abuse or severe neglect for inclusion in CACI pursuant to Penal Code 11169 shall make their report of known or suspected abuse or severe neglect on the BCIA 8583. All information on the BCIA 8583 must be fully and accurately completed by the submitting agency.
(b) The following BCIA 8583 shall be used for submitting reports of child abuse or severe neglect to the DOJ:
NOTE
Authority cited: Section 11170(a)(1), Penal Code. Reference: Sections 11169(a) and 11170(a)(1), Penal Code.
HISTORY
1. New section filed 7-17-98; operative 7-17-98 pursuant to Government Code section 11343.4(d) (Register 98, No. 29).
2. Amendment of section and Note filed 4-22-2002; operative 5-22-2002 (Register 2002, No. 17).
3. Amendment filed 5-12-2006; operative 6-11-2006 (Register 2006, No. 19).
4. Amendment of section heading, repealer and new section (including relocation and amendment of form BCIA 8583 from section 903 to section 901) and amendment of Note filed 1-5-2010; operative 1-5-2010 pursuant to Government Code section 11343.4 (Register 2010, No. 2).
§902. Responsibilities of Agencies Submitting Reporting Form.
Note • History
(a) In order to fully meet its obligations under CANRA, an agency required to report instances of known or suspected child abuse or severe neglect must complete all of the information on the BCIA 8583. Only information from a fully completed BCIA 8583 will be entered into the CACI. Incomplete forms will be returned to the submitting agency and the agency must resubmit a completed form to fulfill its reporting responsibilities under CANRA and Penal Code section 11169(a). Penal Code section 11170(a)(2) provides that the submitting agency is responsible for the accuracy and completeness of the report required by CANRA and states that the DOJ is only responsible for ensuring that the CACI accurately reflects the report it receives from the submitting agency. Accordingly, the DOJ presumes that the information provided by the submitting agency on the BCIA 8583 is accurate. The DOJ does not conduct an investigation to verify the accuracy of the information submitted nor does it investigate the quality or accuracy of the abuse or severe neglect investigation conducted by the submitting agency.
(b) A submitting agency must immediately notify the DOJ of any changes to information previously provided on a BCIA 8583 by submitting an amended BCIA 8583. Instances when an amended BCIA 8583 is required includes, but is not limited to, a circumstance where the submitting agency, acting pursuant to a court order or otherwise, changes a prior finding of substantiated or inconclusive abuse or severe neglect to one of unfounded. Conversely, if an original finding of an unfounded allegation of abuse or severe neglect is later reclassified as inconclusive or substantiated, the investigating agency must submit a BCIA 8583 to meet its reporting obligations under CANRA.
(c) A primary purpose of CACI is to permit authorized entities to locate prior reports detailing investigations of known or suspected child abuse or severe neglect. The submitting agency must permanently retain investigative reports for which it has submitted a BCIA 8583, or earlier version thereof, if the investigative report substantiated allegations of abuse or severe neglect unless the agency, acting pursuant to court order or otherwise, determines that the allegations investigated are unfounded. If the investigative report was inconclusive about the existence of child abuse or severe neglect, the report must be retained for ten years unless there is an investigation of subsequent allegations of child abuse or severe neglect against the same child or by the same suspect(s) which determines the allegations are not unfounded. If the investigation of subsequent allegations is inconclusive, the original investigative report and the subsequent investigative report must be retained for ten years after filing the BCIA 8583 for the subsequent instance of abuse or severe neglect with DOJ. When the subsequent investigation determines that the subsequent allegations of abuse or severe neglect are substantiated, all prior remaining investigative reports involving the same victims or suspects must be retained permanently.
(d) If a submitting agency has lost, destroyed or otherwise no longer retains or pursuant to court order has sealed the investigatory report(s) for a prior report that are indexed on CACI, the submitting agency shall immediately notify the DOJ of the loss, destruction sealing, or non-retention of the investigatory report by filing an amended BCIA 8583 indicating that the investigatory report is no longer retained. The DOJ will remove from CACI the names of individuals identified in the lost, destroyed sealed or no longer retained investigatory report(s) indexed in CACI.
NOTE
Authority cited: Section 11170(a)(1), Penal Code. Reference: Sections 11169(a), 11169(c), 11170(a)(1), 11170(a)(2) and 11170(a)(3), Penal Code.
HISTORY
1. New section filed 7-17-98; operative 7-17-98 pursuant to Government Code section 11343.4(d) (Register 98, No. 29).
2. Amendment of section and Note filed 4-22-2002; operative 5-22-2002 (Register 2002, No. 17).
3. Amendment filed 5-12-2006; operative 6-11-2006 (Register 2006, No. 19).
4. Amendment of section heading, repealer and new section and amendment of Note filed 1-5-2010; operative 1-5-2010 pursuant to Government Code section 11343.4 (Register 2010, No. 2).
§903. Entities Authorized to Access CACI Information May Not Make Determinations Based Solely on the CACI Listing.
Note • History
A primary purpose of CACI is to permit authorized entities to locate prior reports detailing investigations of known or suspected child abuse or severe neglect. An entity receiving information from CACI is responsible for reviewing the underlying investigative report(s) from the agency submitting the CACI report and making an independent assessment regarding the merits of the investigating agency's finding of substantiated or inconclusive child abuse or severe neglect. Penal Code section 11170(b)(9)(A) provides that an entity receiving CACI information is responsible for obtaining the original investigative report from the reporting agency, and for drawing independent conclusions regarding the quality of the evidence disclosed, and its sufficiency for making decisions regarding investigation, prosecution, employment, licensing, adoption or placement of a child. An entity receiving CACI information shall not act solely upon CACI information or the fact that an individual is listed on CACI to grant or deny any benefit or right.
NOTE
Authority cited: Sections 11170(a)(1), 11170(b)(9)(A) and 11170(e)(2), Penal Code. Reference: Sections 11167.5, 11169(a), 11170(b)(9)(A), 11170(c) and 11170(e)(2), Penal Code.
HISTORY
1. New section filed 7-17-98; operative 7-17-98 pursuant to Government Code section 11343.4(d) (Register 98, No. 29).
2. Amendment of section and Note filed 4-22-2002; operative 5-22-2002 (Register 2002, No. 17).
3. Editorial correction providing clean copy of Form SS 8583 (Register 2002, No. 21).
4. Amendment filed 5-12-2006; operative 6-11-2006 (Register 2006, No. 19).
5. Amendment of section heading, repealer and new section (including relocation of form BCIA 8583 from section 903 to section 901) and amendment of Note filed 1-5-2010; operative 1-5-2010 pursuant to Government Code section 11343.4 (Register 2010, No. 2).
§904. DOJ Notification When a Submitting Agency Provides Names Identified in Existing CACI Entries.
Note • History
(a) When the DOJ receives a completed BCIA 8583 identifying the name of a suspect or victim that results in a possible match with names contained in the CACI, the DOJ will notify the submitting agency in writing of the prior report in CACI which has the same possible suspect or victim match. The notification will include the name of the prior submitting agency, the submitting agency's report number for the prior report, the date of the report and the determination made by that agency as to whether the allegation of abuse or severe neglect was inconclusive or substantiated. The DOJ will also provide notification and the above information to prosecutors who request notification of subsequent CACI entries regarding victims or suspects identified in prior investigative reports entered in CACI.
(b) If a new report contains a suspect match with a prior report of inconclusive abuse or severe neglect, the DOJ will notify in writing the agency submitting the prior report that it must retain its investigatory file(s) for the inconclusive finding of abuse or severe neglect for at least ten (10) years from the date the new report is entered into CACI.
(c) The notifications set forth in subdivisions (a) and (b) will be made even if the agency submitting the new report is the same agency that submitted the prior report.
NOTE
Authority cited: Section 11170(a)(1), Penal Code. Reference: Sections 11169(c), 11170(b)(1)-(10), 11170(c), 11170(d) and 11170(e), Penal Code.
HISTORY
1. New section filed 7-17-98; operative 7-17-98 pursuant to Government Code section 11343.4(d) (Register 98, No. 29).
2. Amendment of section and Note filed 4-22-2002; operative 5-22-2002 (Register 2002, No. 17).
3. Amendment of section heading filed 5-12-2006; operative 6-11-2006 (Register 2006, No. 19).
4. Amendment of section heading, repealer and new section and amendment of Note filed 1-5-2010; operative 1-5-2010 pursuant to Government Code section 11343.4 (Register 2010, No. 2).
§905. Releasing CACI Information in Response to Inquiries from Authorized Entities.
Note • History
The information contained in CACI is confidential and will only be disclosed to those individuals or entities authorized by law to receive it, including but not limited to:
(a) An agency conducting an investigation of child abuse or severe neglect, or a district attorney making a request, will be provided CACI information pertaining to the specific individual(s) being investigated. An agency conducting an ongoing investigation of known or suspected child abuse or severe neglect may request, and shall be provided, CACI information regarding prior investigations by the same or other agencies before completing its current ongoing investigation and submitting the BCIA 8583 required for its current ongoing investigation. Requests must be submitted on a Facsimile Inquiry For Child Abuse Central Index (CACI) Check BCIA 4084 (Rev. 3/09) form. Forms can be found on the California Law Enforcement Website (CLEW) or upon request to the DOJ.
(b) Authorized persons or entities making inquiries for purposes such as employment, licensing, adoption or child placement will be provided CACI information pertaining to the suspect only. Information will include the name of the submitting agency, the submitting agency's report number and the date of the report. Requests must be submitted via live scan or on a Facsimile Inquiry For Child Abuse Central Index (CACI) Check BCIA 4084 (Rev.3/09) form. The form is available from the DOJ website or upon request to the DOJ.
NOTE
Authority cited: Section 11170(a)(1), Penal Code. Reference: Sections 11167, 11167.5, 11169, 11170(b)(1)-(10), 11170(c), 11170(d), 11170(e) and 11170.5, Penal Code.
HISTORY
1. New section filed 7-17-98; operative 7-17-98 pursuant to Government Code section 11343.4(d) (Register 98, No. 29).
2. Amendment of section and Note filed 4-22-2002; operative 5-22-2002 (Register 2002, No. 17).
3. Amendment of first paragraph and designation of second sentence of subsection (d) as subsection (e) filed 5-12-2006; operative 6-11-2006 (Register 2006, No. 19).
4. Amendment of section heading, repealer and new section and amendment of Note filed 1-5-2010; operative 1-5-2010 pursuant to Government Code section 11343.4 (Register 2010, No. 2).
5. Editorial correction of subsection (b) (Register 2010, No. 3).
§906. Disclosure of CACI Information to Members of the Public.
Note • History
(a) When a notarized Child Abuse Central Index Self Inquiry Request (Rev. 09/09) form satisfying Penal Code section 11170(f)(1) (available from the DOJ website or upon request from the DOJ) is received from a member of the public to determine if he or she is listed in CACI, and the inquiry results in a possible match to a suspect or victim listed in CACI, the DOJ will:
(1) notify the person in writing that he/she is listed in CACI as a suspect or victim and provide the name of the submitting agency, the report number for the submitting agency's investigative file and the date of the report. The DOJ will also notify the person of disseminations of his/her CACI information conducted for both investigative and applicant purposes. The notification will include the date of the dissemination, the agency to which the record was disseminated, and the purpose of the dissemination. The DOJ will automatically provide a copy of the personal information maintained in the CACI relating to the requesting party for his or her examination.
(b) When a notarized written request is received by DOJ (see Penal Code section 11170(g)) from a person listed in the CACI only as a victim of child abuse or neglect who wishes to be removed from CACI, and that person is 18 years of age or older, the DOJ will also:
(1) remove the person's name, address, social security number and date of birth (and any other descriptive information about the person) from the CACI. The DOJ will also notify the person in writing that his/her name and descriptor information have been removed from the CACI.
(c) A person may inspect, review, dispute, amend and correct information contained in CACI as specified in the Information Practices Act of 1977. However, the decision whether to list a person in CACI rests solely with the submitting agency and any challenges regarding placing a person on CACI must be filed with the submitting agency.
NOTE
Authority cited: Section 11170(a)(1), Penal Code. Reference: Sections 11170(f) and 11170(g), Penal Code; and Sections 1798.25, 1798.32, 1798.33, 1978.34 and 1978.35, Civil Code.
HISTORY
1. New section filed 7-17-98; operative 7-17-98 pursuant to Government Code section 11343.4(d) (Register 98, No. 29).
2. Amendment of section heading, section and Note filed 4-22-2002; operative 5-22-2002 (Register 2002, No. 17).
3. Amendment filed 5-12-2006; operative 6-11-2006 (Register 2006, No. 19).
4. Amendment of section heading, repealer and new section and amendment of Note filed 1-5-2010; operative 1-5-2010 pursuant to Government Code section 11343.4 (Register 2010, No. 2).
§907. ACAS Information Released in Response to Inquiries. [Repealed]
Note • History
NOTE
Authority cited: Section 11170(a)(1), Penal Code. Reference: Sections 11165.9, 11167.5, 11169, 11170, 11170.5 and 11174, Penal Code; and Sections 1522.1, 1596.60 and 1596.877, Health and Safety Code.
HISTORY
1. New section filed 7-17-98; operative 7-17-98 pursuant to Government Code section 11343.4(d) (Register 98, No. 29).
2. Amendment of section and Note filed 4-22-2002; operative 5-22-2002 (Register 2002, No. 17).
3. Amendment of first paragraph, subsection (b) and Note filed 5-12-2006; operative 6-11-2006 (Register 2006, No. 19).
4. Repealer filed 1-5-2010; operative 1-5-2010 pursuant to Government Code section 11343.4 (Register 2010, No. 2).
§908. Procedure for Confirmation of ACAS Information for Purposes of Peace Officer Employment, TrustLine Registry, Child Care Licensing or Employment, Adoption or Placement of Children, and for When a Private Citizen Inquires About His/Her Own Record. [Repealed]
Note • History
NOTE
Authority cited: Section 11170(a)(1), Penal Code. Reference: Sections 11165.11, 11167.5(b)(11), 11170(e), 11170.5 and 11170.6, Penal Code; and Section 1798.25, Civil Code.
HISTORY
1. New section filed 7-17-98; operative 7-17-98 pursuant to Government Code section 11343.4(d) (Register 98, No. 29).
2. Amendment of section and Note filed 4-22-2002; operative 5-22-2002 (Register 2002, No. 17).
3. Amendment of section heading and section filed 5-12-2006; operative 6-11-2006 (Register 2006, No. 19).
4. Repealer filed 1-5-2010; operative 1-5-2010 pursuant to Government Code section 11343.4 (Register 2010, No. 2).
§909. Notification in Response to Inquiries to ACAS Pertaining to Peace Officer Employment, TrustLine Registry, Child Care Licensing and Employment, Adoptions and Placement of Children. [Repealed]
Note • History
NOTE
Authority cited: Section 11170(a)(1), Penal Code. Reference: Sections 11170(b)(5) and 11170(c), Penal Code.
HISTORY
1. New section filed 7-17-98; operative 7-17-98 pursuant to Government Code section 11343.4(d) (Register 98, No. 29).
2. Amendment of section heading and section filed 5-12-2006; operative 6-11-2006 (Register 2006, No. 19).
3. Repealer filed 1-5-2010; operative 1-5-2010 pursuant to Government Code section 11343.4 (Register 2010, No. 2).
§910. Audit Trail of Information Released from ACAS. [Repealed]
Note • History
NOTE
Authority cited: Section 11170(a)(1), Penal Code. Reference: Section 11170(a), Penal Code; and Section 1798.25, Civil Code.
HISTORY
1. New section filed 7-17-98; operative 7-17-98 pursuant to Government Code section 11343.4(d) (Register 98, No. 29).
2. Amendment filed 5-12-2006; operative 6-11-2006 (Register 2006, No. 19).
3. Repealer filed 1-5-2010; operative 1-5-2010 pursuant to Government Code section 11343.4 (Register 2010, No. 2).
§911. Processing of Record Sealing Orders. [Repealed]
Note • History
NOTE
Authority cited: Section 11170(a)(1), Penal Code. Reference: Sections 389 and 781, Welfare and Institutions Code; and Section 851.8, Penal Code.
HISTORY
1. New section filed 7-17-98; operative 7-17-98 pursuant to Government Code section 11343.4(d) (Register 98, No. 29).
2. Amendment of Note filed 4-22-2002; operative 5-22-2002 (Register 2002, No. 17).
3. Repealer filed 1-5-2010; operative 1-5-2010 pursuant to Government Code section 11343.4 (Register 2010, No. 2).
Article 2. Report of Sexual Assault
Note • History
In accordance with Section 1493 of the Health and Safety Code, this article shall apply to the submission of reports to the local police department or county sheriff by each physician and surgeon in a county hospital or in any other general acute care hospital who conducts a medical examination for evidence of sexual assault.
NOTE
Authority cited: Section 1493, Health and Safety Code. Reference: Section 1493, Health and Safety Code.
HISTORY
1. New Article 2 (Sections 920-927, not consecutive) filed 6-13-78; effective thirtieth day thereafter (Register 78, No. 24).
For the purposes of this article, the following glossary of terms shall apply whenever the terms are used.
(a) Sexual Assault. Includes any of the following conduct:
(1) Rape. Rape as used in this regulation is as defined in Penal Code Section 261 and interpreted by the courts. As so defined, rape includes sexual intercourse with a female by a person other than her husband where she is unable to give legal consent; or where her resistance is overcome by force or violence; or where she is unable to resist due to threats of bodily harm or unable to resist due to ingestion of controlled substance; or where she is unconscious of the nature of the act; or where she submits believing the assailant to be her husband.
(2) Unlawful Sexual Intercourse. Unlawful sexual intercourse as used in this regulation is as defined in Penal Code Section 261.5 and interpreted by the courts. As so defined, unlawful sexual intercourse includes sexual intercourse with a female under the age of 18.
(3) Sodomy. Sodomy as used in this regulation is as defined in Penal Code Section 286 and interpreted by the courts. As so defined, sodomy includes sexual conduct with a person under 18 years of age consisting of contact between the penis of one person and the anus of another person; or with any person, minor, or adult, if committed by means of force, violence, duress, menace or threat of great bodily harm.
(4) Oral Copulation. Oral copulation as used in this regulation is as defined in Penal Code Section 288a and interpreted by the courts. As so defined, oral copulation includes the act with a person under 18 years of age of copulating the mouth of one person with the sexual organ of another person; or with any person, minor or adult, if committed by means of force, violence, duress, menace or threat of great bodily harm. Fellatio and cunnilingus are included within this definition.
(5) Crime Against a Child. Crime against a child as used in this regulation is as defined in Penal Code section 288 and interpreted by the courts. As so defined, a crime against a child includes any lewd or lascivious act including any other act constituting a crime committed upon a child under the age of 14 years.
(6) Child Molestation. Child molestation as used in this regulation is as defined in Penal Code section 647a and interpreted by the courts. As so defined child molestation includes the act of annoying or molesting a child under the age of 18.
(7) Incest. Incest as used in this regulation is as defined in Penal Code section 285 and interpreted by the courts. As so defined, incest is intercourse between the following persons: (1) parents and children, (2) ancestors and decedents of every degree, brothers and sisters of the half as well as the whole blood, uncles and nieces or aunts and nephews.
Any attempt to commit any of the above acts also constitutes sexual assault.
(b) Race. Race as used in this regulation refers to the race of the patient, which is to be indicated on the form as follows:
White--W Chinese--C
Negro-Black--N Japanese--J
Mexican-Latin American--M American Indian--I
All Other--0
§923. Sexual Assault Reporting Form.
The following form shall be used by each physician and surgeon in a county hospital or in any other general acute care hospital in making reports required to be made pursuant to section 1493 of the Health and Safety Code:
Under Section 34.9 of the Civil Code (Statutes 1977, Chapter 935, effective January 1, 1978) a minor may consent to indicated medical treatment and a medical examination of sexual assault.
§927. Preparation and Delivery by Reporting Physician.
The sexual assault reporting form shall be completed immediately or within 24 hours after the examination. If an investigating officer is present when the form is completed the copy marked “Law Enforcement” shall be given to him. Otherwise, the form shall be immediately mailed to the local chief of police or county sheriff after first reporting the sexual assault by telephone.
Article 3. Guidelines for Investigation of Child Abuse in Out-of-Home Care Facilities
Note • History
This article shall apply to the investigation of suspected child abuse in out-of-home care facilities reported under section 11166 of the Penal Code. The guidelines shall be applicable when the abuse reported is child abuse as defined in section 11165.5 of the Penal Code.
NOTE
Authority cited: Sections 11174 and 11174.1, Penal Code. Reference: Sections 11165.5 and 11166, Penal Code.
HISTORY
1. Repealer and new section filed 2-22-91; operative 3-24-91 (Register 91, No. 16). For prior HISTORY, see Register 82, No. 30.
Note • History
NOTE
Authority cited: Section 11174, Penal Code. Reference: Sections 11165(c) and 11165(f), Penal Code; and Section 5, Chapter 1071, Statutes 1980.
HISTORY
1. Repealer filed 2-22-91; operative 3-24-91 (Register 91, No. 16).
§930.2. Use of Guidelines. [Repealed]
Note • History
NOTE
Authority cited: Section 11174, Penal Code. Reference: Sections 11165(c) and 11165(f), Penal Code; and Section 5, Chapter 1071, Statutes 1980.
HISTORY
1. New article 3 (sections 930-930.8) filed 7-23-82; effective thirtieth day thereafter (Register 82, No. 30).
2. Repealer filed 2-22-91; operative 3-24-91 (Register 91, No. 16).
§930.3. Definitions. [Repealed]
Note • History
NOTE
Authority cited: Section 11174, Penal Code. Reference: Sections 11165, 11166 and 11170, Penal Code; and Section 5, Chapter 1071, Statutes 1980.
HISTORY
1. New article 3 (sections 930-930.8) filed 7-23-82; effective thirtieth day thereafter (Register 82, No. 30).
2. Repealer filed 2-22-91; operative 3-24-91 (Register 91, No. 16).
§930.4. Reporting Abuse in Group Homes or Institutions. [Repealed]
Note • History
NOTE
Authority cited: Sections 11170 and 11174, Penal Code. Reference: Sections 11165(c)(2), 11166, 11169 and 11170, Penal Code.
HISTORY
1. Repealer filed 2-22-91; operative 3-24-91 (Register 91, No. 16).
§930.5. Assessing the Nature and Seriousness of the Suspected Child Abuse. [Repealed]
Note • History
NOTE
Authority cited: Section 11174, Penal Code. Reference: Section 11165, Penal Code; and Section 5, Chapter 1071, Statutes 1980.
HISTORY
1. Repealer filed 2-22-91; operative 3-24-91 (Register 91, No. 16).
§930.6. Standard Procedure. [Repealed]
Note • History
NOTE
Authority cited: Sections 11170(a) and 11174, Penal Code. Reference: Sections 1493 and 1494, Health and Safety Code; and Sections 11165(f), 11167, 11169, 11170, 11171 and 11174, Penal Code.
HISTORY
1. Repealer filed 2-22-91; operative 3-24-91 (Register 91, No. 16).
§930.7. Assessment of Abuse and Standard Procedures for Voluntary Inter-Agency Investigation Teams. [Repealed]
Note • History
NOTE
Authority cited: Section 11170(a), Penal Code. Reference: Sections 11169, 11170(b), 11172(b), and 11174, Penal Code.
HISTORY
1. Repealer filed 2-22-91; operative 3-24-91 (Register 91, No. 16).
§930.8. Enforcement of Guidelines. [Repealed]
Note • History
NOTE
Authority cited: Sections 11174 and 11174.1(a), Penal Code. Reference: Sections 11164 through 11174.3, Penal Code.
HISTORY
1. Repealer filed 2-22-91; operative 3-24-91 (Register 91, No. 16).
Note • History
(a) The purpose of these guidelines is:
(1) to insure that investigations of suspected child abuse occurring in out-of-home care facilities are carried out in a timely, complete, and coordinated manner among the responsible agencies;
(2) to require that the appropriate agency conducts the investigation in accordance with the guidelines;
(3) to insure that all appropriate authorities are informed so that timely and appropriate measures will be taken to guard against future abuse in out-of-home care facilities;
(4) to insure that the investigation is sensitive to the child victim(s); and
(5) to properly document reasons for any disposition made.
(b) The intent of these guidelines is to foster a high level of cooperation, communication, and mutual respect among all agencies involved in the investigation and administration of cases of abuse in out-of-home care facilities.
NOTE
Authority cited: Sections 11174 and 11174.1, Penal Code, Reference: Sections 11165.5, 11166, 11166.1, 11166.2 and 11166.3, Penal Code.
HISTORY
1. New section filed 2-22-91; operative 3-24-91 (Register 91, No. 16).
Note • History
(a) The guidelines set forth in this article shall be used in theinvestigation of suspected child abuse in out-of-home care facilities as defined in Penal Code section 11165.5.
(b) Voluntary Inter-agency Investigation Teams - Counties having a Voluntary Inter-Agency Investigation team shall have the discretion to follow the procedures and standards for assessment and investigation of child abuse which are established and agreed upon by the agencies involved, if they are consistent with the guidelines in sections 930.40 through 930.64 of this article, and all cross reports and notifications required therein are made.
NOTE
Authority cited: Sections 11174 and 11174.1, Penal Code. Reference: Sections 11165.5 and 11166.3, Penal Code.
HISTORY
1. New section filed 2-22-91; operative 3-24-91 (Register 91, No. 16).
Note • History
For the purpose of this article, the following glossary of terms shall apply whenever the following terms are used:
(a) “Child” means a person who is under 18 years of age.
(b) “Child abuse” means serious abuse and general neglect.
(1) “General neglect” means the negligent failure of a child care provider to provide adequate food, clothing, shelter, medical care or supervision where no physical injury has occurred.
(2) “Serious abuse” means all sexual abuse, severe neglect as defined in Penal Code section 11165.2, subdivision (a), any act or omission proscribed by Penal Code section 273a or 273d, and/or any infliction of a non-accidental physical injury on a child. Mutual affrays or voluntary consensual sexual exploration between children of similar age do not constitute child abuse.
(c) “Child Abuse Reporting Law” means Penal Code section 11164, et seq.
(d) “Child Placement Agency” means any agency, public or private, authorized to engage in finding homes or other facilities for the placement of children for temporary or permanent care or adoption, including but not limited to probation departments, county welfare departments, adoption agencies, and agencies that place children with mental or developmental special needs.
(e) “Child Protective Agency” means a police or sheriff's department, a county probation department, or a county welfare department.
(f) “Child Welfare Agency” means a county probation or county welfare department, whichever of the two departments has responsibility for taking a minor into temporary custody and/or placing the child in temporary or permanent care.
(g) “Complaint” means any allegation that a statute or regulation of this state has been violated.
(h) “Exempt Facility” means a facility not required by law to be licensed.
(i) “Infant” means a child who is under two years of age,
(j) “Investigation” means any activity by a child protective agency or licensing agency in response to a complaint or report of suspected child abuse including: required reporting; assessing the nature and seriousness of the abuse; conducting interviews; gathering and preserving evidence, determining whether the report is unfounded; taking measures to ensure the safety of the children; notification of action taken, or disposition after completion of the investigation, as required by this article; notifying mandated reporters and all appropriate agencies of the results of the investigation, of any formal or informal action taken by the appropriate agency, and of the final disposition.
(k) “Investigator” means any personnel from a child protective or licensing agency who conducts an investigation of a report or complaint of child abuse in an out-of-home care facility.
(l) “Law Enforcement Agency” means a police or sheriff's department, whichever of the two departments has jurisdiction.
(m) “Licensing Agency” means any agency authorized to issue, revoke or suspend the license of an out-of-home care facility and includes the State Department of Social Services, Community Care Licensing Division, the county agency which has contracted with the State Department of Social Services for performance of those duties, and the state Department of Health Services.
(n) “Licensed Facility” means any facility required by law to be licensed whether presently licensed or not.
(o) “Mandated Reporter” means any person required to report child abuse pursuant to Penal Code section 11166.
(p) “Out-Of-Home Care Facility” means any agency, institution, facility, shelter, center, school, camp, home, or hospital, which is responsible for a child's care and welfare and includes but is not limited to:
(1) “Family Day Care Home” means a facility which regularly provides care, protection and supervision to 12 or fewer children in the provider's own home, for periods of less than 24 hours per day, while the parent or guardian is away except as provided in Health and Safety Code section 1597.41, and includes:
(A) Large Family Day Care Home - a home which provides family day care to 7 to 12 children, inclusive, including children under the age of 10 years who reside at the home;
(B) Small Family Day Care Home - a home which provides family day care to six or fewer children, including children under the age of 10 years who reside at the home;
(2) “Child Day care Facility” means any facility which provides less than 24 hour non-medical care, protection and supervision for children and includes infant centers, preschools, day care centers, family day care homes, and extended day care facilities.
(3) “Foster Family Home” means any residential facility which provides 24 hour care and supervision for six or fewer foster children in the residence of the foster parent(s), including their own family, in whose care the foster children have been placed;
(4) “Small Family Home” means any residential facility which provides 24 hour care to six or fewer foster children who have mental disorders or development or physical disabilities and who require special care and supervision as result of their disability or handicap;
(5) “Group Home or Institution” means any residential facility of any capacity providing 24 hour non-medical care and supervision for children in a structured environment with such services provided at least in part by staff employed by the licensee;
(6) Juvenile Hall;
(7) Public or Private schools;
(8) California Youth Authority;
(g) “Primary Agency” means the investigating agency that has primary responsibility for conducting the investigation.
(r) “Reporting Party” means the person(s) initially reporting the abuse under Penal Code section 11166.
(s) “Residential Facility” means any family or group home which provides 24 hour non-medical care of persons in need of personal services, supervision, or assistance essential for sustaining the activities of daily living or for the protection of the individual.
(t) “State Funded Resource and Referral Agency” means a resource and referral agency funded under Education Code section 8210.
(u) “Unfounded Report” means a report of child abuse which, after investigation, is determined to be false, inherently improbable, (i.e., patently false or physically impossible), to involve an accidental injury, or not to constitute child abuse as defined in Penal Code section 11165.5. Alternative explanations for the alleged abuse or mere conflicts in statements of the victim and/or other witnesses are not adequate alone for a determination that a report is unfounded.
(v) “Voluntary Inter-Agency Investigation Team” means a local voluntary association of law enforcement agencies, county welfare and Probation departments, child placement agencies, and state or county licensing agencies established for the sharing of information and coordination of investigations of reports of child abuse occurring in out-of-home care facilities.
NOTE
Authority cited: Sections 11174 and 11174.1, Penal Code. Reference: Sections 11165 through 11165.12, 11166 and 11170, Penal Code; Sections 20, 1253, 1502(a)(5), 1538, 1596.75 through 1596.78, 1596.81, 1596.853 and 1597.41, Health & Safety Code, Section 8210, Education Code; Planned Parenthood Affiliates of California v. John Van de Kamp (1986) 181 Cal.App.3d 245.
HISTORY
1. New section filed 2-22-91; operative 3-24-91 (Register 91, No. 16).
Reporting and Cross-Reporting Duties and Notification and Follow-Up Reporting Responsibilities in Out-of-Home Care Facilities
§930.40. Reporting and Cross-Reporting Duties for General Neglect.
Note • History
(a) Law Enforcement - All reports of suspected general neglect made to a law enforcement agency and alleged to have occurred in an out-of-home care facility shall be cross-reported by the law enforcement agency to the following agencies:
(1) Child Welfare Agency - by telephone, immediately, or as soon as is practically possible, and in writing within 36 hours to the child welfare agency.
(2) Licensing Agency - by telephone, immediately, or as soon as is practically possible, but no later than 24 hours, and in writing within 36 hours to the appropriate licensing agency, if the case involves a licensed facility.
(b) Child Welfare Agency - All reports of suspected general neglect made to a child welfare agency and alleged to have occurred in an out-of-home care facility shall be cross-reported by telephone, immediately, or as soon as is practically possible, but no later than 24 hours, and in writing, within 36 hours, to the appropriate licensing agency, if the case involves a licensed facility, or to the appropriate law enforcement agency if the facility involved is an exempt facility.
(c) Licensing Agency - any licensing worker or evaluator who knows or reasonably suspects that a child has been the victim of general neglect, in an out-of-home care facility shall report the known or suspected abuse by telephone, immediately, or as soon as is practically possible, and in writing, within 36 hours, to the appropriate child welfare agency, or if the facility involved is an exempt facility, to a law enforcement agency.
NOTE
Authority cited: Sections 11174 and 11174.1, Penal Code. Reference: Sections 11166(a), (g), 11166.1, 11166.2 and 11166.3, Penal Code.
HISTORY
1. New section filed 2-22-91; operative 3-24-91 (Register 91, No. 16).
§930.41. Reporting and Cross-Reporting Duties for Serious Child Abuse.
Note • History
(a) Law Enforcement - All reports of suspected serious child abuse made to a law enforcement agency and alleged to have occurred in an out-of-home facility shall be cross-reported by the law enforcement agency to the following agencies:
(1) Child Welfare Agency - by telephone, immediately or as soon as practically possible, and in writing, within 36 hours, to the child welfare agency;
(2) Licensing Agency - by telephone, immediately or as soon as is practically possible, but no later than 24 hours, and in writing, within 36 hours, to the appropriate licensing agency if the case involves a licensed facility;
(3) District Attorney's Office - by telephone, immediately or as soon as is practically Possible, and in writing, within 36 hours, to the district attorney's office;
(b) Child Welfare Agency - All reports of suspected serious child abuse made to a child welfare agency and alleged to have occurred in an out-of-home care facility shall be cross-reported by the child welfare agency to the following agencies:
(1) Law Enforcement - by telephone, immediately or as soon as is Practically possible, and in writing, within 36 hours, to law enforcement.
(2) Licensing Agency - by telephone, immediately or as soon as is practically possible, but no later than 24 hours, and in writing, within 36 hours, to the appropriate licensing agency if the case involves a licensed facility;
(3) District Attorney's Office - by telephone, immediately or as soon as is practically possible, and in writing, within 36 hours, to the district attorney's office;
(c) Licensing Agency - Any licensing worker or evaluator who knows or reasonably suspects that a child has been the victim of serious abuse in an out-of-home care facility shall report by telephone, immediately or as soon as is practically possible, and in writing, within 36 hours, to the appropriate law enforcement agency.
NOTE
Authority cited: Sections 11174 and 11174.1, Penal Code. Reference: Sections 11166, 11166.1, 11166.2, 11166.3, 11167 and 11168, Penal Code.
HISTORY
1. New section filed 2-22-91; operative 3-24-91 (Register 91, No. 16).
§930.42. Notification Requirements.
Note • History
If child abuse is suspected to have occurred in an out-of-home care facility, and the report is not initially determined to be unfounded, theinvestigating agency shall, or in the case of a state funded resource and referral agency, the Department of Social Services shall, without compromising the security and confidentiality of the investigation, notify the following agencies and persons as soon as is reasonable practical (i.e., taking into consideration the nature, size, and complexity of the investigation and the need to maintain the security and confidentiality of the investigation) that an investigation of alleged child abuse is being conducted:
(a) Child Placement Agency or probation department, whoever placed the child(ren) in the facility, including cases where the child is placed outside the county;
(b) State Funded Resource and Referral Agency for that jurisdiction, within 24 hours of a finding, based on the preliminary investigation of physical or sexual abuse, as long as disclosure does not violate sanctions against dissemination of confidential information as provided in Penal Code sections 11167 and 11167.5.
(c) Administrator of the facility, as long as disclosure does not violate sanctions against dissemination of confidential information as provided in Penal Code sections 11167 and 11167.5;
(d) Parent or guardian, if the child is not a dependent or ward of the court; if the child is a dependent child or ward of the court, the child placement agency shall determine whether or not to inform the child's parent or guardian of the alleged abuse.
NOTE
Authority cited: Sections 11174 and 11174.1, Penal Code. Reference: Sections 11166, 11167, 11167.5, 11169 and 11170, Penal Code; Section 1596.853(d), Health and Safety Code.
HISTORY
1. New section filed 2-22-91; operative 3-24-91 (Register 91, No. 16).
§930.43. Follow-Up Reporting Requirements.
Note • History
If child abuse is suspected to have occurred in an out-of-home care facility, all agencies and persons listed below shall be notified in writing by the investigating agency of the results of the investigation, any action taken, whether the action be formal or informal, and the final disposition of the matter:
(a) Department of Justice, Division of Law Enforcement, except that reports of general neglect shall not be made,
(b) District Attorney's Office,
(c) Child Placement Agency involved,
(d) Child Welfare Agency,
(e) Licensing Agency with jurisdiction over the facility,
(f) Administrator of the facility, as long as disclosure does not violate sanctions against dissemination of confidential information as provided in Penal Code sections 11167 and 11167.5;
(g) Parent or guardian of the child, if the child is not a dependent or ward of the court,
(h) Mandated Reporter,
(i) State Funded Resource and Referral Agency for that jurisdiction, when physical or sexual abuse has occurred, as long as disclosure does not violate sanctions against dissemination of confidential information as provided in Penal Code sections 11167 and 11167.5.
NOTE
Authority cited: Sections 11174 and 11174.1, Penal Code. Reference: Sections 11166, 11166.1, 11166.2, 11166.3, 11167, 11167.5, 11168, 11169 and 11170, Penal Code; Section 1596.853(d)(1), Health and Safety Code.
HISTORY
1. New section filed 2-22-91; operative 3-24-91 (Register 91, No. 16).
Note • History
If a report of suspected child abuse in an out-of-home care facility is determined to be unfounded, the investigating agency shall inform the following agencies of that fact, if a cross-report has already been made to the agency:
(a) Department of Justice;
(b) Child Protective agencies;
(c) Licensing agency, if the facility being investigated is a licensed facility.
NOTE
Authority cited: Sections 11174 and 11174.1, Penal Code. Reference: Sections 11165.12, 11169 and 11170, Penal Code.
HISTORY
1. New section filed 2-22-91; operative 3-24-91 (Register 91, No. 16).
Duties and Responsibilities
Note • History
All agencies involved in the investigation of child abuse in out-of-home care facilities shall, to the extent authorized by law, share all relevant evidence.
NOTE
Authority cited: Sections 11174 and 11174.1, Penal Code; Reference: Sections 11164, 11166 and 11166.3, Penal Code; Sections 18981(a), (c), and (d); 18958 et seq., 358.1 and 16501, Welfare and Institutions Code.
HISTORY
1. New section filed 2-22-91; operative 3-24-91 (Register 91, No. 16).
Note • History
(a) Investigate - Law enforcement shall investigate the following types of abuse:
(1) Serious Abuse - Law enforcement shall have the primary responsibility for conducting criminal investigations of serious abuse.
(2) General Neglect - Law enforcement shall have the primary responsibility in exempt facilities for conducting and initial assessment of the allegations of neglect, and shall determine whether the alleged abuse is severe or general neglect. If it is determined that the alleged abuse is neglect, law enforcement shall notify the proper authority with supervisorial authority over the exempt facility.
(b) Law enforcement shall ensure the immediate safety of the child by taking the following action:
(1) Preliminary Assessment - Law enforcement shall conduct a preliminary assessment of the risk to the children involved.
(2) Safety Measures - Upon receipt of a report of suspected serious abuse, the investigating law enforcement officer shall take immediate measures as needed to protect the safety of the alleged child-victim and all other children in the facility.
(3) Removal of the Child - Whenever the child's condition or surroundings reasonably appear to be such as to jeopardize the child's welfare, the investigating law enforcement officer shall remove the child and any other child whose welfare reasonably appears to be threatened. When a child is removed, notice of the removal shall be given to the child care provider in charge, prior to or immediately after removal.
(A) Residential Facility or Hospital - If the facility is a residential facility or hospital, the officer shall remove the child and transport him/her to temporary custody.
(B) Child Day Care Facility - If the facility is a child day care facility, the officer shall obtain a parent/guardian roster from the facility, as provided by Health & Safety Code section 1596.876, or from licensing officials, and shall notify and advise the parent/guardian to remove his/her child from the facility. If the parent/guardian is not available and the child is in immediate danger, the officer shall remove and transport the child to temporary custody and notify the parent/guardian.
(4) Removal of the Suspect
(A) If probable cause to arrest exists, the suspect shall be taken into custody where appropriate.
(B) If probable cause to arrest does not exist and the adult suspected of child abuse is not a resident of the out-of-home care facility, the investigator shall, in the exercise of his/her discretion, request that the adult suspect leave the out-of-home care facility voluntarily until the investigation is completed. In the case of a family day care home or foster family home, where the suspect is a resident, safety measures shall be taken to ensure protection of the children in the facility. The investigator shall also have discretion to remove from the out-of-home care facility any child suspected of child abuse. Removal of the child suspect shall be accomplished by the law enforcement officer, the child placement agency, court order, or in cooperation with that child's parent or guardian, whichever is appropriate.
(c) Coordinate - Law enforcement shall coordinate the investigation as follows:
(1) Joint investigations - The investigating law enforcement officer shall consider a joint investigation and coordinate the criminal investigation and response with the licensing and child welfare agencies to the extent possible, and without compromising the security and confidentiality of the case.
(2) Joint interviews - The investigating law enforcement officer shall coordinate with the other agencies involved in the investigation to minimize the number of interviews with the child abuse victims and witnesses.
(3) Multi-Disciplinary Team Approach - When a report of serious abuse in an out-of-home care facility is made, the law enforcement agency with primary responsibility for the investigation shall consider working with a multi-disciplinary team to assess the medical, mental health, placement, and support service needs of the child(ren). A multi-disciplinary team is any team of three or more persons qualified to provide a broad range of services related to child abuse. The team may include, but not be limited to, representatives from child welfare services, law enforcement, the district attorney's office, county counsel's office, licensing, child advocate's office, medical health services, mental health services trained to provide counseling services, and education.
NOTE
Authority cited: Sections 11174 and 11174.1, Penal Code. Reference: Sections 11164, 11166, 11166.3, 11169 and 11170, Penal Code; Sections 300, 305 and 18951(d), Welfare and Institutions Code; Section 1596.876, Health and Safety Code.
HISTORY
1. New section filed 2-22-91; operative 3-24-91 (Register 91, No. 16).
§930.52. Child Welfare Agency.
Note • History
(a) Protect the Child - The child welfare agency shall take the following measures to protect the child:
(1) Removal of the child - In cases of general neglect, the child welfare agency shall remove the child(ren) from the facility, immediately or as soon as possible, where the child(ren)'s condition or surroundings reasonable appear to jeopardize the child(ren)'s health and welfare. When a child is removed, notice of the removal shall be given to the child care provider in charge, prior to, or immediately after removal.
(2) Ensure continued Safety - In all cases of child abuse, the child welfare agency shall take the necessary measures to ensure the child(ren)'s safety while the child(ren) is/are in temporary custody.
(b) Placement Recommendation - The child welfare or placement agency that placed the child in the out-of-home care facility, shall make a placement recommendation. This agency shall be responsible for making an assessment and recommendation regarding the need for continued protective custody, the revocation of placement or alternative placement, and any other proper judicial relief which is warranted.
(c) Coordinate - The child welfare or placement agency that placed the child in the out-of-home care facility, shall also make every effort to coordinate its assessment with the appropriate law enforcement and licensing agencies. When a child welfare agency, receives an initial report of serious abuse, the child welfare worker shall immediately contact law enforcement and the licensing agency to coordinate efforts before contact of-home care facility.
NOTE
Authority cited: Sections 11174 and 11174.1, Penal Code. Reference: Sections 11164, 11166, 11166.3, 11169 and 11170, Penal Code; Sections 272, 300, 306, 309, 362, 16501 and 16504, Welfare and Institutions Code.
HISTORY
1. New section filed 2-22-91; operative 3-24-91 (Register 91, No. 16).
Note • History
(a) Investigate complaints and general neglect - The appropriate licensing agency shall conduct an investigation whenever a report or complaint of suspected child abuse alleges general neglect or a violation of any statute, or regulation of this state, in a licensed out-of-home care facility. This investigation shall be done in accordance with the investigation procedures set forth in section 930.60, et seq., of this article.
(b) Coordinate and Cooperate - When suspected child abuse in a licensed out of-home care facility is also being investigated or assessed by another agency, the licensing agency shall coordinate efforts with the other investigating agency(ies). The licensing agency shall also provide back-up assistance when requested by the investigating law enforcement agency by conducting interviews, developing evidence, and sharing all relevant information.
(c) On-Site monitoring - When there are children remaining at the facility being investigated and staff and administrative personnel involvement in the alleged abuse is suspected, the licensing agency shall, conduct on-site monitoring of the licensed facility until the investigation is complete.
(d) Take Appropriate Action - The licensing agency shall have the discretion to take any appropriate action, including, but not limited to, conducting an administrative investigation, or revoking or suspending a facility's license. The licensing agency's authority to take appropriate action is not diminished by the failure of law enforcement to take action. However, to the extent possible, the licensing agency shall consult with law enforcement prior to taking any action.
NOTE
Authority cited: Sections 11174 and 11174.1, Penal Code. Reference: Sections 11165.11, 11166.1, 11166.2, 11166.3 and 11167, Penal Code; Sections 1536.1, 1538 and 1596.853, Health and Safety Code.
HISTORY
1. New section filed 2-22-91; operative 3-24-91 (Register 91, No. 16).
§930.54. Conflict of Interests.
Note • History
(a) Law enforcement, county probation, county welfare, and licensing agencies shall ensure that the investigation of child abuse in an out-of-home care facility is carried out in an unbiased and impartial manner.
(b) An individual child protective service worker or official who actually Places the alleged child abuse victim, or has a direct personal relationship with the facility, the suspected abuser, or the alleged child abuse victim, which creates a conflict of interest, shall not be involved in or responsible for any part of the investigation or assessment of child abuse in that facility.
(c) The child protective or licensing agency with primary jurisdiction over the case shall disqualify itself from conducting an investigation pursuant to these regulations whenever a conflict of interest exists between the agency and the suspected abuser, the facility, or the alleged victim.
(d) A conflict of interest exists under subsections (b), (c), or (e) of this section when the circumstances evidence a reasonable possibility that the agency, or the individual worker or official, may not exercise its/his/her investigative functions in an evenhanded manner. Factors to be considered in determining whether the entire agency should be disqualified from conducting the investigation as required by subsection (c), are the size of the agency, the number of investigating officials within the agency, and the nature of the relationship between the official and the suspected abuser, facility, or victim with whom the conflict exists. This last factor alone, is to be considered in determining whether an individual child protective service worker or official should be disqualified from being involved in, or responsible for, the investigation as required by subsection (b).
(e) Child protective and licensing agencies shall develop agreements with other child protective and licensing agencies to conduct child abuse investigations where the agency with primary jurisdiction over the case has been disqualified because of a conflict of interest between that agency and the suspected abuser, child abuse victim, or facility, when a conflict of interest does exist, the non-conflicted agency shall conduct the investigation.
NOTE
Authority cited: Sections 11174 and 11174.1, Penal Code. Reference: Sections 1424, 11164 and 11166. 3, Penal Code; People v. Hamilton (1988) 46 Cal.3d 123, 139-141; People v. McPartland (1988) 198 Cal.App.3d 569, 572-575.
HISTORY
1. New section filed 2-22-91; operative 3-24-91 (Register 91, No. 16).
Investigative Procedures
§930.60. Preliminary Investigation.
Note • History
(a) Receipt of Initial Report - It is the responsibility of the individual child protective official receiving the initial report to:
(1) gather the pertinent facts,
(2) conduct a preliminary assessment of the risk to the child(ren) involved and determine the priority and level of response;
(3) coordinate response with other appropriate agencies;
(4) make appropriate cross-reports as required in section 930.40 of this article.
(b) Preliminary Assessment - the priority and level of response by investigative personnel to allegations of child abuse in out-of-home care facilities shall be determined by the:
(1) nature and seriousness of the allegation(s);
(2) present risk to the child(ren);
(3) credibility of the allegation(s);
(4) potential for loss and/or contamination of evidence;
(5) number of victims involved;
(6) need to protect the child care provider's rights and reputation in the community.
(c) Coordination - the first responding official shall, when possible, notify child abuse investigators of the alleged child abuse prior to responding to the facility, in order to:
(1) consider the need for surveillance;
(2) consider the need for a search warrant;
(3) consider the need for a multi-disciplinary team approach.
(d) Initial Investigative Visit to the Facility.
(1) Procedure - the first investigator at the facility where the abuse was alleged to have occurred shall complete, but not be limited to, the following action:
(A) insure the safety of the children;
(B) determine the number of children placed in the facility and the number of children present in the facility;
(C) make an immediate visual inspection of the condition of the facility and personnel;
(D) identify licensee, all employees and persons residing in the facility;
(E) note the degree of cooperation by persons contacted;
(F) conduct initial interviews.
(2) Initial Interviews - The first investigator on the scene shall assess the risk to the child(ren) involved and determine whether a crime has been committed by observing and conducting initial interviews. The interviews shall be conducted using the techniques set forth in these regulations, section 930.61(e). The initial interviews shall be conducted with the following persons when appropriate:
(A) reporting party
(B) witnesses;
(C) victims;
(D) sibling(s);
(E) parents/caretakers;
(F) child care staff;
(G) director or administrator of the facility.
(e) Evidence and Documentation - The investigator shall gather and preserve all evidence supporting and negating the allegation(s) of child abuse. The preliminary investigative report shall contain all documentation relevant to the truth or falsity of the allegations, and the credibility of the suspect and witnesses, including but not limited to:
(1) statements of all parties and witnesses;
(2) the investigator's own observations,
(3) physical evidence noted and secured.
(f) Identification of Suspect/Custody Considerations - The law enforcement officer shall seek to identify the suspect and determine whether or not to interview the suspect at the facility, as provided in section 930.61(e)(2) of these regulations. The officer shall also determine whether or not to take the suspect into custody as provided in section 930.51(b)(4) of these regulations.
(g) Medical Examination - A medical examination shall be conducted on the child abuse victim(s) as follows:
(1) Necessity - When serious abuse is suspected, or the child abuse victim is an infant, a medical examination shall be conducted as soon as possible after the initial report is made to a child protective agency by a physician licensed to practice medicine in California. In determining the proper time of the examination, the investigator shall consider the need for prompt diagnosis and treatment of injuries, and the prompt collection and documentation of any physical evidence. The exam shall be conducted by a physician who has received training in conducting child abuse examinations, or has had experience conducting child abuse examinations, if such a physician is available.
(A) Multiple Victims - The investigator shall consider using more than one physician when possible, if there appear to be multiple victims who are alleged to have suffered sexual or serious physical abuse.
(B) Sexual Abuse - Where the investigation involves allegations of sexual abuse, the investigator shall consider using, when possible, a physician who has also received training in child sexual abuse examinations.
(2) Evidence - All evidence relevant to the alleged abuse, discovered in the course of the medical examination, including but not limited to, skeletal and dental x-rays, specimens, and blood samples, shall be collected and properly preserved.
NOTE
Authority cited: Sections 11174 and 11174.1, Penal Code. Reference: Sections 11164, 11166.1, 11166.2, 11166.3, 11167, 11167.5, 11168, 11169, 11170, 11171 and 11171.5, Penal Code, People v. Hitch (1974) 12 Cal.3d 641.
HISTORY
1. New section filed 2-22-91; operative 3-24-91 (Register 91, No. 16).
2. Editorial correction of subsection (g)(1)(A) (Register 95, No. 14).
§930.61. Follow-Up Investigation.
Note • History
(a) Review - The investigator shall review the completeness of the preliminary investigation to determine the scope and direction of the follow-up investigation. This review shall include:
(1) confirmation of the elements of the crime or violation;
(2) determination of the need for further interviews;
(3) evaluation of all evidence to ensure that all statements are complete and accurate, and all physical evidence has been identified and documented;
(4) determination of the need for a search warrant where the investigation is being conducted by a law enforcement investigator;
(5) determination of the need for confidentiality;
(6) determination of the custody status of the victim(s) sibling(s) and alleged offender(s);
(7) coordination with the appropriate agencies; and
(8) determination of the necessity of a multi-disciplinary team, if it is warranted by the complexity of the investigation.
(b) Records Check - An investigation by law enforcement upon allegations of serious abuse, shall include a thorough records check of the suspect, including:
(1) local files;
(2) criminal history data;
(3) Department of Justice Child Abuse Central Index;
(4) Department of Justice Registrations and Compliance files (Penal Code section 290); and
(5) California Department of Motor Vehicles.
(c) Background Check - A thorough background investigation shall be conducted on the prime suspect(s) including:
(1) previous residences and employers to determine prior offenses in other jurisdictions;
(2) previous relationships - spouse, ex-spouse, live-in relations and roommates;
(3) contacts with other agencies and/or jurisdictions,
(d) Corroboration - Corroborating information relevant to guilt or innocence of the accused suspect shall be developed and gathered to include, but not be limited to, the following:
(1) medical examination and/or medical history of the victims;
(2) witness statements;
(3) physical evidence;
(4) incriminating statements made by suspect;
(5) whether access to the victim by the suspect was possible and if he/she had the opportunity to commit the offense;
(6) modus operandi (M.O.) factors where relevant to prove serious abuse in a criminal prosecution.
(e) Interview and Interrogation Techniques
(1) General Considerations - When conducting interviews and interrogations, the investigating official shall:
(A) determine the purpose of the interview/interrogation and the interviewee's role in the case. (i.e. victim, eye witness, expert, accused);
(B) plan and prepare for the interview/interrogation carefully;
(C) determine the functional and developmental level of the person to be interviewed;
(D) determine the various relationships of all parties involved in the alleged offense;
(E) determine if there are additional victims; witnesses, or suspects;
(F) review the existing evidence;
(G) protect the confidentiality of all parties involved in the offense;
(H) conduct all witness interviews/interrogations separately;
(I) avoid disclosure of case information to all parties involved in the alleged offense to prevent contamination of evidence;
(J) instruct all parties involved in the alleged offense to maintain confidentiality.
(2) Interview Interrogation of Suspect(s) - When conducting an interview/interrogation with the alleged suspect, the investigating official shall:
(A) establish rapport with the suspect;
(B) carefully select the setting for the interview/interrogation to ensure that the interview is conducted in privacy and free from distraction.
(C) determine if and when the suspect had access to victim,
(D) note the demeanor of suspect at the time of the interview,
(E) encourage suspect to relate the incident in his/her own words, noting any consistencies or inconsistencies in his/her statement.
(F) advise the suspect(s) of his/her constitutional rights and the nature of the investigation, when constitutionally required;
(G) consider and evaluate all new information and alternative explanations provided by the suspect;
(H) corroborate information already obtained through the investigation;
(I) document incriminating statements made by the suspect,
(3) Interview of Victim(s) - The child abuse victims shall be interviewed as follows:
(A) Minimize the number of interviews - Every effort shall be made to minimize the number of interviewers who interview a child victim and the number of interviews with the child victim. Prior to the interview, the interviewer shall consider contacting and consulting with other agencies, including but not limited to:
1. a specialized law enforcement child abuse investigative unit, if available,
2. child welfare services;
3. the licensing agency;
4. the prosecuting attorney;
(B) Sensitivity - The investigating official shall take care to be sensitive to the needs of the child, and shall use the following techniques:
1. take adequate time to establish trust and rapport with the child victim;
2. Provide a comfortable nonthreatening atmosphere for the child;
3. provide the child with emotional support by helping the child understand that he/she is not alone, is not at fault, and is not in danger;
4. help the child identify a support person he/she can talk with after the interview, if he/she wishes;
5. carefully select the setting for the interview to ensure that it is conducted in privacy, free from distracting and intimidating influences.
6. use appropriate interview aids such as dolls, drawings, diagrams or models of the facility, or other similar aids;
7. establish the child's developmental level;
8. interview in age-appropriate language;
9. identify and accommodate any special handicaps the child may have;
10. be aware that the child may be blaming himself/herself for the offense and address this problem when appropriate;
11. consider when and to whom the victim disclosed the incident;
12. be aware that the child may have been threatened and is fearful of disclosing information and address this fear when appropriate ;
13. recognize when to discontinue the interview;
14. be aware of cultural differences;
15. tell the child the purpose of the interview, what to expect during the investigation, and be prepared to respond to the child's questions;
16. conclude the interview so that the victim feels free to recontact the investigator,
(C) Special Considerations - When conducting child victim interviews, the investigator shall:
1. allow the child to describe the incident in his/her own words;
2. establish and use the child's terminology and language for body parts and acts,
3. avoid using technical terminology,
4. avoid influencing the child's account of the alleged offense, e.g. by tone of voice, mannerisms, or words and gestures of encouragement;
5. remain unbiased and avoid being judgmental when discussing the alleged suspect;
6. establish time frame(s) (i.e. dates, days, holidays, birthdays, seasons) and jurisdiction(s) for all alleged offenses;
7. determine whether there are other possible victims,
8. avoid making promises or false reassurances; ensure that the suspect is not present during the interview of the child.
(D) Multiple Victims - To prevent contamination of evidence and to preserve witness credibility in cases involving multiple victims, the investigator shall use different interviewers, when possible, to interview the children.
(4) Witness interviews - When conducting interviews with witnesses to an alleged child abuse offense, the investigator shall:
(A) determine the sequence for witness interviews, interviewing key witnesses first;
(B) consider the developmental level of the witness;
(C) determine the source of the witness's knowledge of the alleged offense;
(D) determine if the witness could also be a victim;
(E) determine the witness's relationship to the victim and the suspect and consider motivation of the witness;
(F) avoid influencing the witness's account of the alleged offense;
(5) Parent Interviews shall be conducted as follows:
(A) When notifying parents of an investigation involving an out-of-home facility attended by their child, the investigator shall inform the parents about the investigation in such a way that the notification will not unduly alarm them and will not compromise the investigation.
(B) In child abuse investigations involving day-care facilities, investigators shall advise parents of the importance of:
1. maintaining confidentiality;
2. not questioning their child for details, but recording spontaneous statements made by their child;
3. not sharing information from their child's disclosure with other parents;
(C) Parents of a child who attended a suspect day-care facility shall be interviewed regarding:
1. dates and times the child attended the facility,
2. their observations of the facility's daily operational procedures;
3. any symptoms displayed by their child that might indicate abuse;
4. complaints the child made to them;
5. unexplained injuries or symptoms they may have observed;
6. names the child has been taught regarding body parts;
7. other facilities or persons who cared for the child;
8. any prior incidents of abuse the child may have experienced in another setting;
9. what the parent has told the child, if anything, about the allegations of abuse or the pending interview.
(6) Owner/director/administrator Interviews - The investigating official shall interview the owner/director/administrator in charge of the facility's operations. Where more than one person occupy these roles, all such persons shall be interviewed. The interviewer shall determine, assess, and obtain the following.
(A) owner/director/administrator's knowledge of the abuse and willingness to take protective action;
(B) owner/director/administrator's response to allegations of abuse and interview;
(C) appropriate records on the children and the suspect, i.e. enrollment, attendance, and employment records.
(f) Liaison With the Media - Unless otherwise required by law, in order to avoid compromising the confidentiality and integrity of the criminal investigation, the primary agency in charge of the investigating shall be the agency responsible for - issuing any information to the media. This shall be done through the agency's media spokesperson, not the involved investigators.
(g) Referral to Therapist
(1) When to Refer - The investigator shall refer victims and their families to qualified therapists under the following circumstances:
(A) if a child has disclosed serious abuse in an out of-home care facility,
(B) if a child was named by another victim as also having been victimized, but is not disclosing;
(C) if a child displays symptoms indicating possible abuse, but appears too timid or frightened to disclose abuse.
(2) Therapist Role - The role of the therapist shall be to evaluate, diagnose, and/or treat. A therapist shall not have any investigative responsibilities, and the therapeutic interview shall not replace an investigative interview by law enforcement. However, if the therapist obtains information about a new incident or victim of abuse, a child abuse report shall be made.
NOTE
Authority cited: Sections 11174 and 11174.1, Penal Code. Reference: Sections 11164, 11166, 11166.1, 11166.2, 11166.3, 11167, 11167.5, 11168, 11169, 11170, 11171 and 11171.5, Penal Code.
HISTORY
1. New section filed 2-22-91; operative 3-24-91 (Register 91, No. 16).
Note • History
(a) A final review and report shall be made by the agency with the primary responsibility for investigating the case as required by section 930.51 of these regulations and shall include:
(1) final disposition of the case including any action taken by that agency and the status of the victim(s) and suspect(s);
(2) all evidence identified and collected;
(3) completion of all mandated reporting requirement forms.
(b) A copy of the final report shall be made available upon request to any person or agency authorized under subdivision (b) of Penal Code section11167.5.
(c) Interested parties shall be informed, upon written request, of the outcome of the investigation.
NOTE
Authority cited: Sections 11174 and 11174.1, Penal Code. Reference: Sections 11166.1, 11166.2, 11166.3, 11167.5, 11168, 11169 and 11170, Penal Code.
HISTORY
1. New section filed 2-22-91; operative 3-24-91 (Register 91, No. 16).
§930.70. Enforcement of Guidelines.
Note • History
To ensure that every investigation of alleged child abuse in out-of-home care facilities is conducted in accordance with the Guidelines set forth in this article, the Department of Justice shall implement the following procedures:
(a) The Department of Justice, Division of Law Enforcement, shall monitor investigations of incidents of suspected child abuse in out-of-home care facilities reported under section 11169 of the Penal Code to ensure that each incident is being investigated and that reasonable progress is made in the investigation. The Division shall maintain records which shall include the case file name or report number of each such incident, the county and agency conducting the investigation, the date of the incident and the date it was reported to the investigative agency, information concerning any action taken upon completion of the investigation or
final disposition of the matter, and the notification submitted under section 930.41.
(1) The records required by this section shall be compiled from reports submitted pursuant to section 11169 of the Penal Code and sections 930.40 through 930.41 of this article, and may include information from records maintained by the Department of Justice on arrest and conviction.
(2) Records maintained by the Department of Justice on arrests for child abuse related charges shall be used to verify whether or not reports required by this article or the Child Abuse Reporting Law have been submitted. If such reports have not been submitted, the Department shall request that the appropriate child Protective agency in the county where the arrest occurred submit the required reports.
(b) The Office of the Attorney General shall be notified by the Division of Law Enforcement of any incidents of suspected child abuse in out-of-home care facilities reported under section 11169 of the Penal Code:
(1) where it appears reasonable progress is not being made in the investigation,
(2) where reports required by section 11169 of the Penal Code or by this article have not been submitted, or
(3) where any of the information required for the Division of Law Enforcement to monitor the investigation is not made available by the appropriate agencies.
NOTE
Authority cited: Sections 11170(a), 11174 and 11174.1, Penal Code. Reference: Sections 11169, 11170(b), 11172(b), 11174 and 11174.1, Penal Code.
HISTORY
1. New section filed 2-22-91; operative 3-24-91 (Register 91, No. 16).
2. Change without regulatory effect amending subsection (a)(1) filed 4-18-91 pursuant to section 100, title 1, California Code of Regulations (Register 91, No. 16).
Chapter 10. In-Home Child Care Provider Registry
Article 1. Definitions
Note • History
For the purposes of this subchapter, the following terms shall apply:
(a) “Background examination” means a review by the Department of Justice of information relating to the professional child care provider in order to determine whether the provider has been convicted of a crime, other than a minor traffic violation, or whether a report of substantiated child abuse has been made concerning the provider. The information reviewed shall include, but is not limited to: the Department of Justice's Criminal History System; the Department of Justice's Child Abuse Central Index; the Department of Motor Vehicle's Automated Name Index and the Federal Bureau of Investigation's Criminal History System.
(b) “Child” means a person who is under 18 years of age.
(c) “Child abuse” means child abuse as defined in Penal Code section 11165.6.
(d) “Conviction” means a plea of guilty or nolo contendere or a verdict of guilty. Any action which the Department is permitted to take following the establishment of a conviction may be taken when the time for appeal has elapsed, or the judgment of conviction has been affirmed on appeal, or when an order granting probation is made suspending the imposition of sentence, notwithstanding a subsequent order pursuant to Penal Code section 1203.4 or 1203.4a. A certified copy of the record of conviction shall be conclusive evidence of conviction. A minor traffic violation is not a conviction.
(e) “Department” means the Department of Justice.
(f) “Director” means the Director of the Division of Law Enforcement of the Department of Justice.
(g) “Guardian” means a person appointed by the Superior Court pursuant to the provisions of sections 1500-1543 of the Probate Code to care for the person, estate, or person and estate of another.
(h) “In-Home Child Care Provider Registry” or “Registry” means the entries within the Automated Child Abuse System which contain the names and California driver's license numbers or California photo identification numbers of professional child care providers who have applied for registration and whose background examinations do not reveal disqualifying information of criminal convictions or substantiated child abuse.
(i) “Minor traffic violation” means a traffic infraction as defined in Vehicle Code section 42001, subsection (a) (1).
(j) “Parent” means the natural or adoptive mother or father of a child.
(k) “Professional child care provider” or “provider” means a person 18 years of age or older who, at the request and consent of a parent or legal guardian, legally provides care in a home during a part of any 24-hour period for the children of, and is compensated by, the parent or guardian, and who is not required to be licensed pursuant to Health and Safety Code section 1596.80.
(l) “Specified counties” means the counties of Alameda, Contra Costa, Santa Clara, San Diego and San Francisco.
(m) “Substantiated child abuse” means allegation(s) of child abuse which a child protection agency or the Department determines are true based on credible evidence which if presented at an administrative hearing would form the basis for a finding of child abuse.
NOTE
Authority cited: Section 1597.83, Health and Safety Code. Reference: Sections 1597.80(a) and (b) and 1597.83, Health and Safety Code.
HISTORY
1. New section filed 5-18-90; operative 6-17-90 (Register 90, No. 27).
Article 2. Application
Note • History
Professional child care providers who care for children within the specified counties and who possess a valid California driver's license or valid California photo identification card may initiate a background examination process by submitting an application form (SS-8604, Rev. 12/89) provided by the Department, to:
DEPARTMENT OF JUSTICE
CHILD ABUSE UNIT
P. O. BOX 903417
SACRAMENTO, CA 94203-4170
ATTN: IN-HOME CHILD CARE PROVIDER REGISTRY
NOTE
Authority cited: Sections 1597.83 and 1597.86 Health and Safety Code. Reference: Sections 1597.80(a) and 1597.86, Health and Safety Code.
HISTORY
1. New section filed 5-18-90; operative 6-17-90 (Register 90, No. 27).
§932.3. Application Information.
Note • History
The application (SS-8604, Rev. 12/89) shall consist of the professional child care provider's:
(a) Name.
(b) Address.
(c) Date of birth.
(d) Day and evening phone numbers.
(e) Social Security Number (voluntary).
(f) Physical description, including sex, height, weight, eye color, and hair color.
(g) California driver's license.
(h) California photo identification number (in lieu of driver's license number).
(i) Name(s) used since 1981.
(j) Signature for authorization to perform a background examination and to enter the applicant's name and either his/her driver's license or photo identification number in the In-Home Child Care Provider Registry.
(k) Signature authorizing Department to make applicant's name and phone number available to Resource and Referral and/or Nanny agencies (optional).
Also to be included in the application package are:
(l) Two fingerprint cards completed by a California law enforcement agency or other appropriate agency. The fee for obtaining the fingerprints is to be paid by the applicant.
(m) A $10 application fee. This is a fee separate from the fee for obtaining fingerprints.
NOTE
Authority cited: Section 1597.83, Health and Safety Code. Reference: Sections 1597.80(a), 1597.81, 1597.83(c) and 1597.89, Health and Safety Code.
HISTORY
1. New section filed 5-18-90; operative 6-17-90 (Register 90, No. 27).
Note • History
The Department shall notify the provider of the results of the background examination no later than 10 working days after the background examination has been completed.
NOTE
Authority cited: Section 1597.83(a), Health and Safety Code. Reference: Sections 1597.80(a) and 1597.83(a), Health and Safety Code.
HISTORY
1. New section filed 5-18-90; operative 6-17-90 (Register 90, No. 27).
§932.7. Absence of Disqualifying Information.
Note • History
If no reported criminal conviction or substantiated child abuse information is found, the Director shall grant the application, notify the professional child care provider in writing, and enter in the In-Home Child Care Provider Registry the provider's name, along with either the California driver's license number or California photo identification number.
NOTE
Authority cited: Section 1597.83(a), Health and Safety Code. Reference: Sections 1597.80(a) and 1597.83(a), Health and Safety Code.
HISTORY
1. New section filed 5-18-90; operative 6-17-90 (Register 90, No. 27).
§932.9. Presence of Disqualifying Information.
Note • History
(a) If the provider has been convicted of any offense, other than those specified in section 932.11 of this subchapter, the Director may deny the application and shall advise the provider of the reasons therefor. The provider may request an exemption from the denial as described in section 933 of this subchapter.
(b) If the provider has been convicted of any offense specified in section 932.11 of this subchapter, the Director shall deny the application and advise the provider of the reasons therefor. The provider may not request an exemption and has no right to any appeal.
(c) If the provider has a record of substantiated child abuse, the Director shall deny the application and advise the provider of the reasons therefor. The provider may request an exemption from the denial as described in section 933 of this subchapter.
NOTE
Authority cited: Section 1597.83(a) and (b), Health and Safety Code. Reference: Section 1597.83(a), Health and Safety Code.
HISTORY
1. New section filed 5-18-90; operative 6-17-90 (Register 90, No. 27).
§932.11. Disqualifying Convictions.
Note • History
(a) No appeal or request for exemption will be allowed if the provider has been convicted of any of the following offenses:
(1) Penal Code section 220 (assault with intent to commit mayhem, rape, sodomy, oral copulation, rape in concert with another, lascivious acts upon a child, or penetration of genitals or anus with foreign object).
(2) Penal Code section 243.4 (sexual battery).
(3) Penal Code section 264.1 (rape or penetration of genital or anal openings by a foreign object).
(4) Penal Code section 273a, subdivision (l) (willful cruelty or unjustifiable punishment of a child).
(5) Penal Code section 273d (corporal punishment or injury inflicted upon a child).
(6) Penal Code section 288 (lewd or lascivious acts with a child under the age of 14).
(7) Penal Code section 289 (penetration of genital or anal openings by a foreign object).
(8) Penal Code section 368, subsection (a) or (b) (elder or dependent adult abuse).
(9) Violent felonies, as defined in Penal Code section 667.5, subdivision (c) (murder, voluntary manslaughter, mayhem, rape, sodomy, oral copulation, lewd acts on a child under the age of 14, or any felony punishable by death or life imprisonment).
NOTE
Authority cited: Section 1597.83(a)(2) and (b), Health and Safety Code. Reference: Section 1597.83(a)(2), Health and Safety Code.
HISTORY
1. New section filed 5-18-90; operative 6-17-90 (Register 90, No. 27).
§932.13. Pending Criminal Charges.
Note • History
(a) An application cannot be granted while criminal charges, other than for a minor traffic violation, are pending against the provider. The Department may hold the application in abeyance for a 12-month period. During that period, it is the provider's responsibility to advise the Department of the outcome of the criminal proceedings. If, after the criminal proceedings are completed, the provider wishes to activate the application, the provider must submit to the Department a copy of the court record(s) which reflects the disposition of the case. The Department may destroy the application at the end of the 12-month period, retaining the application fee, if the provider has not provided these records.
(b) Once the 12-month period has passed, the applicant must reapply by submitting an application in accordance with section 932.3.
NOTE
Authority cited: Section 1597.83(a), Health and Safety Code. Reference: Section 1597.83(a), Health and Safety Code.
HISTORY
1. New section filed 5-18-90; operative 6-17-90 (Register 90, No. 27).
§932.15. Prior Denial; Cessation of Review.
Note • History
If the Department determines during the application review process that the provider has previously applied for registration and the application was denied and the denial was upheld after opportunity for hearing, the Department shall cease further review of the application until one year has elapsed from the date of the decision upholding the denial. The cessation of review shall not constitute a denial of the application.
NOTE
Authority cited: Section 1597.83(a), Health and Safety Code. Reference: Section 1597.80(a), Health and Safety Code.
HISTORY
1. New section filed 5-18-90; operative 6-17-90 (Register 90, No. 27).
Article 3. Appeal Process
Note • History
The provider may request an exemption by notifying the Department in writing of the request and presenting evidence that he/she has been rehabilitated and is presently of such good character as to justify exemption. The request for exemption must be made within 15 days from receipt of the Director's denial letter. The Director may grant the exemption if the Director has substantial and convincing evidence to support a reasonable belief that the provider is of such good character as to justify the exemption. The Director shall render the decision to grant or deny the request for exemption within 30 days of the receipt of the completed request for exemption.
NOTE
Authority cited: Section 1597.83(a) and (b), Health and Safety Code. Reference: Section 1597.83(a), Health and Safety Code.
HISTORY
1. New section filed 5-18-90; operative 6-17-90 (Register 90, No. 27).
§933.3. Evidence of Rehabilitation.
Note • History
(a) Factors which may be considered by the Director in determining whether the provider is rehabilitated and of good character include, but are not limited to, the following:
(1) The nature of the crime or substantiated child abuse.
(2) The period of time that has elapsed since the crime or substantiated child abuse was committed and the number of offenses.
(3) The circumstances surrounding the commission of the crime or substantiated child abuse that would demonstrate the unlikelihood of repetition.
(4) Activities since the time of the conviction or substantiated child abuse, including employment or participation in therapy or education, that would indicate changed behavior.
(5) Granting by the Governor of a full and unconditional pardon.
(6) Character references.
(7) A certificate of rehabilitation from a superior court.
NOTE
Authority cited: Section 1597.83(a) and (b), Health and Safety Code. Reference: Section 1597.83(a), Health and Safety Code.
HISTORY
1. New section filed 5-18-90; operative 6-17-90 (Register 90, No. 27).
Note • History
(a) If the exemption is denied, the provider may appeal and request a hearing by notifying the Department in writing within 15 days from receipt of the letter denying the exemption.
(b) The hearing on the appeal shall be conducted in accordance with sections 11500 through 11528 of the Government Code.
(c) Upon receipt of the Notice of Defense from the provider pursuant to Government Code section 11506, a hearing date will be requested from the Office of Administrative Hearings.
(d) In any hearing conducted in accordance with this subchapter, the preponderance of the evidence standard shall apply.
NOTE
Authority cited: Section 1597.83(a)(3), Health and Safety Code. Reference: Section 1597.83(a)(3), Health and Safety Code.
HISTORY
1. New section filed 5-18-90; operative 6-17-90 (Register 90, No. 27).
Article 4. Removal from In-Home Child Care Provider Registry
§934. Revocation of Registration.
Note • History
(a) The Department may revoke a provider's registration upon either of the following grounds:
(1) Conviction of a crime substantially related to the qualifications, functions or duties of a professional child care provider.
(2) An act or acts resulting in a report of substantiated child abuse.
(b) The revocation hearing shall be conducted in accordance with the provisions of section 933.5, subsections (b) through (d) of this subchapter.
NOTE
Authority cited: Sections 1597.83(a) and 1597.84(b), Health and Safety Code. Reference: Sections 1597.83(a) and 1597.84(b), Health and Safety Code.
HISTORY
1. New section filed 5-18-90; operative 6-17-90 (Register 90, No. 27).
§934.3. Temporary Removal from In-Home Child Care Provider Registry.
Note • History
(a) The Director may temporarily remove an entry in the In-Home Child Care Provider Registry pertaining to a particular provider if:
(1) A report of substantiated child abuse is made concerning the provider.
(2) In the opinion of the Director, the action is necessary to protect a child from physical or mental abuse, abandonment, or any other substantial threat to health or safety and the provider was criminally charged.
(b) The Department shall notify the provider of the temporary removal.
(c) If the criminal proceedings do not result in any conviction, the entry in the In-Home Child Care Provider Registry will be reinstated.
(d) If the criminal proceedings result in a conviction for any of the offenses set forth in section 932.11 of this subchapter, the entry will be permanently removed. The provider may not request an exemption and has no right to any appeal.
(e) If the criminal proceedings result in a conviction for an offense not set forth in section 932.11 of this subchapter, the entry in the In-Home Child Care Provider Registry will be reinstated. If the conviction is substantially related to the qualifications, functions or duties of a professional child care provider, the Director shall initiate proceedings to revoke the provider's registration pursuant to section 934 of this subchapter.
(f) If the temporary removal is the result of a report of substantiated child abuse and no related criminal charges are filed, the Director shall notify the provider of the temporary suspension and the effective date thereof and at the same time shall serve the provider with an accusation. Upon receipt of a Notice of Defense to the accusation, a hearing date will be requested from the Office of Administrative Hearings; the hearing shall be held as soon as possible. The temporary removal shall remain in effect until such time as the hearing is completed and the Director has made a final determination on the merits. However, the temporary removal shall be deemed vacated if the Director fails to make a final determination on the merits within 45 days after the original hearing has been completed.
NOTE
Authority cited: Sections 1597.83(a) and 1597.84(b), Health and Safety Code. Reference: Sections 1597.83(a) and 1597.84(b), Health and Safety Code.
HISTORY
1. New section filed 5-18-90; operative 6-17-90 (Register 90, No. 27).
§934.5. Prior Revocation; Cessation of Review.
Note • History
If the Department determines during the application review process that the provider was previously registered in the In-Home Child Care Provider Registry and that the registration was revoked within the preceding two years, the Department shall cease any further review of the application until two years have elapsed from the date of the revocation. Cessation of review shall not constitute a denial of the application.
NOTE
Authority cited: Section 1597.83 (a), Health and Safety Code. Reference: Sections 1597.80(a) and 1597.83(a), Health and Safety Code.
HISTORY
1. New section filed 5-18-90; operative 6-17-90 (Register 90, No. 27).
Article 5. Access to In-Home Child Care Provider Registry
Note • History
(a) All interested parties, including parents, employment agencies, child care referral groups, and registries, may check, via toll free telephone number or in writing, to determine whether a child care provider is listed on the Department's In-Home Child Care Provider Registry.
(b) The toll free telephone line will be maintained from 8:00 a.m. to 5:00 p.m., Monday through Friday, except on holidays.
(c) Written inquiries should be addressed to:
DEPARTMENT OF JUSTICE
P. O. BOX 903417
SACRAMENTO, CA 94203-4170
ATTN: IN-HOME CHILD CARE PROVIDER PROGRAM
CHILD ABUSE UNIT
NOTE
Authority cited: Section 1597.84(a), Health and Safety Code. Reference: Section 1597.84(a), Health and Safety Code.
HISTORY
1. New section filed 5-18-90; operative 6-17-90 (Register 90, No. 27).
Chapter 11. Police Body Armor
Article 1. Certification of Bulletproof Vests
Note • History
This article shall apply to body armor (formerly referred to as bulletproof vests) to be purchased for State law enforcement officers and shall establish minimum requirements and testing methods to ensure ballistic resistance for certification purposes. Police body armor submitted by manufacturers for certification by the Department of Justice shall meet the minimum standards specified in these regulations.
The test standards specified in this article do not apply to design characteristics such as weight, size, shape, comfort, concealability, and durability which shall be determined by the State Armor Committee as part of the procurement specifications at the time a purchase contract is requested by a member agency of this committee.
The State Armor Committee shall consist of representatives from the following agencies: California Highway Patrol, State Police, Department of Justice, and the Office of Procurement.
Only body armor that meets the current State requirements for acquisition and purchase at the time the State Office of Procurement announces a need to bid a new purchase contract shall be accepted for ballistics certification testing by the Department of Justice.
NOTE
Authority cited: Section 12367, Penal Code. Reference: Sections 12360-12369, Penal Code.
HISTORY
1. New Subchapter 11 (Sections 941-957) filed 3-9-77 as an emergency; effective upon filing (Register 77, No. 11).
2. Certificate of Compliance filed 7-7-77 (Register 77, No. 28).
3. Amendment filed 9-25-81 as an emergency; effective upon filing (Register 81, No. 40).
4. Order of Repeal of 9-25-81 emergency order filed 10-2-81 by OAL pursuant to Government Code Section 11349.6 (Register 81, No. 40).
5. Amendment filed 2-16-82; designated effective 4-1-82 (Register 82, No. 8).
History
Wherever these terms are used in this article, the following definitions shall apply:
(a) Angle of Incidence. The “angle of incidence” is the angle between the line of flight of a bullet and a perpendicular to the vertical plane tangent to the surface of the body armor at the point of impact (Figure 1 ).
(b) Approved Laboratory. An “approved laboratory” has facilities and equipment for testing body armor according to the standards in this title and has been accepted by the department for such testing after an on-site inspection by a representative of the department or other departmental designate.
(c) Backing Material. The material against which the armor specimen is securely positioned for ballistic testing to allow an analysis and comparison of the backface deformation resulting from the impact of nonpenetrating rounds.
(d) Ballistic Panels. “Ballistic panels” are removable armor portions of vests with carriers or entire vests that do not have carriers. Ballistic panels are distinguished by type of materials, the treatment and/or conditioning of the material for stiffness, ballistic resistance, or water repellency and the type of construction or assembly used in forming a complete ballistic panel.
(e) Body Armor. “Body armor” is popularly called a “bulletproof vest”. For purposes of these regulations, “body armor” means those parts of a complete armor that provide ballistic resistance to the penetration of the test ammunition for which a complete armor is certified. In certain models, the body armor consists of ballistic panels without a carrier. Other models have a carrier from which the ballistic panels may be removed for cleaning or replacement.
(f) Carrier. A “carrier” is a washable cloth covering designed to hold and position ballistic panels on the torso.
(g) Chronograph. A “chronograph” is an instrument that times projectiles in flight. It consists of triggering screens and electronic time measurement controls (Figure 2 ).
(h) Deformation. “Deformation” means the maximum momentary change in the shape of the clay backing surface behind the armor test specimen, caused by a fair hit that does not penetrate the armor.
(i) Fair Hit. A “fair hit” is an impact in which the bullet strikes the armor at an angle of incidence no greater than 5 deg and no closer to the edge of the armor part, or to a prior hit, than 5 cm (2 in.), except as specified for the first three rounds at the approximate center of each front armor panel.
(j) Penetration. “Penetration” is complete perforation of an armor test sample by a test bullet or bullet fragment, or fragments of the armor evidenced by the presence of the bullet or fragment in the backing material, or by a hole that passes through a ballistic panel or vest.
(k) Strike Face. “Strike face” is the surface of an armor designated by the manufacturer as the surface that the bullet should hit.
(l) Velocity. Acceptable “velocity” is the approximate average speed, 2.5%, attained by test bullets using common handguns of specified barrel length and U.S. commercial ammunition. The powder charge of commercial ammunition may be reloaded to achieve the precision specified.
HISTORY
1. Amendment of subsections (c) and (i) filed 9-30-77 as an emergency; effective upon filing (Register 77, No. 40).
2. Certificate of Compliance filed 1-24-78 (Register 78, No. 4).
History
The following abbreviations are used in this article:
AP Armor Piercing LRHV Long Rifle High Velocity
BK Buckshot LRN Lead Round Nose
FMJ Full Metal Jacket MAG Magnum
(same as MC) MC Metal Case (same as FMJ)
HV High Velocity
(or super velocity) MJ Metal Jacket (guilding metal,
JHP Jacketed Hollow Point 90% copper alloy)
JSP Jacketed Soft Point
L Lead alloyed with RF Rimfire
hardening agents RS Rifled Slug
LHP Lead Hollow Point SWC Semi-Wadcutter
LR Long Rifle WC Wadcutter
HISTORY
1. Amendment filed 9-30-77 as an emergency; effective upon filing (Register 77, No. 40).
2. Certificate of Compliance filed 1-24-78 (Register 78, No. 4).
§944. Type of Armor Certified.
Note • History
Police body armor is classified into four types, as determined by resistance to gunfire (Table 1 ). The type of body armor submitted for ballistic certification by the Department of Justice shall be specified by the State Armor Committee and must:
(a) meet the current State requirements for acquisition and purchase as determined by the State Office of Procurement in consultation with the State user agencies represented on the State Armor Committee.
(b) be made by a manufacturer who has an established quality control program acceptable to the State Office of Procurement as specified in Section 954.
NOTE
Authority cited: Section 12367, Penal Code. Reference: Sections 12360 and 12361, Penal Code.
HISTORY
1. Amendment filed 9-25-81 as an emergency; effective upon filing (Register 81, No. 40).
2. Order of Repeal of 9-25-81 emergency order filed 10-2-81 by OAL pursuant to Government Code Section 11349.6 (Register 81, No. 40).
3. Amendment filed 2-16-82; designated effective 4-1-82 (Register 82, No. 8).
History
Body armor certified by the department shall be examined for the requirements of subsection (a) through (d). If the armor meets these requirements, then they shall be tested for requirements in subsections (e) through (g).
(a) Configuration. Body armor may be manufactured in various models, but every model shall be designed to protect the front and back torso and may, in addition, protect the sides of the torso and the groin or a combination of these.
(b) Protective carrier. If its ballistic panels can be damaged by washing, a vest shall have a washable carrier from which the panels can be removed. If, however, laundering according to instructions does not impair the ballistic resistance of a vest, no washable covering is required.
(c) Workmanship. Each armor vest shall be free from wrinkles, blisters, cracks, fabric tears, crazing, chipped or sharp corners, stains and other evidences of poor workmanship.
(d) Labeling. Each armor vest shall be clearly and durably marked to provide the following information:
(1) Name, designation, or logo of manufacturer
(2) Type of armor, according to Section 944 of this title
(3) Size
(4) Serial number
(5) Month and year of manufacture, if not identifiable in the serial number
(6) Strike face, if any
(7) Cleaning instructions for the armor panels and armor carrier, if any
(8) A warning, when applicable, that ballistic resistance may be severely reduced when the armor is wet
(e) Ballistic Protection. Body armor shall protect against the standard test rounds specified in Section 946 of this title. It shall also provide protection against the lesser threats listed in Table 1 for Type I, such as 12 gauge 00 buckshot, 22 caliber Long Rifle, High Velocity, 38 Special, and most other factory loads in 357 Magnum and 9 mm rounds.
(f) Penetration. Body armor shall protect against penetration. Penetration by any fair hit shall constitute failure of the armor tested.
(g) Deformation. The maximum momentary change in the shape of the back surface of the armor test specimens caused by a fair hit that does not penetrate the armor.
HISTORY
1. Amendment of subsections (b) and (g) filed 9-30-77 as an emergency; effective upon filing (Register 77, No. 40).
2. Certificate of Compliance filed 1-24-78 (Register 78, No. 4).
§946. Testing Equipment and Supplies.
Note • History
The following equipment and supplies shall be used in ballistic testing of body armor for approval by the department:
(a) Firearm. A test barrel or a firearm with a barrel length as recommended in Table 2 shall be used to fire all test rounds within the velocities specified for each test round required for each armor type (Table 2).
(b) Ammunition. Ammunition shall be manufactured in the United States for commercial consumption. To insure uniformity, test ammunition is listed by a common manufacturer's order number, but any equivalent ammunition or handloaded components may be substituted.
(1) For Type I Armor:
(A) The 38 SPL test bullets shall be LEAD R.N. (Remington #3854) with nominal mass of 10.2 grams (158 grains) and measured velocities of 259 + 6 m/s (850 + 21 ft.) per sec.
(B) The 22 LRHV test bullet shall be LEAD R.N. with nominal mass of 2.6 grams (40 grains) and measured velocities of 320 + 8 m/s (1050 + 26 ft.) per sec.
(2) For Type IIA Armor:
(A) The 357 MAG test bullets shall be LEAD SWC or equivalent JSP (Remington #357M5), with nominal mass of 10.2 grams (158 grains) and measured velocities of 397 + 10 m (1300 + 33 ft.) per sec.
(B) The 9 mm test bullets shall be FMJ (Remington #R9MM2) with nominal mass of 8 grams (124 grains) and with measured velocities of 336 + 9 m (1100 + 28 ft.) per sec.
(3) For Type II Armor:
(A) The 357 MAG test bullets shall be JSP (Remington #R57M3) with nominal masses of 10.2 grams (158 grains) and with measured velocities of 425 + 11 m/s (1395 + 35 ft.) per sec.
(B) The 9 mm test bullets shall be FMJ (Remington R9MM2) with nominal masses of 8 grams (124 grains) and with measured velocities of 358 + 9 m/s (1175 + 30 ft.) per sec.
(4) For Type III Armor: The 7.62 mm (308 Win) bullets shall be FJM (U.S. Government Issue) with a nominal mass of 9.7 grams (150 grains) and with measured velocities of 873 + 22 m/s (2863 + 72 ft.) per sec.
(5) For Type IV Armor: The 30-06 bullet shall be AP (U.S. Government Issue) with a nominal mass of 10.8 grams (166 grains) and with measured velocities of 838 + 21 m/s (2750 + 69 ft.) per sec.
(c) Optional Ammunition. The agencies for which armor is to be certified may elect to add agency issued ammunition used by the user agency to the test ammunition specified for each armor type in determining the minimum ballistic performance.
(d) Chronograph. The chronograph shall have a precision of 1 microsecond and an accuracy of 2 microseconds. Its two triggering screens shall be of either the photoelectric type or the conductive screen type.
(e) Backing Material. Backing material for ballistic tests shall be a block of non-hardening, oil base modeling clay, 30 cm wide, 30 cm high, and 10 cm thick (12 x 12 x 4 in.) placed in contact with the back of the armor test specimen during ballistic testing.
(f) Steel Testing Cylinder. A steel cylinder with a mass of 1 kg (2.2 lb.), diameter of 45 mm (1.75 in.), and a round striking end shall be used to test the consistency of the clay backing material.
(g) Sheet of Cardboard. A large sheet of cardboard through which the preliminary test round is fired shall be used as a “witness panel” for positioning test rounds on the armor.
NOTE
Authority cited: Section 12367, Penal Code. Reference: Sections 12360 and 12361, Penal Code.
HISTORY
1. Amendment of subsections (a), (b) and (d) filed 9-30-77 as an emergency; effective upon filing (Register 77, No. 40).
2. Certificate of Compliance filed 1-24-78 (Register 78, No. 4).
3. Amendment of subsections (a)-(g) filed 9-25-81 as an emergency; effective upon filing (Register 81, No. 40).
4. Order of Repeal of 9-25-81 emergency order filed 10-2-81 by OAL pursuant to Government Code Section 11349.6 (Register 81, No. 40).
5. Amendment filed 2-16-82; designated effective 4-1-82 (Register 82, No. 8).
Preliminary procedures for ballistic testing of bulletproof vests shall include:
(a) Conditioning of Clay Backing. Clay backing material shall be conditioned by being kept for at least 3 hr. at a temperature between 20 to 28 deg. C (68-82 deg F). Before testing, the clay shall be worked thoroughly to eliminate any air pockets. Its pretest consistency shall be such that a depression of 25? 3 mm (1? 0.1 in.) results when the steel cylinder specified in Section 946(e) is dropped from a height of 2 m (6.5 ft.) onto the 45 cm-sq face of the clay. The steel cylinder shall be dropped three times,
and the center of each impact shall be at least 75 mm (3 in.) from a previous impact and from any edge of the block. The depth of penetration of each impact shall be recorded as the distance between the point of maximum depression and the undisturbed surface of the clay backing material. After each impact is recorded, the clay shall be reshaped to its specified dimensions and smoothed.
(b) Warm-up of Equipment. All electronic equipment shall be allowed to warm up for 30 min or until stability is achieved, whichever time is greater.
(c) Atmospheric Conditions. Throughout testing, the ambient temperature shall be 18 to 28 deg C (65 to 82 deg F), and the relative humidity 30 to 70%.
History
Test equipment for ballistic testing shall be positioned as diagrammed in Figure 2.
(a) Test Weapon. The required test weapon or test barrel shall be firmly clamped with barrel horizontal and in such a manner that the alignment of the weapon does not alter when the weapon discharges. When a test barrel is used, the barrel length and the muzzle to armor distance are not critical as long as the specified velocity is attained at the chronograph screen distances specified in Figure 2.
(b) Chronograph Screens. Two chronograph triggering screens shall be placed 1.5 to 2.0 m (4.9 to 6.5 ft.) and 2.5 m (8.2 ft.) from the end of the muzzle of the test weapon and perpendicular to the bullet's line of flight. Distance between screens shall be measured within an accuracy of 1 mm (0.04 in.).
(c) Cardboard Sheet. For the pretest rounds the cardboard witness panel shall be positioned no more than 3 m (10 ft.) from the end of the muzzle of the test weapon.
(d) Backing Material. The back face of the sample armor to be tested shall be secured to the backing material with tape or other means that will not interfere with the test.
HISTORY
1. Amendment of subsection (a) filed 9-30-77 as an emergency; effective upon filing (Register 77, No. 40).
2. Certificate of Compliance filed 1-24-78 (Register 78, No. 4).
History
Before the official tests, a pretest round shall be fired through a cardboard witness panel or the conductive screens of the chronograph to determine the line of flight and the bullet's point of impact.
HISTORY
1. Amendment filed 9-30-77 as an emergency; effective upon filing (Register 77, No. 40).
2. Certificate of Compliance filed 1-24-78 (Register 78, No. 4).
History
HISTORY
1. Repealer filed 9-30-77 as an emergency; effective upon filing (Register 77, No. 40).
2. Certificate of Compliance filed 1-24-78 (Register 78, No. 4).
§951. Dry Armor Ballistic Tests.
Note • History
The front and rear ballistic panels of each armor type shall be tested with the type of ammunition specified in Section 946(b) for each armor type. The dry weight of each armor specimen (without a removable carrier) shall be determined and recorded prior to the start of ballistic testing. Armor with separate removable carriers do not require that the carrier be ballistically tested.
(a) Preparation. The assembly of the armor and the clay backing shall be placed behind the cardboard witness panel with the armor strike face perpendicular to the line of flight of the bullet so that the desired point of impact touches the bullet hole in the cardboard or the line of sight through the holes in the chronograph screens. Then the cardboard shall be removed.
(b) Test Round. For each type of ammunition and starting with a front armor panel positioned on the clay backing, a test round shall be fired within a 2 in target area at the approximate center of the front armor panel.
(c) Recording. The time the bullet takes to pass between the two triggering screens, as determined by the chronograph, and the calculated bullet velocity shall be recorded.
(d) Examination for Penetration. After each round the armor and the backing material shall be examined to determine whether or not penetration occurred when a bullet traveling at an acceptable velocity ( Table 2 ) made a fair hit.
(e) Examination for Deformation. After each nonpenetrating round, the depression formed in the clay shall be examined and the depth, base diameter, and general shape (i.e. hemispherical, elliptical, pyramidal, etc.) shall be recorded for each fair hit.
(f) Repetition and Recording. The armor panel shall be repositioned on the clay backing and test firing continued until at least five fair hits, at acceptable velocities, have been recorded for each front and rear panel tested. Rounds that strike the armor over previous hits or less than 1 in. from any broken thread resulting from a previous round shall not be counted as fair hits. The backing material shall be repositioned (as required) to prevent over-lapping of depressions in the clay.
NOTE
Authority cited: Section 12367, Penal Code. Reference: Sections 12360 and 12361, Penal Code.
HISTORY
1. Amendment filed 9-30-77 as an emergency; effective upon filing (Register 77, No. 40).
2. Certificate of Compliance filed 1-24-78 (Register 78, No. 4).
3. Amendment filed 9-25-81 as an emergency; effective upon filing (Register 81, No. 40).
4. Order of Repeal of 9-25-81 emergency order filed 10-2-81 by OAL pursuant to Government Code Section 11349.6 (Register 81, No. 40).
5. Amendment filed 2-16-82; designated effective 4-1-82 (Register 82, No. 8).
§952. Wet Armor Ballistic Tests.
History
If no ballistic penetration occurs on the dry armor, additional armor of the same specific type shall be tested wet. However, only armor that is not enclosed in a permanent waterproof cover shall be subjected to ballistic wet testing. All ballistic sections comprising either the front or back torso (excluding any removable carrier) shall be treated as one unit and tested as follows:
(a) Determining Dry Mass. Before immersion, the dry mass of each front or back ballistic unit is determined to an accuracy of ± 1 gm.
(b) Wet Armor Conditioning. Each unit shall be immersed in water of 25 ± 5 deg C (77 ± 9 deg F) for 1 hour with one to two minutes of flexing and agitation at about 10 minute intervals.
(c) Determining Wet Mass. Immediately on removal from the water, the armor units are hung to drain and periodically weighed until each front or back unit achieves a water retention (WR) value of 10 to 12% expressed as a percentage of the dry mass:
%WR = (WM - DM)/DM x 100
Ballistic units which do not achieve a 10 to 12% WR value shall be immersed for an additional 30 minutes as described above. Ballistic units which do not achieve a 10 to 12% WR after 90 minutes shall not be wet tested.
(d) Testing. Each front or back ballistic unit shall be tested within 1 hour of achieving a WR of 10 to 12%. The %WR and the time it was determined shall be recorded immediately before and after the test rounds fired at each unit and referenced to the time of the first and last rounds. Wet ballistic test procedures shall be the same as those specified for dry armor.
HISTORY
1. Amendment filed 9-30-77 as an emergency; effective upon filing (Register 77, No. 40).
2. Certificate of Compliance filed 1-24-78 (Register 78, No. 4).
§953. Performance Requirements for Ballistic Tests.
Note • History
To be certified, body armor tested shall meet the following minimum requirements:
(a) Each armor type shall evidence no sign of penetration after the number of fair hits, by the rounds specified, for each armor type as specified in Table 2, when tested dry (Section 951). Non-penetrating rounds that exceed the velocity ranges specified, but otherwise qualify as a fair hit, shall be counted as fair hits.
(b) Armor that is not enclosed in a permanent water repellent cover, shall in addition, evidence no sign of penetration after the number of fair hits, by the rounds specified, for each armor type as specified in Table 2, when tested wet (Section 952).
(c) Each torso front or back ballistic panel(s) shall not be used for more than a total of eight hits wherein at least five out of the eight shall be fair hits.
(d) The minimum performance requirements for ballistic deformation have not been conclusively established. The deformation of all fair hits shall be measured and reported for the consideration of prospective user. The deformation performance standard recommended in the NILECJ standard 0101.01 (Dec. 1978) is that the deformation shall not exceed an average depth of 44 mm (1.73 in.) for the number of fair hits required for each armor type.
NOTE
Authority cited: Section 12367, Penal Code. Reference: Sections 12361 and 12367, Penal Code.
HISTORY
1. Amendment filed 9-30-77 as an emergency; effective upon filing (Register 77, No. 40).
2. Certificate of Compliance filed 1-24-78 (Register 78, No. 4).
3. Amendment filed 9-25-81 as an emergency; effective upon filing (Register 81, No. 40).
4. Order of Repeal of 9-25-81 emergency order filed 10-2-81 by OAL pursuant to Government ode Section 11349.6 (Register 81, No. 40).
5. Amendment filed 2-16-82; designated effective 4-1-82 (Register 82, No. 8).
§954. Quality Control Program Requirements.
Manufacturers of body armor certified by the Department of Justice shall establish a formal quality control program plan prior to procurement of the vests by the State. The plan shall meet, in essence, the criteria specified in “Inspection System Requirements”, military specification number MIL-I-45208A (December 16, 1963), except all references to “government” or “military” shall read “State of California”.
History
The approved laboratory selected by the Department of Justice to test body armor in accordance with the requirements of this title shall determine the number of complete armors or armor panels needed for testing.
Certification of one specific design and construction of ballistic panels or vest of a manufacturer shall convey certification to all armor of the same manufacturer that incorporate ballistic panels with the same specific design and construction.
Additional samples of armor certified under these regulations shall be tested for conformance with the certification standards as part of the quality control requirements of any purchase contract issued by the State Office of Procurement.
HISTORY
1. Amendment filed 9-30-77 as an emergency; effective upon filing (Register 77, No. 40).
2. Certificate of Compliance filed 1-24-78 (Register 78, No. 4).
§956. Submission of Test Samples.
Note • History
The Department shall announce to all known domestic manufacturers of police body armor a schedule for certification testing, sample submission requirements, and procedures contingent on the State Office of Procurement's need to bid a new purchase contract to supply police body armor for State peace officers.
NOTE
Authority cited: Section 12367, Penal Code. Reference: Section 12364, Penal Code.
HISTORY
1. Amendment filed 9-25-81 as an emergency; effective upon filing (Register 81, No. 40).
2. Order of Repeal of 9-25-81 emergency order filed 10-2-81 by OAL pursuant to Government Code Section 11349.6 (Register 81, No. 40).
3. Amendment filed 2-16-82; designated effective 4-1-82 (Register 82, No. 8).
TABLE 1. PROTECTION AFFORDED BY POLICE BODY ARMOR
FOOTNOTE (1): Refer to Table 2 for specific rounds and velocities for type IIA and II armor.
HISTORY
1. Repealer of Table 1 and new Table 1 filed 9-30-77 as an emergency; effective upon filing (Register 77, No. 40).
2. Certificate of Compliance filed 1-24-78 (Register 78, No.4).
3. Amendment of Table 1 filed 9-25-81 as an emergency; effective upon filing (Register 81, No. 40).
4. Order of Repeal of 9-25-81 emergency order filed 10-2-81 by OAL pursuant to Government Code Section 11349.6 (Register 81, No. 40).
5. Amendment filed 2-16-82; designated effective 4-1-82 (Register 82, No. 8).
TABLE 2. TEST SUMMARY
(1) Performance requirements for optional, agency issued, ammunition, Section 946(c), shall be specified as part of the certification testing announcement and scheduled by the Department.
(2) Non-penetrating rounds that exceed the velocity range specified, but otherwise qualify as a fair hit shall be counted as fair hits.
HISTORY
1. Repealer of Table 2 and new Table 2 filed 9-30-77 as an emergency; effective upon filing (Register 77, No. 40).
2. Certificate of Compliance filed 1-24-78 (Register 78, No. 4).
3. Amendment of Table 2 filed 9-25-81 as an emergency; effective upon filing (Register 81, No. 40).
4. Order of Repeal of 9-25-81 emergency order filed 10-2-81 by OAL pursuant to Government Code Section 11349.6 (Register 81, No. 40).
5. Amendment filed 2-16-82; designated effective 4-1-82 (Register 82, No. 8).
6. Editorial Correction (Register 82, No. 11).
§957. References-Publications.
Note • History
These references are available from the U.S. Government Printing Office, Washington, DC 20402:
(a) Military specifications number MIL-I-45208A (12/16/63). See Section 954 of this title.
(b) Informational publications of the National Institute of Law Enforcement and Criminal Justice, Law Enforcement Assistance Administration, U.S. Department of Justice:
(1) Body Armor, Lightweight Body Armor for Law Enforcement Officials, May 1976 (Stock No. 027-000-00409-1)
(2) Body Armor, Blunt Trauma Date, May 1976 (Stock No. 027-000-00408-3)(3) Body Armor, Medical Assessment, May 1976 (Stock No. 027-000-00407-5)
(c) NILCJ-STD-0101.01 “Ballistic Resistance of Body Armor”, December 1978, available from National Bureau of Standards, Law Enforcement Standards Laboratory.
NOTE
Authority cited: Section 12367, Penal Code. Reference: Sections 12360 and 12361, Penal Code.
HISTORY
1. Editorial correction in subsection (c) (Register 77, No. 40).
2. New subsection (d) filed 9-30-77 as an emergency; effective upon filing (Register 77, No. 40).
3. Certificate of Compliance filed 1-24-78 (Register 78, No. 4).
4. Amendment of subsections (c) and (d) filed 9-25-81 as an emergency; effective upon filing (Register 81, No. 40).
5. Order of Repeal of 9-25-81 emergency order filed 10-2-81 by OAL pursuant to Government Code Section 11349.6 (Register 81, No. 40).
6. Amendment of subsections (c) and (d) filed 2-16-82; designated effective 4-1-82 (Register 82, No. 8).
Chapter 12. Tear Gas Weapons and Training Institutions
Article 1. General Provisions
Note • History
NOTE
Authority cited: Sections 12403.7(b) and 12457, Penal Code. Reference: Section 12403.7, Penal Code.
HISTORY
1. New Subchapter 12 (Sections 961-965.1) filed 12-6-77; effective thirtieth day thereafter (Register 77, No. 50).
2. Amendment filed 7-5-79; effective thirtieth day thereafter (Register 79, No. 27).
3. Amendment of NOTE filed 7-21-82; effective thirtieth day thereafter (Register 82, No. 30).
4. Change without regulatory effect repealing chapter 12 (articles 1-6, sections 961-966.2), article 1 (sections 961-961.2) and section filed 6-28-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 26).
History
HISTORY
1. Change without regulatory effect repealing section filed 6-28-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 26).
Note • History
NOTE
Authority cited: Sections 12403.7(b) and 12457, Penal Code. Reference: Section 12403.7, Penal Code.
HISTORY
1. Amendment filed 7-5-79; effective thirtieth day thereafter (Register 79, No. 27).
2. Change without regulatory effect repealing section filed 6-28-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 26).
Article 2. Definitions
History
HISTORY
1. Change without regulatory effect repealing article 2 (sections 962-962.1) and section filed 6-28-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 26).
Note • History
NOTE
Authority cited: Sections 12403.7(b) and 12457, Penal Code. Reference: Section 12403.7, Penal Code.
HISTORY
1. Amendment filed 7-5-79; effective thirtieth day thereafter (Register 79, No. 27).
2. Change without regulatory effect repealing section filed 6-28-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 26).
Article 3. Sales Licenses
History
HISTORY
1. Amendment filed 7-21-82; effective thirtieth day thereafter (Register 82, No. 30).
2. Change without regulatory effect repealing article 3 (sections 963-963.10) and section filed 6-28-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 26).
History
HISTORY
1. Amendment filed 7-21-82; effective thirtieth day thereafter (Register 82, No. 30).
2. Change without regulatory effect repealing section filed 6-28-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 26).
History
HISTORY
1. Change without regulatory effect repealing section filed 6-28-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 26).
History
HISTORY
1. Change without regulatory effect repealing section filed 6-28-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 26).
History
HISTORY
1. Change without regulatory effect repealing section filed 6-28-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 26).
History
HISTORY
1. Change without regulatory effect repealing section filed 6-28-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 26).
History
HISTORY
1. Change without regulatory effect repealing section filed 6-28-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 26).
History
HISTORY
1. Change without regulatory effect repealing section filed 6-28-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 26).
Note • History
NOTE
Authority cited: Sections 12403.7(b) and 12457, Penal Code. Reference: Sections 12403.7, and 12435, Penal Code.
HISTORY
1. Amendment filed 7-5-79; effective thirtieth day thereafter (Register 79, No. 27).
2. Amendment filed 7-21-82; effective thirtieth day thereafter (Register 82, No. 30).
3. Change without regulatory effect repealing section filed 6-28-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 26).
History
HISTORY
1. Change without regulatory effect repealing section filed 6-28-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 26).
History
HISTORY
1. Amendment of subsection (b) filed 7-21-82; effective thirtieth day thereafter (Register 82, No. 30).
2. Change without regulatory effect repealing section filed 6-28-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 26).
Article 4. Certification and Approval
History
HISTORY
1. Amendment filed 7-21-82; effective thirtieth day thereafter (Register 82, No. 30).
2. Change without regulatory effect repealing article 4 (sections 964-964.8) and section filed 6-28-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 26).
History
HISTORY
1. Amendment filed 7-21-82; effective thirtieth day thereafter (Register 82, No. 30).
2. Change without regulatory effect repealing section filed 6-28-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 26).
Note • History
NOTE
Authority cited: Sections 12403.7(a)(5)(B) and 12457, Penal Code. Reference: Sections 12403.7, 12450, 12451, and 12457.1, Penal Code.
HISTORY
1. Amendment filed 7-5-79; effective thirtieth day thereafter (Register 79, No. 27).
2. Amendment filed 7-21-82; effective thirtieth day thereafter (Register 82, No. 30).
3. Change without regulatory effect repealing section filed 6-28-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 26).
Note • History
NOTE
Authority cited: Sections 12403.7(a)(5)(B) and 12457, Penal Code. Reference: Sections 12403.7, 12450, 12451, and 12457.1, Penal Code.
HISTORY
1. Amendment filed 7-5-79; effective thirtieth day thereafter (Register 79, No. 27).
2. Amendment of NOTE filed 7-21-82; effective thirtieth day thereafter (Register 82, No. 30).
3. Change without regulatory effect repealing section filed 6-28-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 26).
Note • History
NOTE
Authority cited: Sections 12403.7(a)(5)(B) and 12457, Penal Code. Reference: Sections 12403.7, 12450, 12451, and 12457.1, Penal Code.
HISTORY
1. Amendment filed 7-5-79; effective thirtieth day thereafter (Register 79, No. 27).
2. Amendment filed 7-21-82; effective thirtieth day thereafter (Register 82, No. 30).
3. Change without regulatory effect repealing section filed 6-28-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 26).
§964.5. Labeling Requirements.
Note • History
NOTE
Authority cited: Sections 12403.7(a)(5)(B), 12403.7(a)(5)(C) and 12457, Penal Code. Reference: Sections 12403.7, 12421, 12450, 12451 and 12457.1, Penal Code.
HISTORY
1. Amendment filed 7-5-79; effective thirtieth day thereafter (Register 79, No. 27).
2. Amendment of subsections (a)(5) and (b)(2) filed 7-21-82; effective thirtieth day thereafter (Register 82, No. 30).
3. Amendment of subsection (a)(6) filed 12-21-83; designated effective 1-1-84 pursuant to Government Code Section 11346.2(a) (Register 83, No. 52).
4. Change without regulatory effect repealing section filed 6-28-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 26).
§964.6. Application for Certification.
Note • History
NOTE
Authority cited: Sections 12403.7(a)(5)(B) and 12457, Penal Code. Reference: Sections 12403.7, 12450, 12451, and 12457.1, Penal Code.
HISTORY
1. Amendment filed 7-5-79; effective thirtieth day thereafter (Register 79, No. 27).
2. Amendment filed 7-19-82; effective thirtieth day thereafter (Register 82, No. 30).
3. Change without regulatory effect repealing section filed 6-28-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 26).
§964.7. Pre-Certification Possession.
History
HISTORY
1. Change without regulatory effect repealing section filed 6-28-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 26).
Note • History
NOTE
Authority cited: Sections 12403.7(a)(5)(B) and 12457, Penal Code. Reference: Sections 12403.7, 12450, 12451, 12455 and 12457.1, Penal Code.
HISTORY
1. Amendment filed 7-5-79; effective thirtieth day thereafter (Register 79, No. 27).
2. Amendment of NOTE filed 7-21-82; effective thirtieth day thereafter (Register 82, No. 30).
3. Change without regulatory effect repealing section filed 6-28-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 26).
Article 5. Approval of Tear Gas Training Institutions
Note • History
NOTE
Authority cited: Sections 12403.7(b) and 12457, Penal Code. Reference: Section 12403.7, Penal Code.
HISTORY
1. New Article 5 (Sections 965 through 965.7) filed 7-5-79; effective thirtieth day thereafter (Register 79, No. 27). For prior history see Register 77, No. 50.
2. Amendment filed 2-24-82; designated effective 4-1-82 (Register 82, No. 9).
3. Change without regulatory effect repealing article 5 (sections 965-965.7) filed 6-28-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 26).
Note • History
NOTE
Authority cited: Sections 12403.7(b) and 12457, Penal Code. Reference: Section 12403.7, Penal Code.
HISTORY
1. Change without regulatory effect repealing section filed 6-28-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 26).
§965.2. Eligibility for Approval.
Note • History
NOTE
Authority cited: Section 12403.7 and 12457, Penal Code. Reference: Section 12403.7, Penal Code.
HISTORY
1. Amendment of subsection (b) filed 2-24-82; designated effective 4-1-82 (Register 82, No. 9).
2. Change without regulatory effect repealing section filed 6-28-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 26).
§965.3. Standards for Approval.
Note • History
NOTE
Authority cited: Sections 12403.7(c) and 12457, Penal Code. Reference: Section 12403.7, Penal Code.
HISTORY
1. Amendment filed 2-24-82; designated effective 4-1-82 (Register 82, No. 9).
2. Change without regulatory effect repealing section filed 6-28-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 26).
§965.4. Application for Approval.
Note • History
NOTE
Authority cited: Sections 12403.7(b) and 12457, Penal Code. Reference: Sections 12403.7, Penal Code.
HISTORY
1. Change without regulatory effect repealing section filed 6-28-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 26).
§965.5. Rescission of Approval.
Note • History
NOTE
Authority cited: Sections 12403.7(b) and 12457, Penal Code. Reference: Section 12403.7, Penal Code.
HISTORY
1. New subsections (12) and (13) fled 2-24-82; designated effective 4-1-82 (Register 82, No. 9).
2. Change without regulatory effect repealing section filed 6-28-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 26).
§965.6. Training Course Standards.
Note • History
NOTE
Authority cited: Sections 12403.7(b) and 12457, Penal Code. Reference: Section 12403.7, Penal Code.
HISTORY
1. Change without regulatory effect repealing section filed 6-28-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 26).
Note • History
NOTE
Authority cited: Sections 12403.7(b) and 12457, Penal Code. Reference: Section 12403.7, Penal Code.
HISTORY
1. Amendment filed 2-24-82; designated effective 4-1-82 (Register 82, No. 9).
2. Change without regulatory effect repealing section filed 6-28-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 26).
Article 6. Violation of Regulations
§966. Violation of Regulations.
Note • History
NOTE
Authority cited: Sections 12403.7(a)(4)(ii) and 12457, Penal Code. Reference: Sections 12403.7, 12426, 12435, 12455, and 12456.
HISTORY
1. New Article 6 (Sections 966 through 966.2) filed 7-5-79; effective thirtieth day thereafter (Register 79, No. 27).
2. Change without regulatory effect repealing article 6 (sections 966-966.2) and section filed 6-28-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 26).
§966.1. Training Use of Tear Gas Weapons.
Note • History
NOTE
Authority cited: Sections 12403.7(a)(4)(ii) and 12457, Penal Code. Reference: Sections 12403.7 and 12420.
HISTORY
1. Change without regulatory effect repealing section filed 6-28-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 26).
§966.2. Disposal of Self-Defense Tear Gas Weapons.
Note • History
NOTE
Authority cited: Sections 12403.7(b) and 12457, Penal Code. Reference: Section 12403.7, Penal Code.
HISTORY
1. Change without regulatory effect repealing section filed 6-28-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 26).
Chapter 12.3. Department of Justice Regulations for the Basic Firearms Safety Certificate Program
Article 1. General
Note • History
NOTE
Authority cited: Sections 12800-12809, Penal Code. Reference: Sections 12800-12809, Penal Code.
HISTORY
1. New chapter 12.3 (articles 1-6), article 1 (sections 967-967.05) and section filed 3-30-99; operative 4-29-99 (Register 99, No. 14).
2. Change without regulatory effect repealing chapter 12.3 (articles 1-6, sections 967-967.85), article 1 (sections 967-967.05) and section filed 6-28-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 26).
Note • History
NOTE
Authority cited: Sections 12071, 12072, 12078, 12081, 12084 and 12800-12809, Penal Code. Reference: Sections 12071, 12072, 12078, 12081, 12084 and 12800-12809, Penal Code.
HISTORY
1. New section filed 3-30-99; operative 4-29-99 (Register 99, No. 14).
2. Change without regulatory effect repealing section filed 6-28-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 26).
Article 2. Definitions
§967.10. Definition of Key Terms.
Note • History
NOTE
Authority cited: Sections 12071, 12072, 12078, 12081 and 12800-12809, Penal Code; Reference: Sections 12001, 12021, 12021.1, 12071, 12072, 12078, 12081 and 12800-12809, Penal Code; Sections 8100 and 8103, Welfare and Institutions Code; and Title 27, Part 178.32 of the Code of Federal Regulations.
HISTORY
1. New article 2 (section 967.10) and section filed 3-30-99; operative 4-29-99 (Register 99, No. 14).
2. Change without regulatory effect repealing article 2 (section 967.10) and section filed 6-28-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 26).
Article 3. Requirements, Qualifications, and Revocation and Denial
§967.15. BFSC Applicant - Lost, Stolen, Destroyed, and Replacement BFSC.
Note • History
NOTE
Authority cited: Sections 12071(c)(1), 12072(a)(3)(A), 12078(c)(2) and 12800-12809, Penal Code. Reference: Sections 12071(c)(1), 12072(a)(3)(A), 12078(c)(2) and 12800-12809, Penal Code.
HISTORY
1. New article 3 (sections 967.15-967.40) and section filed 3-30-99; operative 4-29-99 (Register 99, No. 14).
2. Change without regulatory effect repealing article 3 (sections 967.15-967.40) and section filed 6-28-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 26).
Note • History
NOTE
Authority cited: Sections 12071(b)(8), 12072(c)(5), 12076(c)(3), 12081 and 12800-12809, Penal Code; and Title 18, Section 701, Federal Criminal Code. Reference: Sections 12071(b)(8), 12072(c)(5), 12081 and 12800-12809, Penal Code; and Title 18, Section 701, Federal Criminal Code.
HISTORY
1. New section filed 3-30-99; operative 4-29-99 (Register 99, No. 14).
2. Change without regulatory effect repealing section filed 6-28-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 26).
§967.25. DOJ Certified Instructor.
Note • History
NOTE
Authority cited: Sections 12803, 12805 and 12808, Penal Code. Reference: Sections 12021, 12021.1, 12803, 12805 and 12808, Penal Code; Sections 8100 and 8103, Welfare and Institutions Code; and Title 27, Part 178.32 of the Code of Federal Regulations.
HISTORY
1. New section filed 3-30-99; operative 4-29-99 (Register 99, No. 14).
2. Change without regulatory effect repealing section filed 6-28-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 26).
Note • History
NOTE
Authority cited: Sections 12071 and 12800-12809, Penal Code. Reference: Sections 12071 and 12800-12809, Penal Code.
HISTORY
1. New section filed 3-30-99; operative 4-29-99 (Register 99, No. 14).
2. Change without regulatory effect repealing section filed 6-28-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 26).
§967.35. DOJ BFSC Employee Proxy.
Note • History
NOTE
Authority cited: Sections 12071(c)(1) and 12800-12809, Penal Code. Reference: Sections 12071 and 12800-12809, Penal Code.
HISTORY
1. New section filed 3-30-99; operative 4-29-99 (Register 99, No. 14).
2. Change without regulatory effect repealing section filed 6-28-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 26).
§967.40. Revocation and Denial of Certification.
Note • History
NOTE
Authority cited: Sections 12803(c) and 12805(c), Penal Code. Reference: Sections 12000 and 12805(c), Penal Code; and Chapter 5 (commencing with section 11500) of Part 1 of Division 3 of Title 2 Government Code.
HISTORY
1. New section filed 3-30-99; operative 4-29-99 (Register 99, No. 14).
2. Change without regulatory effect repealing section filed 6-28-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 26).
Article 4. BFSC Test/Course Requirements
§967.45. DOJ Objective Test/DOJ Video Course.
Note • History
NOTE
Authority cited: Sections 12072(e), 12803, 12805 and 12809, Penal Code. Reference: Sections 12803(a), 12805 and 12808, Penal Code.
HISTORY
1. New article 4 (sections 967.45-967.50) and section filed 3-30-99; operative 4-29-99 (Register 99, No. 14).
2. Change without regulatory effect repealing article 4 (sections 967.45-967.50) and section filed 6-28-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 26).
§967.50. DOJ Certified Course.
Note • History
NOTE
Authority cited: Sections 12803, 12805 and 12808, Penal Code. Reference: Sections 12803, 12805 and 12808, Penal Code.
HISTORY
1. New section filed 3-30-99; operative 4-29-99 (Register 99, No. 14).
2. Change without regulatory effect repealing section filed 6-28-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 26).
Article 5. Security and Record Keeping Requirements
Note • History
NOTE
Authority cited: Sections 12072(e), 12803 and 12809, Penal Code. Reference: Sections 12072(e), 12803 and 12809, Penal Code.
HISTORY
1. New article 5 (sections 967.55-967.60) and section filed 3-30-99; operative 4-29-99 (Register 99, No. 14).
2. Change without regulatory effect repealing article 5 (sections 967.55-967.60) and section filed 6-28-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 26).
Note • History
NOTE
Authority cited: Sections 12071(b)(8), 12071(f), 12802(a), 12804 and 12802(a), Penal Code. Reference: Sections 12071(b)(8), 12071(f), 12802(a), 12804 and 12802(a), Penal Code.
HISTORY
1. New section filed 3-30-99; operative 4-29-99 (Register 99, No. 14).
2. Change without regulatory effect repealing section filed 6-28-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 26).
Article 6. Fees, Refunds, Replacements, and Processing Time
Note • History
NOTE
Authority cited: Sections 12806 and 12809, Penal Code. Reference: Sections 12806 and 12809, Penal Code.
HISTORY
1. New article 6 (sections 967.65-967.85) and section filed 3-30-99; operative 4-29-99 (Register 99, No. 14).
2. Change without regulatory effect repealing article 6 (sections 967.65-967.85) and section filed 6-28-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 26).
Note • History
NOTE
Authority cited: Sections 12800-12809, Penal Code. Reference: Sections 12800-12809, Penal Code.
HISTORY
1. New section filed 3-30-99; operative 4-29-99 (Register 99, No. 14).
2. Change without regulatory effect repealing section filed 6-28-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 26).
Note • History
NOTE
Authority cited: Section 12803, Penal Code. Reference: Sections 12800-12809, Penal Code.
HISTORY
1. New section filed 3-30-99; operative 4-29-99 (Register 99, No. 14).
2. Change without regulatory effect repealing section filed 6-28-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 26).
§967.80. Application Processing Time.
Note • History
NOTE
Authority cited: Sections 15376 and 15378, Government Code. Reference: Sections 15376 and 15378, Government Code.
HISTORY
1. New section filed 3-30-99; operative 4-29-99 (Register 99, No. 14).
2. Change without regulatory effect repealing section filed 6-28-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 26).
§967.85. DOJ Certified Course Processing Time.
Note • History
NOTE
Authority cited: Sections 15376 and 15378, Government Code. Reference: Sections 15376 and 15378, Government Code.
HISTORY
1. New section filed 3-30-99; operative 4-29-99 (Register 99, No. 14).
2. Change without regulatory effect repealing section filed 6-28-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 26).
Chapter 12.4. Department of Justice Regulations for Laboratory Certification and Handgun Testing
Article 1. General: Title; Scope; Extensions for Compliance
Note • History
NOTE
Authority cited: Sections 12129-12131.5, Penal Code. Reference: Sections 12126-12133, Penal Code.
HISTORY
1. New chapter 12.4 (articles 1-10, sections 968.10-968.95), article 1 (sections 968.10-968.12) and section filed 6-29-2000 as an emergency; operative 6-29-2000 (Register 2000, No. 26). A Certificate of Compliance must be transmitted to OAL by 10-27-2000 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 6-29-2000 order, including amendment of section, transmitted to OAL 10-27-2000 and filed 12-12-2000 (Register 2000, No. 50).
3. Change without regulatory effect renumbering division 1, chapter 12.4 (articles 1-10, sections 968.10-968.99), to division 5, chapter 5 (articles 1-10, sections 4046-4074) and renumbering section 968.10 to section 4046 filed 6-28-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 26).
Note • History
NOTE
Authority cited: Sections 12125-12133, Penal Code. Reference: Sections 12126-12129, Penal Code.
HISTORY
1. New section filed 6-29-2000 as an emergency; operative 6-29-2000 (Register 2000, No. 26). A Certificate of Compliance must be transmitted to OAL by 10-27-2000 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 6-29-2000 order transmitted to OAL 10-27-2000 and filed 12-12-2000 (Register 2000, No. 50).
3. Change without regulatory effect renumbering section 968.11 to section 4047 filed 6-28-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 26).
§968.12. Extensions for Compliance.
Note • History
NOTE
Authority cited: Sections 12129-12131.5, Penal Code. Reference: Sections 12129-12131.5, Penal Code.
HISTORY
1. New section filed 6-29-2000 as an emergency; operative 6-29-2000 (Register 2000, No. 26). A Certificate of Compliance must be transmitted to OAL by 10-27-2000 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 6-29-2000 order transmitted to OAL 10-27-2000 and filed 12-12-2000 (Register 2000, No. 50).
3. Change without regulatory effect renumbering section 968.12 to section 4048 filed 6-28-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 26).
Article 2. Definition of Key Terms
§968.20. Definition of Key Terms.
Note • History
NOTE
Authority cited: Sections 12126-12131.5, Penal Code. Reference: Sections 1001.6, 12021, 12071 and 12125-12133, Penal Code; Section 102(a), Corporations Code; and Chapter 44 §§ 920 et seq., Title 18 of the United States Code.
HISTORY
1. New article 2 (section 968.20) and section filed 6-29-2000 as an emergency; operative 6-29-2000 (Register 2000, No. 26). A Certificate of Compliance must be transmitted to OAL by 10-27-2000 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 6-29-2000 order, including amendment of section, transmitted to OAL 10-27-2000 and filed 12-12-2000 (Register 2000, No. 50).
3. New subsections (s)-(v) filed 1-19-2005; operative 1-19-2005 pursuant to Government Code section 11343.4 (Register 2005, No. 3).
4. Change without regulatory effect renumbering section 968.20 to section 4049 filed 6-28-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 26).
Article 3. DOJ-Certification: Who Must Be DOJ-Certified; Application for DOJ-Certification; Pre-DOJ-Certification Requirements; Grounds for Denial; DOJ-Certification Period; Processing Times; Appeal Process
§968.30. Who Must Be DOJ-Certified.
Note • History
NOTE
Authority cited: Section 12130, Penal Code. Reference: Sections 12126-12128, 12130 and 12131.5, Penal Code.
HISTORY
1. New article 3 (sections 968.30-968.36) and section filed 6-29-2000 as an emergency; operative 6-29-2000 (Register 2000, No. 26). A Certificate of Compliance must be transmitted to OAL by 10-27-2000 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 6-29-2000 order, including amendment of section, transmitted to OAL 10-27-2000 and filed 12-12-2000 (Register 2000, No. 50).
3. Change without regulatory effect renumbering section 968.30 to section 4050 filed 6-28-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 26).
§968.31. Application for DOJ-Certification.
Note • History
NOTE
Authority cited: Section 12130, Penal Code. Reference: Sections 12001.6, 12021, 12026.1, 12071 and 12126-12131.5, Penal Code.
HISTORY
1. New section filed 6-29-2000 as an emergency; operative 6-29-2000 (Register 2000, No. 26). A Certificate of Compliance must be transmitted to OAL by 10-27-2000 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 6-29-2000 order, including amendment of section, transmitted to OAL 10-27-2000 and filed 12-12-2000 (Register 2000, No. 50).
3. Change without regulatory effect renumbering section 968.31 to section 4051 filed 6-28-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 26).
§968.32. Pre-DOJ-Certification Requirements.
Note • History
NOTE
Authority cited: Sections 12127, 12128, 12130 and 12131.5, Penal Code. Reference: Sections 12071, 12126 and 12130, Penal Code.
HISTORY
1. New section filed 6-29-2000 as an emergency; operative 6-29-2000 (Register 2000, No. 26). A Certificate of Compliance must be transmitted to OAL by 10-27-2000 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 6-29-2000 order transmitted to OAL 10-27-2000 and filed 12-12-2000 (Register 2000, No. 50).
3. Change without regulatory effect renumbering section 968.32 to section 4052 filed 6-28-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 26).
Note • History
NOTE
Authority cited: Section 12130, Penal Code. Reference: Sections 12026.1, 12071, 12126-12128 and 12130, Penal Code; and Chapter 5 (commencing with Section 11500), Part 1, Division 3, Title 2 of the Government Code.
HISTORY
1. New section filed 6-29-2000 as an emergency; operative 6-29-2000 (Register 2000, No. 26). A Certificate of Compliance must be transmitted to OAL by 10-27-2000 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 6-29-2000 order, including amendment of section, transmitted to OAL 10-27-2000 and filed 12-12-2000 (Register 2000, No. 50).
3. Change without regulatory effect renumbering section 968.33 to section 4053 filed 6-28-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 26).
§968.34. DOJ-Certification Period.
Note • History
NOTE
Authority cited: Section 12130, Penal Code. Reference: Sections 12125-12128 and 12130, Penal Code.
HISTORY
1. New section filed 6-29-2000 as an emergency; operative 6-29-2000 (Register 2000, No. 26). A Certificate of Compliance must be transmitted to OAL by 10-27-2000 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 6-29-2000 order transmitted to OAL 10-27-2000 and filed 12-12-2000 (Register 2000, No. 50).
3. Change without regulatory effect renumbering section 968.34 to section 4054 filed 6-28-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 26).
Note • History
NOTE
Authority cited: Sections 15374-15378, Government Code. Reference: Sections 15374-15378, Government Code; and Section 12130, Penal Code.
HISTORY
1. New section filed 6-29-2000 as an emergency; operative 6-29-2000 (Register 2000, No. 26). A Certificate of Compliance must be transmitted to OAL by 10-27-2000 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 6-29-2000 order, including amendment of section, transmitted to OAL 10-27-2000 and filed 12-12-2000 (Register 2000, No. 50).
3. Repealer filed 1-19-2005; operative 1-19-2005 pursuant to Government Code section 11343.4 (Register 2005, No. 3).
Note • History
NOTE
Authority cited: Sections 15374-15378, Government Code. Reference: Sections 15374-15378, Government Code; and Section 12130, Penal Code.
HISTORY
1. New section filed 6-29-2000 as an emergency; operative 6-29-2000 (Register 2000, No. 26). A Certificate of Compliance must be transmitted to OAL by 10-27-2000 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 6-29-2000 order, including amendment of section, transmitted to OAL 10-27-2000 and filed 12-12-2000 (Register 2000, No. 50).
3. Change without regulatory effect renumbering section 968.36 to section 4055 filed 6-28-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 26).
Article 4. Operational Requirements: Absence of Conflict of Interest; Security and Safety Requirements; Licensing/Minimum Standards Compliance; Which Handguns Must Be Tested, Who May Submit Handguns, Submission Requirements; Testing Procedures; Test Reporting; Required Records, Retention Periods, Reporting Changes; Off-Site Locations; Inspections
§968.40. Absence of Conflict of Interest.
Note • History
NOTE
Authority cited: Section 12130, Penal Code. Reference: 12125, 12127 and 12128, Penal Code.
HISTORY
1. New article 4 (sections 968.40-968.48) and section filed 6-29-2000 as an emergency; operative 6-29-2000 (Register 2000, No. 26). A Certificate of Compliance must be transmitted to OAL by 10-27-2000 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 6-29-2000 order, including amendment of section, transmitted to OAL 10-27-2000 and filed 12-12-2000 (Register 2000, No. 50).
3. Change without regulatory effect renumbering section 968.40 to section 4056 filed 6-28-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 26).
Note • History
NOTE
Authority cited: Section 12130, Penal Code. Reference: Sections 12026.1 and 12130, Penal Code.
HISTORY
1. New section filed 6-29-2000 as an emergency; operative 6-29-2000 (Register 2000, No. 26). A Certificate of Compliance must be transmitted to OAL by 10-27-2000 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 6-29-2000 order transmitted to OAL 10-27-2000 and filed 12-12-2000 (Register 2000, No. 50).
3. Change without regulatory effect renumbering section 968.41 to section 4057 filed 6-28-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 26).
§968.42. Licensing/Minimum Standards Compliance.
Note • History
NOTE
Authority cited: Section 12130, Penal Code. Reference: Section 12001.6, 12021, 12071, 12128 and 12130, Penal Code.
HISTORY
1. New section filed 6-29-2000 as an emergency; operative 6-29-2000 (Register 2000, No. 26). A Certificate of Compliance must be transmitted to OAL by 10-27-2000 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 6-29-2000 order transmitted to OAL 10-27-2000 and filed 12-12-2000 (Register 2000, No. 50).
3. Change without regulatory effect renumbering section 968.42 to section 4058 filed 6-28-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 26).
§968.43. Which Handguns Must Be Tested, Who May Submit Handguns, Submission Requirements.
Note • History
NOTE
Authority cited: Sections 12127, 12128 and 12130, Penal Code. Reference: Sections 12126-12131.5, Penal Code.
HISTORY
1. New section filed 6-29-2000 as an emergency; operative 6-29-2000 (Register 2000, No. 26). A Certificate of Compliance must be transmitted to OAL by 10-27-2000 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 6-29-2000 order transmitted to OAL 10-27-2000 and filed 12-12-2000 (Register 2000, No. 50).
3. Change without regulatory effect renumbering section 968.43 to section 4059 filed 6-28-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 26).
Note • History
NOTE
Authority cited: Sections 12126, 12127, 12128 and 12130, Penal Code. Reference: Sections 12125-12131.5, Penal Code.
HISTORY
1. New section filed 6-29-2000 as an emergency; operative 6-29-2000 (Register 2000, No. 26). A Certificate of Compliance must be transmitted to OAL by 10-27-2000 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 6-29-2000 order, including amendment of section, transmitted to OAL 10-27-2000 and filed 12-12-2000 (Register 2000, No. 50).
3. New subsection (c)(5), amendment of subsection (d)(4) and new subsections (d)(6) and (f) filed 1-19-2005; operative 1-19-2005 pursuant to Government Code section 11343.4 (Register 2005, No. 3).
4. New subsections (c)(1)-(d)(2) and (i), subsection relettering and amendment of newly designated subsection (f)(2) filed 5-22-2006; operative 5-22-2006 pursuant to Government Code section 11343.4 (Register 2006, No. 21).
5. Change without regulatory effect renumbering section 968.44 to section 4060 filed 6-28-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 26).
Note • History
NOTE
Authority cited: Section 12130, Penal Code. Reference: Sections 12127-12131.5, Penal Code.
HISTORY
1. New section filed 6-29-2000 as an emergency; operative 6-29-2000 (Register 2000, No. 26). A Certificate of Compliance must be transmitted to OAL by 10-27-2000 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 6-29-2000 order, including amendment of section, transmitted to OAL 10-27-2000 and filed 12-12-2000 (Register 2000, No. 50).
3. Change without regulatory effect renumbering section 968.45 to section 4061 filed 6-28-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 26).
§968.46. Required Records, Retention Periods, Reporting Changes.
Note • History
NOTE
Authority cited: Sections 12126, 12129 and 12130, Penal Code. Reference: Sections 12001.6, 12021 and 12125-12131.5, Penal Code.
HISTORY
1. New section filed 6-29-2000 as an emergency; operative 6-29-2000 (Register 2000, No. 26). A Certificate of Compliance must be transmitted to OAL by 10-27-2000 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 6-29-2000 order, including amendment of section, transmitted to OAL 10-27-2000 and filed 12-12-2000 (Register 2000, No. 50).
3. Amendment of subsection (a)(5), new subsection (a)(9) and subsection renumbering filed 5-22-2006; operative 5-22-2006 pursuant to Government Code section 11343.4 (Register 2006, No. 21).
4. Change without regulatory effect renumbering section 968.46 to section 4062 filed 6-28-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 26).
Note • History
NOTE
Authority cited: Section 12130, Penal Code. Reference: Sections 12127, 12128 and 12130, Penal Code.
HISTORY
1. New section filed 6-29-2000 as an emergency; operative 6-29-2000 (Register 2000, No. 26). A Certificate of Compliance must be transmitted to OAL by 10-27-2000 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 6-29-2000 order transmitted to OAL 10-27-2000 and filed 12-12-2000 (Register 2000, No. 50).
3. Change without regulatory effect renumbering section 968.47 to section 4063 filed 6-28-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 26).
Note • History
NOTE
Authority cited: Section 12130, Penal Code. Reference: Sections 12126, 12127, 12128 and 12130, Penal Code.
HISTORY
1. New section filed 6-29-2000 as an emergency; operative 6-29-2000 (Register 2000, No. 26). A Certificate of Compliance must be transmitted to OAL by 10-27-2000 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 6-29-2000 order, including amendment of section, transmitted to OAL 10-27-2000 and filed 12-12-2000 (Register 2000, No. 50).
3. Change without regulatory effect renumbering section 968.48 to section 4064 filed 6-28-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 26).
Article 5. Application Fees
Note • History
NOTE
Authority cited: Section 12130, Penal Code. Reference: Sections 12127, 12128 and 12130, Penal Code.
HISTORY
1. New article 5 (section 968.50) and section filed 6-29-2000 as an emergency; operative 6-29-2000 (Register 2000, No. 26). A Certificate of Compliance must be transmitted to OAL by 10-27-2000 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 6-29-2000 order, including amendment of section, transmitted to OAL 10-27-2000 and filed 12-12-2000 (Register 2000, No. 50).
3. Change without regulatory effect renumbering section 968.50 to section 4065 filed 6-28-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 26).
Article 6. DOJ-Certification Revocation
§968.60. DOJ-Certification Revocation.
Note • History
NOTE
Authority cited: Section 12130, Penal Code. Reference: Sections 12127, 12128 and 12130, Penal Code; and Chapter 5 (commencing with section 11500), Part 1, Division 3, Title 2 of the Government Code.
HISTORY
1. New article 6 (section 968.60) and section filed 6-29-2000 as an emergency; operative 6-29-2000 (Register 2000, No. 26). A Certificate of Compliance must be transmitted to OAL by 10-27-2000 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 6-29-2000 order, including amendment of section, transmitted to OAL 10-27-2000 and filed 12-12-2000 (Register 2000, No. 50).
3. New subsection (a)(5) filed 1-19-2005; operative 1-19-2005 pursuant to Government Code section 11343.4 (Register 2005, No. 3).
4. Change without regulatory effect renumbering section 968.60 to section 4066 filed 6-28-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 26).
Article 7. DOJ-Certification Renewal: DOJ-Certification Renewal Procedures; DOJ-Certification After Expiration
§968.70. DOJ-Certification Renewal Procedures.
Note • History
NOTE
Authority cited: Section 12130, Penal Code. Reference: Sections 12001.6, 12021, 12026.1, 12071 and 12126-12131.5, Penal Code.
HISTORY
1. New article 7 (sections 968.70-968.71) and section filed 6-29-2000 as an emergency; operative 6-29-2000 (Register 2000, No. 26). A Certificate of Compliance must be transmitted to OAL by 10-27-2000 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 6-29-2000 order, including amendment of section, transmitted to OAL 10-27-2000 and filed 12-12-2000 (Register 2000, No. 50).
3. Change without regulatory effect renumbering section 968.70 to section 4067 filed 6-28-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 26).
§968.71. DOJ-Certification After Expiration.
Note • History
NOTE
Authority cited: Section 12130, Penal Code. Reference: Sections 12125, 12127, 12128 and 12130, Penal Code.
HISTORY
1. New section filed 6-29-2000 as an emergency; operative 6-29-2000 (Register 2000, No. 26). A Certificate of Compliance must be transmitted to OAL by 10-27-2000 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 6-29-2000 order transmitted to OAL 10-27-2000 and filed 12-12-2000 (Register 2000, No. 50).
3. Change without regulatory effect renumbering section 968.71 to section 4068 filed 6-28-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 26).
Article 8. Service of Notices, Orders, and Communications
§968.80. Service of Notices, Orders, and Communications.
Note • History
NOTE
Authority cited: Sections 12129-12131.5, Penal Code. Reference: Sections 12126-12133, Penal Code.
HISTORY
1. New article 8 (section 968.80) and section filed 6-29-2000 as an emergency; operative 6-29-2000 (Register 2000, No. 26). A Certificate of Compliance must be transmitted to OAL by 10-27-2000 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 6-29-2000 order transmitted to OAL 10-27-2000 and filed 12-12-2000 (Register 2000, No. 50).
3. Change without regulatory effect renumbering section 968.80 to section 4069 filed 6-28-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 26).
Article 9. Roster of Certified Handguns; Roster of Certified Handgun Listing Renewal Procedures
§968.90. Roster of Certified Handguns.
Note • History
NOTE
Authority cited: Sections 12131 and 12131.5, Penal Code. Reference: Sections 12125-12133, Penal Code.
HISTORY
1. New article 9 (sections 968.90-968.91) and section filed 6-29-2000 as an emergency; operative 6-29-2000 (Register 2000, No. 26). A Certificate of Compliance must be transmitted to OAL by 10-27-2000 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 6-29-2000 order transmitted to OAL 10-27-2000 and filed 12-12-2000 (Register 2000, No. 50).
3. Change without regulatory effect renumbering section 968.90 to section 4070 filed 6-28-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 26).
§968.91. Roster of Certified Handgun Listing Renewal Procedures.
Note • History
NOTE
Authority cited: Sections 12131 and 12131.5, Penal Code. Reference: Sections 12125-12133, Penal Code.
HISTORY
1. New section filed 6-29-2000 as an emergency; operative 6-29-2000 (Register 2000, No. 26). A Certificate of Compliance must be transmitted to OAL by 10-27-2000 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 6-29-2000 order, including amendment of section, transmitted to OAL 10-27-2000 and filed 12-12-2000 (Register 2000, No. 50).
3. Change without regulatory effect renumbering section 968.91 to section 4071 filed 6-28-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 26).
Article 10. Fees for the Roster of Certified Handguns
§968.95. Fees for the Roster of Certified Handguns.
Note • History
NOTE
Authority cited: Sections 12131 and 12131.5, Penal Code. Reference: Sections 12126 and 12129-12131.5, Penal Code.
HISTORY
1. New article 10 (section 968.95) and section filed 6-29-2000 as an emergency; operative 6-29-2000 (Register 2000, No. 26). A Certificate of Compliance must be transmitted to OAL by 10-27-2000 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 6-29-2000 order transmitted to OAL 10-27-2000 and filed 12-12-2000 (Register 2000, No. 50).
3. Change without regulatory effect renumbering section 968.95 to section 4072 filed 6-28-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 26).
§968.97. Annual Retest of up to 5 Percent of Certified Handgun Models.
Note • History
NOTE
Authority cited: Section 12131, Penal Code. Reference: Section 12131, Penal Code.
HISTORY
1. New section filed 1-19-2005; operative 1-19-2005 pursuant to Government Code section 11343.4 (Register 2005, No. 3).
2. Change without regulatory effect renumbering section 968.97 to section 4073 filed 6-28-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 26).
§968.99. Reinstatement of Handguns Removed from the Roster of Certified Handguns.
Note • History
NOTE
Authority cited: Section 12131, Penal Code. Reference: Section 12131, Penal Code.
HISTORY
1. New section filed 1-19-2005; operative 1-19-2005 pursuant to Government Code section 11343.4 (Register 2005, No. 3).
2. Change without regulatory effect renumbering section 968.99 to section 4074 filed 6-28-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 26).
Chapter 12.5. Dangerous Weapons
Article 1. General Provisions
Note • History
NOTE
Authority cited: Sections 12095, 12230, 12250, 12350 and 12306, Penal Code. Reference: Sections 12095, 12230, 12250 and 12305, Penal Code.
HISTORY
1. New section filed 4-29-88; operative 5-29-88 (Register 88, No. 19).
2. Amendment of Note filed 3-30-2005; operative 3-30-2005 pursuant to Government Code section 11343.4 (Register 2005, No. 13).
3. Change without regulatory effect renumbering division 1, chapter 12.5 (articles 1-7, sections 970-976.4) to division 5, chapter 7 (articles 1-7, sections 4125-4153) and renumbering section 970 to section 4125 filed 6-28-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 26).
Note • History
NOTE
Authority cited: Sections 12095, 12230, 12250, 12305 and 12306, Penal Code. Reference: Sections 12095, 12230, 12250 and 12305, Penal Code.
HISTORY
1. New section filed 4-29-88; operative 5-29-88 (Register 88, No. 19).
2. Amendment of Note filed 3-30-2005; operative 3-30-2005 pursuant to Government Code section 11343.4 (Register 2005, No. 13).
3. Change without regulatory effect renumbering section 970.1 to section 4126 filed 6-28-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 26).
Article 2. Definitions
§971. Definition of Key Terms.
Note • History
NOTE
Authority cited: Sections 12095, 12200, 12230, 12250, 12286 and 12305, Penal Code. Reference: Sections 12020, 12095, 12096, 12200, 12230, 12231, 12250, 12286 and 12305, Penal Code.
HISTORY
1. New section filed 4-29-88; operative 5-29-88 (Register 88, No. 19).
2. Amendment filed 12-29-89; operative 1-1-90 (Register 90, No. 2).
3. Amendment of subsections (b), (d)-(f) and (j) and new subsections (q)-(u) filed 3-30-2005; operative 3-30-2005 pursuant to Government Code section 11343.4 (Register 2005, No. 13).
4. Change without regulatory effect renumbering section 971 to section 4127 filed 6-28-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 26).
Article 3. Licenses and Permits
Note • History
NOTE
Authority cited: Sections 12095, 12230, 12250, 12286 and 12305, Penal Code. Reference: Sections 12095, 12230, 12250, 12286 and 12305, Penal Code.
HISTORY
1. New section filed 4-29-88; operative 5-29-88 (Register 88, No. 19).
2. Amendment filed 12-29-89; operative 1-1-90 (Register 90, No. 2).
3. Amendment of subsections (c)(1)-(3) and (c)(6) and new subsections (c)(7)-(8) filed 3-30-2005; operative 3-30-2005 pursuant to Government Code section 11343.4 (Register 2005, No. 13).
4. Change without regulatory effect renumbering section 972 to section 4128 filed 6-28-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 26).
§972.1. Limited Term Permits/Licenses; Conditions.
Note • History
NOTE
Authority cited: Sections 12095, 12230, 12250 and 12305, Penal Code. Reference: Sections 12095, 12230, 12231, 12250 and 12305, Penal Code.
HISTORY
1. New section filed 4-29-88; operative 5-29-88 (Register 88, No. 19).
2. Amendment of subsection (a) and amendment of Note filed 3-30-2005; operative 3-30-2005 pursuant to Government Code section 11343.4 (Register 2005, No. 13).
3. Change without regulatory effect renumbering section 972.1 to section 4129 filed 6-28-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 26).
Note • History
NOTE
Authority cited: Sections 12095, 12097, 12230, 12250, 12286 and 12305, Penal Code. Reference: Sections 12095, 12097, 12230, 12250, 12286 and 12305, Penal Code.
HISTORY
1. New section filed 4-29-88; operative 5-29-88 (Register 88, No. 19).
2. Amendment filed 12-29-89; operative 1-1-90 (Register 90, No. 2).
3. Repealer and new section filed 3-30-2005; operative 3-30-2005 pursuant to Government Code section 11343.4 (Register 2005, No. 13).
4. Change without regulatory effect renumbering section 972.2 to section 4130 filed 6-28-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 26).
§972.3. Disposition of Trade-In Machine Guns.
Note • History
NOTE
Authority cited: Sections 12250 and 12251, Penal Code. Reference: Sections 12250 and 12251, Penal Code.
HISTORY
1. New section filed 4-29-88; operative 5-29-88 (Register 88, No. 19).
2. Change without regulatory effect renumbering section 972.3 to section 4131 filed 6-28-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 26).
Article 3.5. Documentation of Necessity
Note • History
NOTE
Authority cited: Sections 12095, 12230, 12250, 12286, 12290 and 12305, Penal Code. Reference: Sections 12095, 12230, 12250, 12286, 12290 and 12305, Penal Code.
HISTORY
1. New section filed 12-29-89; operative 1-1-90 (Register 90, No. 2).
2. Editorial correction of article heading (Register 95, No. 14).
3. Amendment of section heading and subsection (a)(4) filed 3-30-2005; operative 3-30-2005 pursuant to Government Code section 11343.4 (Register 2005, No. 13).
4. Change without regulatory effect renumbering section 972.4 to section 4132 filed 6-28-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 26).
§972.5. Training; Research & Development; and/or Manufacturing.
Note • History
NOTE
Authority cited: Sections 12095, 12230, 12250, 12286 and 12305, Penal Code. Reference: Sections 12095, 12230, 12250, 12286 and 12305, Penal Code.
HISTORY
1. New section filed 12-29-89; operative 1-1-90 (Register 90, No. 2).
2. Amendment of section heading and subsections (a) and (a)(2) filed 3-30-2005; operative 3-30-2005 pursuant to Government Code section 11343.4 (Register 2005, No. 13).
3. Change without regulatory effect renumbering section 972.5 to section 4133 filed 6-28-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 26).
§972.6. Commercial Motion Picture, Television Production, or Other Commercial Entertainment Event.
Note • History
NOTE
Authority cited: Sections 12095, 12230, 12250, 12286 and 12305, Penal Code. Reference: Sections 12095, 12230, 12250, 12286 and 12305, Penal Code.
HISTORY
1. New section filed 12-29-89; operative 1-1-90 (Register 90, No. 2).
2. Amendment of section heading and subsection (a) and new subsection (b) filed 3-30-2005; operative 3-30-2005 pursuant to Government Code section 11343.4 (Register 2005, No. 13).
3. Change without regulatory effect renumbering section 972.6 to section 4134 filed 6-28-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 26).
§972.7. Collection of Destructive Devices.
Note • History
NOTE
Authority cited: Sections 12095, 12230, 12250, 12286 and 12305, Penal Code. Reference: Sections 12095, 12230, 12250, 12286 and 12305, Penal Code.
HISTORY
1. New section filed 12-29-89; operative 1-1-90 (Register 90, No. 2).
2. Amendment of subsection (a)(1) filed 3-30-2005; operative 3-30-2005 pursuant to Government Code section 11343.4 (Register 2005, No. 13).
3. Change without regulatory effect renumbering section 972.7 to section 4135 filed 6-28-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 26).
§972.8. Repair and Maintenance.
Note • History
NOTE
Authority cited: Sections 12095, 12230, 12250, 12286 and 12305, Penal Code. Reference: Sections 12095, 12230, 12250, 12286 and 12305, Penal Code.
HISTORY
1. New section filed 12-29-89; operative 1-1-90 (Register 90, No. 2).
2. Change without regulatory effect renumbering section 972.8 to section 4136 filed 6-28-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 26).
§972.9. Activities Sanctioned by Military--Assault Weapons.
Note • History
NOTE
Authority cited: Section 12286, Penal Code. Reference: Section 12286, Penal Code.
HISTORY
1. New section filed 12-29-89; operative 1-1-90 (Register 90, No. 2).
2. Amendment of section heading, section and Note filed 3-30-2005; operative 3-30-2005 pursuant to Government Code section 11343.4 (Register 2005, No. 13).
3. Change without regulatory effect renumbering section 972.9 to section 4137 filed 6-28-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 26).
Article 4. Investigations
Note • History
NOTE
Authority cited: Sections 12095, 12230, 12250 and 12305, Penal Code. Reference: Sections 12050, 12095, 12230, 12250 and 12305, Penal Code; and Sections 1100, 1101, 1102, 1103 and 1105, Evidence Code.
HISTORY
1. New section filed 4-29-88; operative 5-29-88 (Register 88, No. 19).
2. Amendment of Note filed 3-30-2005; operative 3-30-2005 pursuant to Government Code section 11343.4 (Register 2005, No. 13).
3. Change without regulatory effect renumbering section 973 to section 4138 filed 6-28-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 26).
§973.1. Investigation of New Information.
Note • History
NOTE
Authority cited: Sections 12095, 12230, 12250 and 12305, Penal Code. Reference: Sections 12095, 12230, 12250 and 12305, Penal Code.
HISTORY
1. New section filed 4-29-88; operative 5-29-88 (Register 88, No. 19).
2. Amendment of Note filed 3-30-2005; operative 3-30-2005 pursuant to Government Code section 11343.4 (Register 2005, No. 13).
3. Change without regulatory effect renumbering section 973.1 to section 4139 filed 6-28-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 26).
Note • History
NOTE
Authority cited: Sections 12095, 12230, 12250 and 12305, Penal Code. Reference: Sections 12095, 12230, 12250 and 12305, Penal Code.
HISTORY
1. New section filed 4-29-88; operative 5-29-88 (Register 88, No. 19).
2. Amendment of article heading and section heading, repealer and new section and amendment of Note filed 3-30-2005; operative 3-30-2005 pursuant to Government Code section 11343.4 (Register 2005, No. 13).
3. Change without regulatory effect renumbering section 974 to section 4140 filed 6-28-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 26).
§974.1. Security Requirements.
Note • History
NOTE
Authority cited: Sections 12095, 12230, 12250, 12276 and 12305, Penal Code. Reference: Sections 12095, 12230, 12250, 12276 and 12305, Penal Code.
HISTORY
1. New section filed 4-29-88; operative 5-29-88 (Register 88, No. 19).
2. Amendment filed 12-29-89; operative 1-1-90 (Register 90, No. 2).
3. Amendment of section heading, first paragraph, subsections (a)(3), (c) and (c)(1) and Note filed 3-30-2005; operative 3-30-2005 pursuant to Government Code section 11343.4 (Register 2005, No. 13).
4. Change without regulatory effect renumbering section 974.1 to section 4141 filed 6-28-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 26).
Article 6. Application Forms, Processing Time, Reporting Requirements, Renewals, Fees, Denials, Revocations
Note • History
NOTE
Authority cited: Sections 12096, 12231, 12250, 12286 and 12305, Penal Code. Reference: Sections 12096, 12231, 12250, 12286 and 12305, Penal Code.
HISTORY
1. New section filed 4-29-88; operative 5-29-88 (Register 88, No. 19).
2. Amendment filed 12-29-89; operative 1-1-90 (Register 90, No. 2).
3. Amendment of article heading, section heading and section filed 3-30-2005; operative 3-30-2005 pursuant to Government Code section 11343.4 (Register 2005, No. 13).
4. Change without regulatory effect renumbering section 975 to section 4142 filed 6-28-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 26).
Note • History
NOTE
Authority cited: Section 15376, Government Code. Reference: Sections 12095, 12230, 12250, 12305 and 12306, Penal Code.
HISTORY
1. New section filed 4-29-88; operative 5-29-88 (Register 88, No. 19).
2. Repealer filed 3-30-2005; operative 3-30-2005 pursuant to Government Code section 11343.4 (Register 2005, No. 13).
3. Change without regulatory effect renumbering section 975.1 to section 4143 filed 6-28-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 26).
§975.2. Renewal of Permit/License.
Note • History
NOTE
Authority cited: Sections 12095, 12230, 12250 and 12305, Penal Code. Reference: Sections 12095, 12096, 12230, 12231, 12250, 12286, 12287 and 12305, Penal Code.
HISTORY
1. New section filed 4-29-88; operative 5-29-88 (Register 88, No. 19).
2. Amendment of subsections (a), (c) and (d), repealer of subsections (d)-(d)(4) and amendment of Note filed 3-30-2005; operative 3-30-2005 pursuant to Government Code section 11343.4 (Register 2005, No. 13).
3. Change without regulatory effect renumbering section 975.2 to section 4144 filed 6-28-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 26).
Note • History
NOTE
Authority cited: Sections 12096, 12231, 12250, 12286, 12287 and 12305, Penal Code; and Stats. 2002, ch. 1106 (Senate Bill 1312), Sec. 3, Stats. 2002, ch. 910 (Assembly Bill 2580), Sec. 3-7. Reference: Sections 12096, 12231, 12250, 12286, 12287 and 12305, Penal Code; and Stats. 2002, ch. 1106 (Senate Bill 1312), Sec. 3, Stats. 2002, ch. 910 (Assembly Bill 2580), Sec. 3-7.
HISTORY
1. New section filed 4-29-88; operative 5-29-88 (Register 88, No. 19).
2. Amendment of section and Note filed 3-30-2005; operative 3-30-2005 pursuant to Government Code section 11343.4 (Register 2005, No. 13).
3. Change without regulatory effect renumbering section 975.3 to section 4145 filed 6-28-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 26).
§975.4. Denial of Application, Reasons, Reconsideration.
Note • History
NOTE
Authority cited: Sections 12095, 12230, 12250 and 12305, Penal Code. Reference: Sections 12095, 12098, 12230, 12233, 12250 and 12305, Penal Code.
HISTORY
1. New section filed 4-29-88; operative 5-29-88 (Register 88, No. 19).
2. Amendment of subsection (b) and Note filed 3-30-2005; operative 3-30-2005 pursuant to Government Code section 11343.4 (Register 2005, No. 13).
3. Change without regulatory effect renumbering section 975.4 to section 4146 filed 6-28-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 26).
§975.5. Revocation and/or Denial of Renewal of Permit/License, Reasons.
Note • History
NOTE
Authority cited: Sections 12095, 12098, 12230, 12250 and 12305, Penal Code.
HISTORY
1. New section filed 4-29-88; operative 5-29-88 (Register 88, No. 19).
2. Amendment of section heading, subsection (a)(7) and Note filed 3-30-2005; operative 3-30-2005 pursuant to Government Code section 11343.4 (Register 2005, No. 13).
3. Change without regulatory effect renumbering section 975.5 to section 4147 filed 6-28-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 26).
Note • History
NOTE
Authority cited: Sections 12095, 12098, 12230, 12250 and 12305, Penal Code. Reference: Sections 12095, 12098, 12230, 12250 and 12305, Penal Code.
HISTORY
1. New section filed 4-29-88; operative 5-29-88 (Register 88, No. 19).
2. Amendment of Note filed 3-30-2005; operative 3-30-2005 pursuant to Government Code section 11343.4 (Register 2005, No. 13).
3. Change without regulatory effect renumbering section 975.6 to section 4148 filed 6-28-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 26).
Article 7. Appeal Process
§976. Notice of Revocation or Notice of Denial of Renewal.
Note • History
NOTE
Authority cited: Sections 12095, 12098, 12230, 12250 and 12305, Penal Code. Reference: Sections 12095, 12098, 12230, 12250 and 12305, Penal Code.
HISTORY
1. New section filed 4-29-88; operative 5-29-88 (Register 88, No. 19).
2. Amendment of Note filed 3-30-2005; operative 3-30-2005 pursuant to Government Code section 11343.4 (Register 2005, No. 13).
3. Change without regulatory effect renumbering section 976 to section 4149 filed 6-28-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 26).
§976.1. Administrative Hearing.
Note • History
NOTE
Authority cited: Sections 12095, 12098, 12230, 12250 and 12305, Penal Code. Reference: Sections 12095, 12098, 12230, 12250 and 12305, Penal Code; and Section 11512, Government Code.
HISTORY
1. New section filed 4-29-88; operative 5-29-88 (Register 88, No. 19).
2. Amendment of Note filed 3-30-2005; operative 3-30-2005 pursuant to Government Code section 11343.4 (Register 2005, No. 13).
3. Change without regulatory effect renumbering section 976.1 to section 4150 filed 6-28-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 26).
§976.2. Time and Place of Administrative Hearing.
Note • History
NOTE
Authority cited: Sections 12095, 12098, 12230, 12250 and 12305, Penal Code. Reference: Sections 12095, 12098, 12230, 12250 and 12305, Penal Code.
HISTORY
1. New section filed 4-29-88; operative 5-29-88 (Register 88, No. 19).
2. Amendment of Note filed 3-30-2005; operative 3-30-2005 pursuant to Government Code section 11343.4 (Register 2005, No. 13).
3. Change without regulatory effect renumbering section 976.2 to section 4151 filed 6-28-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 26).
Note • History
NOTE
Authority cited: Sections 12095, 12098, 12230, 12250 and 12305, Penal Code. Reference: Sections 12095, 12098, 12230, 12250 and 12305, Penal Code; and Section 11513, Government Code.
HISTORY
1. New section filed 4-29-88; operative 5-29-88 (Register 88, No. 19).
2. Amendment of Note filed 3-30-2005; operative 3-30-2005 pursuant to Government Code section 11343.4 (Register 2005, No. 13).
3. Change without regulatory effect renumbering section 976.3 to section 4152 filed 6-28-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 26).
Note • History
NOTE
Authority cited: Sections 12095, 12098, 12230, 12250 and 12305, Penal Code. Reference: Sections 12095, 12098, 12230, 12250 and 12305, Penal Code.
HISTORY
1. New section filed 4-29-88; operative 5-29-88 (Register 88, No. 19).
2. Amendment of Note filed 3-30-2005; operative 3-30-2005 pursuant to Government Code section 11343.4 (Register 2005, No. 13).
3. Change without regulatory effect renumbering section 976.4 to section 4153 filed 6-28-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 26).
Chapter 12.6. Department of Justice Regulations for Certified Firearms Safety Device Laboratories, Firearms Safety Device Standards and Testing, and Standards for Gun Safes
Article 1. General: Title; Scope; Extensions for Compliance
Note • History
NOTE
Authority cited: Sections 12088 and 12088.2, Penal Code. Reference: Sections 12088 and 12088.2, Penal Code.
HISTORY
1. New chapter 12.6 (articles 1-8, sections 977.10-977.90), article 1 (sections 977.10-977.15) and section filed 2-1-2001 as an emergency; operative 2-1-2001 (Register 2001, No. 5). A Certificate of Compliance must be transmitted to OAL by 6-1-2001 or emergency language will be repealed by operation of law on the following day. For prior history of section 977.10, see Register 2000, No. 30.
2. New chapter 12.6 (articles 1-8, sections 977.10-977.90), article 1 (sections 977.10-977.15) and section refiled 5-18-2001 as an emergency; operative 5-18-2001 (Register 2001, No. 20). A Certificate of Compliance must be transmitted to OAL by 9-17-2001 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 5-18-2001 order transmitted to OAL by 8-14-2001 and filed 9-26-2001 (Register 2001, No. 39).
4. Change without regulatory effect renumbering division 1, chapter 12.6 (articles 1-8, sections 977.10-977.90) to division 5, chapter 6 (articles 1-8, sections 4080-4109) and renumbering section 977.10 to section 4080 filed 6-28-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 26).
§977.15. Extensions for Compliance.
Note • History
NOTE
Authority cited: Sections 12088 and 12088.2, Penal Code. Reference: Sections 12088 and 12088.2, Penal Code.
HISTORY
1. New section filed 2-1-2001 as an emergency; operative 2-1-2001 (Register 2001, No. 5). A Certificate of Compliance must be transmitted to OAL by 6-1-2001 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 5-18-2001 as an emergency; operative 5-18-2001 (Register 2001, No. 20). A Certificate of Compliance must be transmitted to OAL by 9-17-2001 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 5-18-2001 order transmitted to OAL by 8-14-2001 and filed 9-26-2001 (Register 2001, No. 39).
4. Change without regulatory effect renumbering section 977.15 to section 4081 filed 6-28-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 26).
Article 2. Definition of Key Terms
§977.20. Definition of Key Terms.
Note • History
NOTE
Authority cited: Sections 12088 and 12088.2, Penal Code. Reference: Sections 12088 and 12088.2, Penal Code.
HISTORY
1. New article 2 (section 977.20) and section filed 2-1-2001 as an emergency; operative 2-1-2001 (Register 2001, No. 5). A Certificate of Compliance must be transmitted to OAL by 6-1-2001 or emergency language will be repealed by operation of law on the following day. For prior history of section 977.20, see Register 2000, No. 30.
2. New article 2 (section 977.20) and section refiled 5-18-2001 as an emergency; operative 5-18-2001 (Register 2001, No. 20). A Certificate of Compliance must be transmitted to OAL by 9-17-2001 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 5-18-2001 order, including amendment of subsection (d), transmitted to OAL by 8-14-2001 and filed 9-26-2001 (Register 2001, No. 39).
4. Amendment of subsection (h) filed 12-4-2002 as an emergency; operative 12-4-2002 (Register 2002, No. 49). A Certificate of Compliance must be transmitted to OAL by 4-3-2003 or emergency language will be repealed by operation of law on the following day.
5. Amendment of subsection (h) refiled 4-3-2003 as an emergency; operative 4-3-2003 (Register 2003, No. 14). A Certificate of Compliance must be transmitted to OAL by 8-1-2003 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 4-3-2003 order, including amendment of subsections (a) and (n) and new subsection (y), transmitted to OAL 7-28-2003 and filed 8-25-2003 (Register 2003, No. 35).
7. Change without regulatory effect renumbering section 977.20 to section 4082 filed 6-28-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 26).
Article 3. Certified FSD Laboratories
§977.30. Who Must be a Certified FSD Laboratory.
Note • History
NOTE
Authority cited: Sections 12088 and 12088.2, Penal Code. Reference: Sections 12088 and 12088.2, Penal Code.
HISTORY
1. New article 3 (sections 977.30-977.36) and section filed 2-1-2001 as an emergency; operative 2-1-2001 (Register 2001, No. 5). A Certificate of Compliance must be transmitted to OAL by 6-1-2001 or emergency language will be repealed by operation of law on the following day.
2. New article 3 (sections 977.30-977.36) and section refiled 5-18-2001 as an emergency; operative 5-18-2001 (Register 2001, No. 20). A Certificate of Compliance must be transmitted to OAL by 9-17-2001 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 5-18-2001 order transmitted to OAL by 8-14-2001 and filed 9-26-2001 (Register 2001, No. 39).
4. Change without regulatory effect renumbering section 977.30 to section 4083 filed 6-28-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 26).
§977.31. Application for Firearms Safety Device Laboratory Certification.
Note • History
NOTE
Authority cited: Sections 12088 and 12088.2, Penal Code. Reference: Sections 12088 and 12088.2, Penal Code.
HISTORY
1. New section filed 2-1-2001 as an emergency; operative 2-1-2001 (Register 2001, No. 5). A Certificate of Compliance must be transmitted to OAL by 6-1-2001 or emergency language will be repealed by operation of law on the following day. For prior history, see Register 2000, No. 30.
2. New section refiled 5-18-2001 as an emergency; operative 5-18-2001 (Register 2001, No. 20). A Certificate of Compliance must be transmitted to OAL by 9-17-2001 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 5-18-2001 order transmitted to OAL by 8-14-2001 and filed 9-26-2001 (Register 2001, No. 39).
4. Change without regulatory effect renumbering section 977.31 to section 4084 filed 6-28-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 26).
§977.32. Pre-Certification Requirements.
Note • History
NOTE
Authority cited: Sections 12088 and 12088.2, Penal Code. Reference: Sections 12088 and 12088.2, Penal Code.
HISTORY
1. New section filed 2-1-2001 as an emergency; operative 2-1-2001 (Register 2001, No. 5). A Certificate of Compliance must be transmitted to OAL by 6-1-2001 or emergency language will be repealed by operation of law on the following day. For prior history, see Register 2000, No. 30.
2. New section refiled 5-18-2001 as an emergency; operative 5-18-2001 (Register 2001, No. 20). A Certificate of Compliance must be transmitted to OAL by 9-17-2001 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 5-18-2001 order transmitted to OAL by 8-14-2001 and filed 9-26-2001 (Register 2001, No. 39).
4. Change without regulatory effect renumbering section 977.32 to section 4085 filed 6-28-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 26).
Note • History
NOTE
Authority cited: Sections 12088 and 12088.2, Penal Code. Reference: Sections 12088 and 12088.2, Penal Code.
HISTORY
1. New section filed 2-1-2001 as an emergency; operative 2-1-2001 (Register 2001, No. 5). A Certificate of Compliance must be transmitted to OAL by 6-1-2001 or emergency language will be repealed by operation of law on the following day. For prior history, see Register 2000, No. 30.
2. New section refiled 5-18-2001 as an emergency, including amendment of subsection (a); operative 5-18-2001 (Register 2001, No. 20). A Certificate of Compliance must be transmitted to OAL by 9-17-2001 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 5-18-2001 order transmitted to OAL by 8-14-2001 and filed 9-26-2001 (Register 2001, No. 39).
4. Change without regulatory effect renumbering section 977.33 to section 4086 filed 6-28-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 26).
§977.34. Certification Period for Certified FSD Laboratories.
Note • History
NOTE
Authority cited: Sections 12088 and 12088.2, Penal Code. Reference: Sections 12088 and 12088.2, Penal Code.
HISTORY
1. New section filed 2-1-2001 as an emergency; operative 2-1-2001 (Register 2001, No. 5). A Certificate of Compliance must be transmitted to OAL by 6-1-2001 or emergency language will be repealed by operation of law on the following day. For prior history, see Register 2000, No. 30.
2. New section refiled 5-18-2001 as an emergency; operative 5-18-2001 (Register 2001, No. 20). A Certificate of Compliance must be transmitted to OAL by 9-17-2001 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 5-18-2001 order transmitted to OAL by 8-14-2001 and filed 9-26-2001 (Register 2001, No. 39).
4. Change without regulatory effect renumbering section 977.34 to section 4087 filed 6-28-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 26).
Note • History
NOTE
Authority cited: Section 15376, Government Code; and Sections 12088 and 12088.2, Penal Code. Reference: Section 15376, Government Code; and Sections 12088 and 12088.2, Penal Code.
HISTORY
1. New section filed 2-1-2001 as an emergency; operative 2-1-2001 (Register 2001, No. 5). A Certificate of Compliance must be transmitted to OAL by 6-1-2001 or emergency language will be repealed by operation of law on the following day. For prior history, see Register 2000, No. 30.
2. New section refiled 5-18-2001 as an emergency; operative 5-18-2001 (Register 2001, No. 20). A Certificate of Compliance must be transmitted to OAL by 9-17-2001 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 5-18-2001 order transmitted to OAL by 8-14-2001 and filed 9-26-2001 (Register 2001, No. 39).
4. Change without regulatory effect renumbering section 977.35 to section 4088 filed 6-28-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 26).
Note • History
NOTE
Authority cited: Section 15378, Government Code; and Sections 12088 and 12088.2, Penal Code. Reference: Section 15378, Government Code; and Sections 12088 and 12088.2, Penal Code.
HISTORY
1. New section filed 2-1-2001 as an emergency; operative 2-1-2001 (Register 2001, No. 5). A Certificate of Compliance must be transmitted to OAL by 6-1-2001 or emergency language will be repealed by operation of law on the following day. For prior history, see Register 2000, No. 30.
2. New section refiled 5-18-2001 as an emergency; operative 5-18-2001 (Register 2001, No. 20). A Certificate of Compliance must be transmitted to OAL by 9-17-2001 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 5-18-2001 order transmitted to OAL by 8-14-2001 and filed 9-26-2001 (Register 2001, No. 39).
4. Change without regulatory effect renumbering section 977.36 to section 4089 filed 6-28-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 26).
Article 4. Operational Requirements, Firearms Safety Device Standards, Gun Safe Standards, Proof of Purchase or Ownership of a Gun Safe, Affixation of Required Warning
§977.40. Absence of Conflict of Interest.
Note • History
NOTE
Authority cited: Sections 12088 and 12088.2, Penal Code. Reference: Sections 12088 and 12088.2, Penal Code.
HISTORY
1. New article 4 (sections 977.40-977.51) and section filed 2-1-2001 as an emergency; operative 2-1-2001 (Register 2001, No. 5). A Certificate of Compliance must be transmitted to OAL by 6-1-2001 or emergency language will be repealed by operation of law on the following day.
2. New article 4 (sections 977.40-977.55) and section refiled 5-18-2001 as an emergency, including amendment of article heading and subsections (b)-(b)(3); operative 5-18-2001 (Register 2001, No. 20). A Certificate of Compliance must be transmitted to OAL by 9-17-2001 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 5-18-2001 order transmitted to OAL by 8-14-2001 and filed 9-26-2001 (Register 2001, No. 39).
4. Change without regulatory effect renumbering section 977.40 to section 4090 filed 6-28-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 26).
Note • History
NOTE
Authority cited: Sections 12088 and 12088.2, Penal Code. Reference: Sections 12088 and 12088.2, Penal Code.
HISTORY
1. New section filed 2-1-2001 as an emergency; operative 2-1-2001 (Register 2001, No. 5). A Certificate of Compliance must be transmitted to OAL by 6-1-2001 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 5-18-2001 as an emergency, including amendment of subsection (a)(5); operative 5-18-2001 (Register 2001, No. 20). A Certificate of Compliance must be transmitted to OAL by 9-17-2001 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 5-18-2001 order transmitted to OAL by 8-14-2001 and filed 9-26-2001 (Register 2001, No. 39).
4. Change without regulatory effect renumbering section 977.41 to section 4091 filed 6-28-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 26).
§977.42. Licensing/Minimum Standards Compliance.
Note • History
NOTE
Authority cited: Sections 12088 and 12088.2, Penal Code. Reference: Sections 12088 and 12088.2, Penal Code.
HISTORY
1. New section filed 2-1-2001 as an emergency; operative 2-1-2001 (Register 2001, No. 5). A Certificate of Compliance must be transmitted to OAL by 6-1-2001 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 5-18-2001 as an emergency; operative 5-18-2001 (Register 2001, No. 20). A Certificate of Compliance must be transmitted to OAL by 9-17-2001 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 5-18-2001 order transmitted to OAL by 8-14-2001 and filed 9-26-2001 (Register 2001, No. 39).
4. Change without regulatory effect renumbering section 977.42 to section 4092 filed 6-28-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 26).
§977.43. Firearms Safety Devices Testing and Submission Requirements.
Note • History
NOTE
Authority cited: Sections 12088 and 12088.2, Penal Code. Reference: Sections 12088 and 12088.2, Penal Code.
HISTORY
1. New section filed 2-1-2001 as an emergency; operative 2-1-2001 (Register 2001, No. 5). A Certificate of Compliance must be transmitted to OAL by 6-1-2001 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 5-18-2001 as an emergency; operative 5-18-2001 (Register 2001, No. 20). A Certificate of Compliance must be transmitted to OAL by 9-17-2001 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 5-18-2001 order transmitted to OAL by 8-14-2001 and filed 9-26-2001 (Register 2001, No. 39).
4. Amendment of subsections (a), (c)(2)(B) and (c)(3)(D) filed 12-4-2002 as an emergency; operative 12-4-2002 (Register 2002, No. 49). A Certificate of Compliance must be transmitted to OAL by 4-3-2003 or emergency language will be repealed by operation of law on the following day.
5. Amendment of subsections (a), (c)(2)(B) and (c)(3)(D) refiled 4-3-2003 as an emergency; operative 4-3-2003 (Register 2003, No. 14). A Certificate of Compliance must be transmitted to OAL by 8-1-2003 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 4-3-2003 order transmitted to OAL 7-28-2003 and filed 8-25-2003 (Register 2003, No. 35).
7. Change without regulatory effect renumbering section 977.43 to section 4093 filed 6-28-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 26).
§977.44. Firearms Safety Device Standards.
Note • History
NOTE
Authority cited: Sections 12088 and 12088.2, Penal Code. Reference: Sections 12088 and 12088.2, Penal Code.
HISTORY
1. New section filed 2-1-2001 as an emergency; operative 2-1-2001 (Register 2001, No. 5). A Certificate of Compliance must be transmitted to OAL by 6-1-2001 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 5-18-2001 as an emergency, including new subsection (e); operative 5-18-2001 (Register 2001, No. 20). A Certificate of Compliance must be transmitted to OAL by 9-17-2001 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 5-18-2001 order, including amendment of subsection (d), transmitted to OAL by 8-14-2001 and filed 9-26-2001 (Register 2001, No. 39).
4. Amendment of subsections (b) and (e) filed 12-4-2002 as an emergency; operative 12-4-2002 (Register 2002, No. 49). A Certificate of Compliance must be transmitted to OAL by 4-3-2003 or emergency language will be repealed by operation of law on the following day.
5. Amendment of subsections (b) and (e) refiled 4-3-2003 as an emergency; operative 4-3-2003 (Register 2003, No. 14). A Certificate of Compliance must be transmitted to OAL by 8-1-2003 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 4-3-2003 order, including further amendment of subsection (b), transmitted to OAL 7-28-2003 and filed 8-25-2003 (Register 2003, No. 35).
7. Change without regulatory effect renumbering section 977.44 to section 4094 filed 6-28-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 26).
Note • History
NOTE
Authority cited: Sections 12088 and 12088.2, Penal Code. Reference: Sections 12088 and 12088.2, Penal Code.
HISTORY
1. New section filed 2-1-2001 as an emergency; operative 2-1-2001 (Register 2001, No. 5). A Certificate of Compliance must be transmitted to OAL by 6-1-2001 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 5-18-2001 as an emergency, including amendment of section; operative 5-18-2001 (Register 2001, No. 20). A Certificate of Compliance must be transmitted to OAL by 9-17-2001 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 5-18-2001 order, including amendment of section, transmitted to OAL by 8-14-2001 and filed 9-26-2001 (Register 2001, No. 39).
4. Amendment filed 12-4-2002 as an emergency; operative 12-4-2002 (Register 2002, No. 49). A Certificate of Compliance must be transmitted to OAL by 4-3-2003 or emergency language will be repealed by operation of law on the following day.
5. Amendment refiled 4-3-2003 as an emergency; operative 4-3-2003 (Register 2003, No. 14). A Certificate of Compliance must be transmitted to OAL by 8-1-2003 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 4-3-2003 order, including further amendment of section, transmitted to OAL 7-28-2003 and filed 8-25-2003 (Register 2003, No. 35).
7. Change without regulatory effect renumbering section 977.45 to section 4095 filed 6-28-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 26).
Note • History
NOTE
Authority cited: Sections 12088 and 12088.2, Penal Code. Reference: Sections 12088 and 12088.2, Penal Code.
HISTORY
1. New section filed 2-1-2001 as an emergency; operative 2-1-2001 (Register 2001, No. 5). A Certificate of Compliance must be transmitted to OAL by 6-1-2001 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 5-18-2001 as an emergency; operative 5-18-2001 (Register 2001, No. 20). A Certificate of Compliance must be transmitted to OAL by 9-17-2001 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 5-18-2001 order transmitted to OAL by 8-14-2001 and filed 9-26-2001 (Register 2001, No. 39).
4. Change without regulatory effect renumbering section 977.46 to section 4096 filed 6-28-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 26).
§977.47. Required Records, Retention Periods, Reporting Changes.
Note • History
NOTE
Authority cited: Sections 12088 and 12088.2, Penal Code. Reference: Sections 12088 and 12088.2, Penal Code.
HISTORY
1. New section filed 2-1-2001 as an emergency; operative 2-1-2001 (Register 2001, No. 5). A Certificate of Compliance must be transmitted to OAL by 6-1-2001 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 5-18-2001 as an emergency; operative 5-18-2001 (Register 2001, No. 20). A Certificate of Compliance must be transmitted to OAL by 9-17-2001 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 5-18-2001 order transmitted to OAL by 8-14-2001 and filed 9-26-2001 (Register 2001, No. 39).
4. Change without regulatory effect renumbering section 977.47 to section 4097 filed 6-28-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 26).
Note • History
NOTE
Authority cited: Sections 12088 and 12088.2, Penal Code. Reference: Sections 12088 and 12088.2, Penal Code.
HISTORY
1. New section filed 2-1-2001 as an emergency; operative 2-1-2001 (Register 2001, No. 5). A Certificate of Compliance must be transmitted to OAL by 6-1-2001 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 5-18-2001 as an emergency; operative 5-18-2001 (Register 2001, No. 20). A Certificate of Compliance must be transmitted to OAL by 9-17-2001 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 5-18-2001 order transmitted to OAL by 8-14-2001 and filed 9-26-2001 (Register 2001, No. 39).
4. Change without regulatory effect renumbering section 977.48 to section 4098 filed 6-28-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 26).
Note • History
NOTE
Authority cited: Sections 12088 and 12088.2, Penal Code. Reference: Sections 12088 and 12088.2, Penal Code.
HISTORY
1. New section filed 2-1-2001 as an emergency; operative 2-1-2001 (Register 2001, No. 5). A Certificate of Compliance must be transmitted to OAL by 6-1-2001 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 5-18-2001 as an emergency; operative 5-18-2001 (Register 2001, No. 20). A Certificate of Compliance must be transmitted to OAL by 9-17-2001 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 5-18-2001 order transmitted to OAL by 8-14-2001 and filed 9-26-2001 (Register 2001, No. 39).
4. Change without regulatory effect renumbering section 977.49 to section 4099 filed 6-28-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 26).
Note • History
NOTE
Authority cited: Sections 12088 and 12088.2, Penal Code. Reference: Sections 12088 and 12088.2, Penal Code.
HISTORY
1. New section filed 2-1-2001 as an emergency; operative 2-1-2001 (Register 2001, No. 5). A Certificate of Compliance must be transmitted to OAL by 6-1-2001 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 5-18-2001 as an emergency; operative 5-18-2001 (Register 2001, No. 20). A Certificate of Compliance must be transmitted to OAL by 9-17-2001 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 5-18-2001 order, including amendment of section, transmitted to OAL by 8-14-2001 and filed 9-26-2001 (Register 2001, No. 39).
4. Amendment of subsection (b) filed 12-4-2002 as an emergency; operative 12-4-2002 (Register 2002, No. 49). A Certificate of Compliance must be transmitted to OAL by 4-3-2003 or emergency language will be repealed by operation of law on the following day.
5. Amendment of subsection (b) refiled 4-3-2003 as an emergency; operative 4-3-2003 (Register 2003, No. 14). A Certificate of Compliance must be transmitted to OAL by 8-1-2003 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 4-3-2003 order, including further amendment of subsections (a)(4) and (b), transmitted to OAL 7-28-2003 and filed 8-25-2003 (Register 2003, No. 35).
7. Change without regulatory effect renumbering section 977.50 to section 4100 filed 6-28-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 26).
§977.51. Gun Safe -- Proof of Ownership of an Acceptable Gun Safe.
Note • History
NOTE
Authority cited: Sections 12088 and 12088.2, Penal Code. Reference: Sections 12088 and 12088.2, Penal Code.
HISTORY
1. New section filed 2-1-2001 as an emergency; operative 2-1-2001 (Register 2001, No. 5). A Certificate of Compliance must be transmitted to OAL by 6-1-2001 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 5-18-2001 as an emergency; operative 5-18-2001 (Register 2001, No. 20). A Certificate of Compliance must be transmitted to OAL by 9-17-2001 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 5-18-2001 order transmitted to OAL by 8-14-2001 and filed 9-26-2001 (Register 2001, No. 39).
4. Amendment of subsection (a)(2) filed 12-4-2002 as an emergency; operative 12-4-2002 (Register 2002, No. 49). A Certificate of Compliance must be transmitted to OAL by 4-3-2003 or emergency language will be repealed by operation of law on the following day.
5. Amendment of subsection (a)(2) refiled 4-3-2003 as an emergency; operative 4-3-2003 (Register 2003, No. 14). A Certificate of Compliance must be transmitted to OAL by 8-1-2003 or emergency language will be repealed by operation of law on the following day.
6. Certificate of Compliance as to 4-3-2003 order transmitted to OAL 7-28-2003 and filed 8-25-2003 (Register 2003, No. 35).
7. Change without regulatory effect renumbering section 977.51 to section 4101 filed 6-28-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 26).
§977.52. Lock Box -- Proof of Ownership of an Acceptable “Lock Box” Type Firearms Safety Device.
Note • History
NOTE
Authority cited: Sections 12088, 12088.1 and 12088.2, Penal Code. Reference: Sections 12088 and 12088.2, Penal Code.
HISTORY
1. New section filed 12-4-2002 as an emergency; operative 12-4-2002 (Register 2002, No. 49). A Certificate of Compliance must be transmitted to OAL by 4-3-2003 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 4-3-2003 as an emergency; operative 4-3-2003 (Register 2003, No. 14). A Certificate of Compliance must be transmitted to OAL by 8-1-2003 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 4-3-2003 order transmitted to OAL 7-28-2003 and filed 8-25-2003 (Register 2003, No. 35).
4. Change without regulatory effect renumbering section 977.52 to section 4102 filed 6-28-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 26).
§977.55. Required Warning Notice -- Affixation to Firearms Sold Without Accompanying Packaging.
Note • History
NOTE
Authority cited: Section 12088.3, Penal Code. Reference: Section 12088.3, Penal Code.
HISTORY
1. New section filed 5-18-2001 as an emergency; operative 5-18-2001 (Register 2001, No. 20). A Certificate of Compliance must be transmitted to OAL by 9-17-2001 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 5-18-2001 order transmitted to OAL by 8-14-2001 and filed 9-26-2001 (Register 2001, No. 39).
3. Change without regulatory effect renumbering section 977.55 to section 4103 filed 6-28-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 26).
Article 5. DOJ Suspension or Revocation of FSD Laboratory Certification
§977.60. DOJ Suspension or Revocation of FSD Laboratory Certification.
Note • History
NOTE
Authority cited: Sections 12088 and 12088.2, Penal Code. Reference: Sections 12088 and 12088.2, Penal Code.
HISTORY
1. New article 5 (section 977.60) and section filed 2-1-2001 as an emergency; operative 2-1-2001 (Register 2001, No. 5). A Certificate of Compliance must be transmitted to OAL by 6-1-2001 or emergency language will be repealed by operation of law on the following day.
2. New article 5 (section 977.60) and section refiled 5-18-2001 as an emergency; operative 5-18-2001 (Register 2001, No. 20). A Certificate of Compliance must be transmitted to OAL by 9-17-2001 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 5-18-2001 order transmitted to OAL by 8-14-2001 and filed 9-26-2001 (Register 2001, No. 39).
4. Change without regulatory effect renumbering section 977.60 to section 4104 filed 6-28-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 26).
Article 6. FSD Laboratory Certification Renewal; FSD Laboratory Certification After Expiration
§977.70. FSD Laboratory Certification Renewal Procedures.
Note • History
NOTE
Authority cited: Sections 12088 and 12088.2, Penal Code. Reference: Sections 12088 and 12088.2, Penal Code.
HISTORY
1. New article 6 (sections 977.70-977.71) and section filed 2-1-2001 as an emergency; operative 2-1-2001 (Register 2001, No. 5). A Certificate of Compliance must be transmitted to OAL by 6-1-2001 or emergency language will be repealed by operation of law on the following day.
2. New article 6 (sections 977.70-977.71) and section refiled 5-18-2001 as an emergency; operative 5-18-2001 (Register 2001, No. 20). A Certificate of Compliance must be transmitted to OAL by 9-17-2001 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 5-18-2001 order transmitted to OAL by 8-14-2001 and filed 9-26-2001 (Register 2001, No. 39).
4. Change without regulatory effect renumbering section 977.70 to section 4105 filed 6-28-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 26).
§977.71. FSD Laboratory Certification After Expiration.
Note • History
NOTE
Authority cited: Sections 12088 and 12088.2, Penal Code. Reference: Sections 12088 and 12088.2, Penal Code.
HISTORY
1. New section filed 2-1-2001 as an emergency; operative 2-1-2001 (Register 2001, No. 5). A Certificate of Compliance must be transmitted to OAL by 6-1-2001 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 5-18-2001 as an emergency; operative 5-18-2001 (Register 2001, No. 20). A Certificate of Compliance must be transmitted to OAL by 9-17-2001 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 5-18-2001 order transmitted to OAL by 8-14-2001 and filed 9-26-2001 (Register 2001, No. 39).
4. Change without regulatory effect renumbering section 977.71 to section 4106 filed 6-28-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 26).
Article 7. Service of Notices, Orders, and Communications
§977.80. Service of Notices, Orders, and Communications.
Note • History
NOTE
Authority cited: Sections 12088 and 12088.2, Penal Code. Reference: Sections 12088 and 12088.2, Penal Code.
HISTORY
1. New article 7 (section 977.80) and section filed 2-1-2001 as an emergency; operative 2-1-2001 (Register 2001, No. 5). A Certificate of Compliance must be transmitted to OAL by 6-1-2001 or emergency language will be repealed by operation of law on the following day.
2. New article 7 (section 977.80) and section refiled 5-18-2001 as an emergency; operative 5-18-2001 (Register 2001, No. 20). A Certificate of Compliance must be transmitted to OAL by 9-17-2001 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 5-18-2001 order transmitted to OAL by 8-14-2001 and filed 9-26-2001 (Register 2001, No. 39).
4. Change without regulatory effect renumbering section 977.80 to section 4107 filed 6-28-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 26).
Article 8. Roster of Approved Firearms Safety Devices, Appeal Process
§977.85. Roster of Approved Firearms Safety Devices.
Note • History
NOTE
Authority cited: Sections 12088 and 12088.2, Penal Code. Reference: Sections 12088 and 12088.2, Penal Code.
HISTORY
1. New article 8 (section 977.85-977.90) and section refiled 5-18-2001 as an emergency, including amendment of article heading and renumbering and amendment of former section 977.90 to new section 977.85; operative 5-18-2001 (Register 2001, No. 20). A Certificate of Compliance must be transmitted to OAL by 9-17-2001 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 5-18-2001 order transmitted to OAL by 8-14-2001 and filed 9-26-2001 (Register 2001, No. 39).
3. Change without regulatory effect renumbering section 977.85 to section 4108 filed 6-28-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 26).
§977.90. Appeal Process for DOJ Exclusion of a Firearms Safety Device Model from the Roster of Approved Firearms Safety Devices.
Note • History
NOTE
Authority cited: Sections 12088 and 12088.2, Penal Code. Reference: Sections 12088 and 12088.2, Penal Code.
HISTORY
1. New article 8 (section 977.90) and section filed 2-1-2001 as an emergency; operative 2-1-2001 (Register 2001, No. 5). A Certificate of Compliance must be transmitted to OAL by 6-1-2001 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 5-18-2001 as an emergency, including renumbering and amendment of former section 977.90 to section 977.85 and new section 977.90; operative 5-18-2001 (Register 2001, No. 20). A Certificate of Compliance must be transmitted to OAL by 9-17-2001 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 5-18-2001 order transmitted to OAL by 8-14-2001 and filed 9-26-2001 (Register 2001, No. 39).
4. Change without regulatory effect renumbering section 977.90 to section 4109 filed 6-28-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 26).
Chapter 12.7. Department of Justice Emergency Regulations for the SKS Sporter Buy-Back Program
HISTORY
1. New chapter 12.7 (articles 1-3, sections 977.10-977.36), article 1 (sections 977.10-977.11) and section filed 9-27-99 as an emergency; operative 9-27-99 (Register 99, No. 40). A Certificate of Compliance must be transmitted to OAL by 1-25-2000 or emergency language will be repealed by operation of law on the following day.
2. Repealer of chapter 12.7 (articles 1-3, sections 977.10-977.36), article 1 (sections 977.10-977.11) and section by operation of Government Code section 11346.1(g) (Register 2001, No. 5).
Chapter 12.8. Department of Justice Regulations for Assault Weapons and Large Capacity Magazines
Article 1. General
Note • History
NOTE
Authority cited: Sections 12079, 12276.5(i) and 12285, Penal Code. Reference: Sections 12020, 12079, 12276.1, 12276.5 and 12285, Penal Code.
HISTORY
1. New chapter 12.8 (articles 1-4, sections 978.10-978.44), article 1 (section 978.10) and section filed 12-1-2000; operative 12-1-2000 pursuant to Government Code section 11343.4(d) (Register 2000, No. 48).
2. Change without regulatory effect renumbering division 1, chapter 12.8 (articles 1-4, sections 978.10-978.44) to division 5, chapter 39 (articles 1-4, sections 5459-5484) and renumbering section 978.10 to section 5459 filed 6-28-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 26).
Article 2. Definitions of Terms Used to Identify Assault Weapons
Note • History
NOTE
Authority cited: Section 12276.5(i), Penal Code. Reference: Sections 12276.1, 12280 and 12285, Penal Code.
HISTORY
1. New article 2 (section 978.20) and section filed 12-1-2000; operative 12-1-2000 pursuant to Government Code section 11343.4(d) (Register 2000, No. 48).
2. Change without regulatory effect renumbering section 978.20 to section 5469 filed 6-28-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 26).
Article 3. Assault Weapon Registration
§978.30. Requirements for Assault Weapon Registrations Pursuant to Penal Code Section 12285.
Note • History
NOTE
Authority cited: Section 12276.5(i), Penal Code. Reference: Sections 12285(a) and (e), Penal Code.
HISTORY
1. New article 3 (sections 978.30-978.33) and section filed 12-1-2000; operative 12-1-2000 pursuant to Government Code section 11343.4(d) (Register 2000, No. 48).
2. Change without regulatory effect renumbering section 978.30 to section 5470 filed 6-28-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 26).
Note • History
NOTE
Authority cited: Section 12276.5(i), Penal Code. Reference: Section 12285(a), Penal Code.
HISTORY
1. New section filed 12-1-2000; operative 12-1-2000 pursuant to Government Code section 11343.4(d) (Register 2000, No. 48).
2. Change without regulatory effect renumbering section 978.31 to section 5471 filed 6-28-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 26).
Note • History
NOTE
Authority cited: Sections 15376 and 15378, Government Code. Reference: Sections 15376 and 15378, Government Code.
HISTORY
1. New section filed 12-1-2000; operative 12-1-2000 pursuant to Government Code section 11343.4(d) (Register 2000, No. 48).
2. Change without regulatory effect renumbering section 978.32 to section 5472 filed 6-28-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 26).
§978.33. Voluntary Cancellations.
Note • History
NOTE
Authority cited: Section 12276.5(i), Penal Code. Reference: Section 12285, Penal Code.
HISTORY
1. New section filed 12-1-2000; operative 12-1-2000 pursuant to Government Code section 11343.4(d) (Register 2000, No. 48).
2. Change without regulatory effect renumbering section 978.33 to section 5473 filed 6-28-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 26).
Article 4. Large Capacity Magazine Permits
§978.40. Requirements for Large Capacity Magazine Permits Pursuant to Penal Code Section 12079.
Note • History
NOTE
Authority cited: Section 12079, Penal Code. Reference: Sections 12020 and 12079, Penal Code.
HISTORY
1. New article 4 (sections 978.40-978.44) and section filed 12-1-2000; operative 12-1-2000 pursuant to Government Code section 11343.4(d) (Register 2000, No. 48).
2. Change without regulatory effect renumbering section 978.40 to section 5480 filed 6-28-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 26).
Note • History
NOTE
Authority cited: Sections 15376 and 15378, Government Code. Reference: Sections 15376 and 15378, Government Code.
HISTORY
1. New section filed 12-1-2000; operative 12-1-2000 pursuant to Government Code section 11343.4(d) (Register 2000, No. 48).
2. Change without regulatory effect renumbering section 978.41 to section 5481 filed 6-28-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 26).
§978.42. Term Length of Large Capacity Magazine Permits.
Note • History
NOTE
Authority cited: Section 12079, Penal Code. Reference: Sections 12020 and 12079, Penal Code.
HISTORY
1. New section filed 12-1-2000; operative 12-1-2000 pursuant to Government Code section 11343.4(d) (Register 2000, No. 48).
2. Change without regulatory effect renumbering section 978.42 to section 5482 filed 6-28-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 26).
§978.43. Large Capacity Magazine Permit Record Keeping.
Note • History
NOTE
Authority cited: Section 12079, Penal Code. Reference: Section 12079, Penal Code.
HISTORY
1. New section filed 12-1-2000; operative 12-1-2000 pursuant to Government Code section 11343.4(d) (Register 2000, No. 48).
2. Change without regulatory effect renumbering section 978.43 to section 5483 filed 6-28-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 26).
§978.44. Large Capacity Magazine Permit Revocations.
Note • History
NOTE
Authority cited: Section 12079, Penal Code. Reference: Section 12079, Penal Code.
HISTORY
1. New section filed 12-1-2000; operative 12-1-2000 pursuant to Government Code section 11343.4(d) (Register 2000, No. 48).
2. Change without regulatory effect renumbering section 978.44 to section 5484 filed 6-28-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 26).
Chapter 12.9. Assault Weapons Identification
§979.10. California Penal Code Section 12276(a)-(c) Assault Weapons List.
Note • History
NOTE
Authority cited: Section 12276.5(h), Penal Code. Reference: Section 12276(a)-(c), Penal Code.
HISTORY
1. New chapter 12.9 (sections 979.10-979.11) and section filed 10-25-2000; operative 10-25-2000. Submitted to OAL for printing only pursuant to Penal Code section 12276.5(h) (Register 2000, No. 43).
2. Change without regulatory effect renumbering division 1, chapter 12.9 (sections 979.10-979.11), to division 5, chapter 40 (sections 5495-5499) and renumbering section 979.10 to section 5495 filed 6-28-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 26).
§979.11. California Penal Code Section 12276(e) Assault Weapons List.
Note • History
NOTE
Authority cited: Section 12276.5(h), Penal Code. Reference: Section 12276(e), Penal Code.
HISTORY
1. New section filed 10-25-2000; operative 10-25-2000. Submitted to OAL for printing only pursuant to Penal Code section 12276.5(h) (Register 2000, No. 43).
2. Editorial correction inserting inadvertently omitted ``(all)” following Knights SR-15 (Register 2000, No. 48).
3. Change without regulatory effect renumbering section 979.11 to section 5499 filed 6-28-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 26).
Chapter 13. Department of Justice Regulations on Non-Dealer Sales or Transfers of Firearms Through Licensees or Dealers and Issuance of Certificates of Eligibility Pursuant to Penal Code Sections 12070, 12071, 12071.1, and 12082
Article 1. General
Note • History
NOTE
Authority cited: Sections 12070, 12071, 12071.1 and 12082, Penal Code. Reference: Sections 12001, 12070, 12071, 12071.1, 12072 and 12082, Penal Code.
HISTORY
1. New section filed 4-2-90; operative 5-2-90 (Register 90, No. 14).
2. Amendment of chapter heading, new article 1, amendment of section and repealer and new Note filed 8-2-94; operative 9-1-94 (Register 94, No. 31).
3. Editorial correction of chapter heading (Register 97, No. 3).
4. Change without regulatory effect renumbering division 1, chapter 13 (articles 1-4, sections 980-985), to division 5, chapter 3 (articles 1-4, sections 4030-4041) and renumbering section 980 to section 4030 filed 6-28-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 26).
Article 2. Definitions
§981. Definition of Key Terms.
Note • History
NOTE
Authority cited: Sections 12070, 12071, 12071.1 and 12082, Penal Code. Reference: Sections 12001, 12021, 12021.1, 12070, 12071, 12071.1, 12072 and 12082, Penal Code; Sections 8100 and 8103, Welfare and Institutions Codes; Section 1798.3, Civil Code; and Title 27, Part 178, Subchapters 32 and 41, Code of Federal Regulations.
HISTORY
1. Renumbering of former subchapter 13 (section 981) to subchapter 1.5 (section 20), and new section filed 4-2-90; operative 5-2-90 (Register 90, No. 14). For prior history, see Register 87, No. 15.
2. New article 2, amendment of subsections (a)-(e), new subsections (g)-(i) and repealer and new Note filed 8-2-94; operative 9-1-94 (Register 94, No. 31).
3. Change without regulatory effect renumbering section 981 to section 4031 filed 6-28-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 26).
Article 3. Transfers
§982. Transfers of Concealable Firearms.
Note • History
NOTE
Authority cited: Sections 12072 and 12082, Penal Code. Reference: Sections 12071, 12072, 12078, 12082 and 12084, Penal Code.
HISTORY
1. New section filed 4-2-90; operative 5-2-90 (Register 90, No. 14).
2. New article 3, amendment of section and repealer and new Note filed 8-2-94; operative 9-1-94 (Register 94, No. 31).
3. Change without regulatory effect renumbering section 982 to section 4032 filed 6-28-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 26).
§982.1. Criteria for Processing Section 12082 Transactions.
Note • History
NOTE
Authority cited: Section 12082, Penal Code. Reference: Section 12071, 12072, 12073, 12076 and 12077, Penal Code.
HISTORY
1. New section filed 4-2-90; operative 5-2-90 (Register 90, No. 14).
2. Change without regulatory effect renumbering section 982.1 to section 4033 filed 6-28-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 26).
Note • History
NOTE
Authority cited: Section 12082, Penal Code. Reference: Section 12082, Penal Code.
HISTORY
1. New section filed 4-2-90; operative 5-2-90 (Register 90, No. 14).
2. Change without regulatory effect renumbering section 982.2 to section 4034 filed 6-28-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 26).
§982.3. Confidentiality of Records.
Note • History
NOTE
Authority cited: Section 12082, Penal Code. Reference: Section 1798.24, Civil Code.
HISTORY
1. New section filed 4-2-90; operative 5-2-90 (Register 90, No. 14).
2. Change without regulatory effect renumbering section 982.3 to section 4035 filed 6-28-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 26).
Article 4. Certificate of Eligibility
Note • History
NOTE
Authority cited: Sections 12070, 12071 and 12071.1, Penal Code. Reference: Sections 12021, 12021.1, 12070, 12071, 12071.1 and 12072, Penal Code; Sections 8100 and 8103, Welfare and Institutions Codes; and Title 27, Part 178.32, Code of Federal Regulations.
HISTORY
1. New article 4 and section filed 8-2-94; operative 9-1-94 (Register 94, No. 31).
2. Change without regulatory effect renumbering section 983 to section 4036 filed 6-28-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 26).
§983.1. Application for Certificate of Eligibility.
Note • History
NOTE
Authority cited: Sections 11105(i), 12070, 12071 and 12071.1, Penal Code. Reference: Sections 12021, 12021.1, 12070, 12071, 12071.1 and 12072, Penal Code; and Sections 8100 and 8103, Welfare and Institutions Codes; and Title 27, Part 178, Code of Federal Regulations.
HISTORY
1. New section filed 8-2-94; operative 9-1-94 (Register 94, No. 31).
2. Change without regulatory effect renumbering section 983.1 to section 4037 filed 6-28-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 26).
Note • History
NOTE
Authority cited: Sections 15376 and 15378, Government Code. Reference: Sections 15376 and 15378, Government Code.
HISTORY
1. New section filed 8-2-94; operative 9-1-94 (Register 94, No. 31).
2. Change without regulatory effect renumbering section 983.2 to section 4038 filed 6-28-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 26).
§984. Term of Certificate of Eligibility.
Note • History
NOTE
Authority cited: Sections 12070, 12071 and 12071.1, Penal Code. Reference: Sections 12070, 12071 and 12071.1, Penal Code.
HISTORY
1. New section filed 8-2-94; operative 9-1-94 (Register 94, No. 31).
2. Change without regulatory effect renumbering section 984 to section 4039 filed 6-28-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 26).
Note • History
NOTE
Authority cited: Section 12071, Penal Code. Reference: Sections 12071, 12071.1 and 12086, Penal Code; and Section 12101, Health and Safety Code.
HISTORY
1. New section filed 8-2-94; operative 9-1-94 (Register 94, No. 31).
2. Amendment of section and Note filed 11-1-2004 as an emergency; operative 11-1-2004 (Register 2004, No. 45). A Certificate of Compliance must be transmitted to OAL by 3-1-2005 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 11-1-2004 order transmitted to OAL 3-1-2005 and filed 4-11-2005 (Register 2005, No. 15).
4. Change without regulatory effect renumbering section 984.1 to section 4040 filed 6-28-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 26).
§985. Applicant Denial Review Process.
Note • History
NOTE
Authority cited: Sections 12070, 12071 and 12071.1, Penal Code. Reference: Sections 11121, 11126, 12070, 12071 and 12071.1, Penal Code.
HISTORY
1. New section filed 8-2-94; operative 9-1-94 (Register 94, No. 31).
2. Change without regulatory effect renumbering section 985 to section 4041 filed 6-28-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 26).
Chapter 13.4. Department of Justice Regulations for the Centralized List of Firearms Dealers
Article 1. Title, Scope, and Definitions
Note • History
NOTE
Authority cited: Section 12071, Penal Code. Reference: Sections 12071, 12073, 12076, 12077, 12078 and 12081, Penal Code; and Sections 178.124, 178.124a and 178.125, Code of Federal Regulations.
HISTORY
1. New chapter 13.4 (articles 1-4, sections 986-989), article 1 (sections 986-986.1) and section filed 7-28-99; operative 8-27-99 (Register 99, No. 31).
2. Change without regulatory effect renumbering division 1, chapter 13.4 (articles 1-4, sections 986-989) to division 5, chapter 2 (articles 1-4, sections 4016-4024) and renumbering section 986 to section 4016 filed 6-28-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 26).
§986.1. Definition of Key Terms.
Note • History
NOTE
Authority cited: Section 12071, Penal Code. Reference: Sections 12071, 12073, 12076, 12077, 12078 and 12081, Penal Code; and Sections 178.124, 178.124a and 178.125, Code of Federal Regulations.
HISTORY
1. New section filed 7-28-99; operative 8-27-99 (Register 99, No. 31).
2. Change without regulatory effect renumbering section 986.1 to section 4017 filed 6-28-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 26).
Article 2. Centralized List Applications, Fees, and Placement Terms
Note • History
NOTE
Authority cited: Section 12071, Penal Code. Reference: Section 12071, Penal Code.
HISTORY
1. New article 2 (sections 987-987.3) and section filed 7-28-99; operative 8-27-99 (Register 99, No. 31).
2. Change without regulatory effect renumbering section 987 to section 4018 filed 6-28-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 26).
Article 2. Centralized List Applications, Fees, and Placement Terms
Note • History
NOTE
Authority cited: Section 12071(f) and (g), Penal Code. Reference: Section 12071(f) and (g), Penal Code.
HISTORY
1. New section filed 7-28-99; operative 8-27-99 (Register 99, No. 31).
2. Amendment of subsection (b) filed 6-27-2002; operative 7-27-2002 (Register 2002, No. 26).
3. Change without regulatory effect renumbering section 987.1 to section 4019 filed 6-28-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 26).
Article 3. Compliance Inspections
§988. Firearms Dealer Inspections.
Note • History
NOTE
Authority cited: Section 12071, Penal Code. Reference: Sections 12070, 12071, 12072, 12073, 12076, 12077, 12078, 12081 and 12082, Penal Code; and Sections 178.124, 178.124a and 178.125, Code of Federal Regulations.
HISTORY
1. New article 3 (sections 988-988.1) and section filed 7-28-99; operative 8-27-99 (Register 99, No. 31).
2. Change without regulatory effect renumbering section 988 to section 4022 filed 6-28-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 26).
§988.1. Notification of Inspection Results and Corrective Action.
Note • History
NOTE
Authority cited: Section 12071, Penal Code. Reference: Section 12071, Penal Code.
HISTORY
1. New section filed 7-28-99; operative 8-27-99 (Register 99, No. 31).
2. Change without regulatory effect renumbering section 988.1 to section 4023 filed 6-28-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 26).
Article 4. Removal from Centralized List
§989. Removal from Centralized List.
Note • History
NOTE
Authority cited: Section 12071, Penal Code. Reference: Section 12071, Penal Code; and Chapter 5 (commencing with Section 11500) of Part 1 of Division 3 of Title 2 of the Government Code.
HISTORY
1. New article 4 (section 989) and section filed 7-28-99; operative 8-27-99 (Register 99, No. 31).
2. Change without regulatory effect renumbering section 989 to section 4024 filed 6-28-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 26).
Chapter 13.5. Department of Justice Regulations for the Check Cashers Permit Program.
Article 1. Title, Scope and Definitions
Note • History
This chapter shall be known as the “Department of Justice Regulations for the Check Cashers Permit Program,” may be cited as such and will be referred to herein as “these regulations.”
NOTE
Authority cited: Section 1789.37(f), Civil Code. Reference: Section 1789.37(f), Civil Code.
HISTORY
1. New chapter 13.5 (articles 1-4, sections 990-993.7), article 1 (sections 990-990.2) and section filed 4-30-96; operative 5-30-96 (Register 96, No. 18).
Note • History
The provisions of these regulations apply to the issuance and renewal of permits to conduct a check casher's business pursuant to Civil Code Section 1789.37.
NOTE
Authority cited: Section 1789.37(f), Civil Code. Reference: Section 1789.37(f), Civil Code.
HISTORY
1. New section filed 4-30-96; operative 5-30-96 (Register 96, No. 18).
§990.2. Definitions of Key Terms.
Note • History
(a) “Check Cashers Law” refers to Title 1.6F of the Civil Code.
(b) “Attorney General” means the Attorney General of the State of California.
(c) “Department” means the Department of Justice of the State of California.
(d) “Director” means the Director of the Division of Criminal Justice Information Services, Department of Justice, State of California.
(e) “Administrative Hearing Officer” means an individual designated by the Director to conduct the hearing.
(f) “Mobile unit” means a vehicle or other movable means from which the business of cashing checks is conducted.
(g) “Permit” refers to both a check casher permit where business is conducted from a fixed location and a mobile check casher permit where business is conducted from a mobile unit.
(h) “Applicant” means any individual, partnership, or corporation applying to obtain or renew a permit.
(i) “Principal corporate officers” means the President, Vice-President, Secretary, and Treasurer of a corporation or persons with equivalent titles and duties.
(j) “Permittee” means any individual, partnership, or corporation holding a valid permit issued by the Department.
NOTE
Authority cited: Section 1789.37(f), Civil Code. Reference: Section 1789.37(f), Civil Code.
HISTORY
1. New section filed 4-30-96; operative 5-30-96 (Register 96, No. 18).
Article 2. Application for Permits and Renewals
Note • History
No person shall conduct a check casher's business in this state unless he or she has been granted a permit by the Department.
NOTE
Authority cited: Section 1789.37(a), Civil Code. Reference: Section 1789.37(a), Civil Code.
HISTORY
1. New article 2 (sections 991-991.5) and section filed 4-30-96; operative 5-30-96 (Register 96, No. 18).
§991.1 Initial Application.
Note • History
(a) An initial application for a permit (Form BCIA 4130, Rev. 4/96) shall be in writing, under oath, and shall contain identifying and background information for the applicant and the business, as well as the following where applicable: identifying and background information for the co-owner spouse; identifying and background information for every partner; identifying and background information for every principal officer and persons owning or controlling, directly or indirectly, 10 percent or more of the outstanding equity securities of the corporation.
(b) If the business is to be conducted from a mobile unit, the applicant shall also complete and file a supplemental application (Form BCIA 4000, Rev. 4/96) which shall contain the California Department of Motor Vehicles registration number and other identifying information for such mobile unit.
NOTE
Authority cited: Sections 1789.37(b) and 1789.37(f), Civil Code. Reference: Sections 1789.37(b) and 1789.37(f), Civil Code.
HISTORY
1. New section filed 4-30-96; operative 5-30-96 (Register 96, No. 18).
§991.2 Fingerprints Required.
Note • History
Every initial or first-time application for a permit shall be accompanied by a completed ten-print fingerprint card for each individual who has an ownership interest in the business. For purposed of this section, individuals who have an ownership interest in the business include sole proprietors, co-owner spouses, partners, principal corporate officers and persons owning or controlling, directly or indirectly, 10 percent or more of the outstanding equity securities of a corporation.
NOTE
Authority cited: Sections 1789.37(b) and 1789.37(f), Civil Code. Reference: Sections 1789.37(b) and 1789.37(f), Civil Code.
HISTORY
1. New section filed 4-30-96; operative 5-30-96 (Register 96, No. 18).
§991.3. Fees; Nonrefundability.
Note • History
(a) Each application for a permit shall be accompanied by the appropriate fee as follows:
(1) Initial Application:
(A) Processing fee of $50 for each business location, and
(B) Fingerprint card processing fee of $32 for each individual.
(2) Renewal Application: Processing fee of $50 for each business location.
(b) The fees are not refundable if an application is denied or withdrawn.
NOTE
Authority cited: Sections 1789.37(c), 1789.37(d) and 1789.37(f), Civil Code. Reference: Sections 789.37(c), 1789.37(d) and 1789.37(f), Civil Code.
HISTORY
1. New section filed 4-30-96; operative 5-30-96 (Register 96, No. 18).
Note • History
(a) Each applicant for renewal of a permit shall complete and file with the Department, not less than 30 days prior to expiration of the permit, a renewal application for check casher permit (Form BCIA 4132, Rev. 4/96) or a renewal application for mobile check casher permit (Form BCIA 4001, Rev. 4/96), and shall include any changes in information indicated on the initial application.
(b) A penalty of 50 percent of the the permit renewal fee shall be assessed in cases where, the renewal application is not received in the Department's office or does not have a first postmark dated on or before 30 days prior to expiration of the existing permit.
(c) An application for renewal of a permit may be denied for any of the reasons listed under Sections 993 and 993.1.
(d) If the Department denies renewal of a permit, the Department shall provide the permittee with a Notice of Denial Of Renewal in accordance with Section 993.2.
NOTE
Authority cited: Sections 1789.37(d), 1789.37(e) and 1789.37(f), Civil Code. Reference: Sections 789.37(d), 1789.37(e) and 1789.37(f), Civil Code.
HISTORY
1. New section filed 4-30-96; operative 5-30-96 (Register 96, No. 18).
Note • History
(a) The following time standards apply to the processing of applications for issuance or renewal of a permit.
(1) Within 30 days after the date of receipt of an initial or renewal application, the Department shall either inform the applicant in writing that the application is complete and accepted for processing, or return the application as deficient and specify what additional information is required.
(2)(A) Within 120 days from the date of receipt of a completed initial or first-time application for a permit, the Department shall complete the processing of the application.
(B) Within 60 days from the date of receipt of a completed application for a renewal of a permit, the Department shall complete the processing of the application.
(b) If the Department fails to meet the time period for the processing of an initial or a renewal permit, the applicant, within 30 days from the date of the notice of the final decision granting or denying the application, may apply in writing for a full reimbursement of all application fees. The Department shall respond within 10 days of receipt of a request for reimbursement; and, if the reimbursement is denied by the Department, the applicant may directly appeal the denial in writing to the Attorney General. The appeal shall set forth a concise statement of facts and chronology of events regarding the application.
(c) An appeal concerning an application in which reimbursement is denied must be filed within 30 days from the date of the notice of denial. The appeal shall promptly be reviewed and a decision shall be issued, within 30 days from the date of receipt of the appeal, after conducting any investigation of the matter which the Attorney General deems appropriate. This appeal shall be decided in the applicant's favor if the Department has exceeded its maximum time period for the issuance or denial of the permit and the Department has failed to establish good cause for exceeding the time period. The Department shall include the information regarding this appeal process with all permit applications.
NOTE
Authority cited: Sections 15376 and 15378, Government Code. Reference: Sections 15376 and 15378, Government Code.
HISTORY
1. New section filed 4-30-96; operative 5-30-96 (Register 96, No. 18).
Article 3. Permits
§992. Information Stated on Permit.
Note • History
(a) On the approval of an application for a check casher permit where business is conducted from a fixed location, the Department shall issue an original permit endorsed to show the name of the permittee, and if the permittee is a partnership, the names of its general partners, and if a corporation, its incorporation name. In all cases, the permit shall show the business name, the street address, the permit number, and the expiration date.
(b) On the approval of an application for a mobile check casher permit where business is conducted from a mobile unit, the Department shall issue an original permit endorsed to show name of the permittee, and if the permittee is a partnership, the names of its general partners, and if a corporation, its incorporation name. In all cases, the permit shall show the business name, the California Department of Motor Vehicles registration number, the vehicle identification number, the manufacturer, the model, the year of manufacturing, the permit number, and the expiration date.
NOTE
Authority cited: Section 1789.37(f), Civil Code. Reference: Section 1789.37(f), Civil Code.
HISTORY
1. New article 3 (sections 992-992.8) and section filed 4-30-96; operative 5-30-96 (Register 96, No. 18).
§992.1. Posting or Safekeeping of Permit.
Note • History
(a) The check casher permit for a fixed business location shall be conspicuously posted in the place of business authorized by the permit.
(b) The mobile check casher permit for a mobile unit shall be kept with the California Department of Motor Vehicles registration in the vehicle.
NOTE
Authority cited: Section 1789.37(f), Civil Code. Reference: Section 1789.37(f), Civil Code.
HISTORY
1. New section filed 4-30-96; operative 5-30-96 (Register 96, No. 18).
Note • History
Permits issued under these regulations remain in effect for one year from the date of issuance or until they are surrendered or revoked.
NOTE
Authority cited: Section 1789.37(d), Civil Code. Reference: Section 1789.37(d), Civil Code.
HISTORY
1. New section filed 4-30-96; operative 5-30-96 (Register 96, No. 18).
Note • History
The Department may issue a duplicate of a permit that has been lost, stolen, or for a certificate which the permittee desires to replace, upon written notice and satisfactory proof of such loss, theft, or destruction, or upon surrender of a certificate for replacement and the payment of a fee of five dollars ($5).
NOTE
Authority cited: Section 1789.37(f), Civil Code. Reference: Section 1789.37(f), Civil Code.
HISTORY
1. New section filed 4-30-96; operative 5-30-96 (Register 96, No. 18).
§992.4. Transaction of Business under Name, Location, or Mobile Unit Not Named in Permit.
Note
No permittee shall transact the business under any other name, at any place of business or from any mobile unit other than that named in the permit.
NOTE
Authority cited: Sections 1789.37(a) and 1789.37(f), Civil Code. Reference: Sections 1789.37(a) and 1789.37(f), Civil Code.
§992.5. Nontransferability of Permit.
Note • History
The permit is not transferable or assignable.
NOTE
Authority cited: Sections 1789.37(a) and 1789.37(f), Civil Code. Reference: Sections 1789.37(a) and 1789.37(f), Civil Code.
HISTORY
1. New section filed 4-30-96; operative 5-30-96 (Register 96, No. 18).
§992.6. Change of Business Location or Mobile Unit; Notice to Department.
Note • History
Whenever a permittee desires to change his or her place of business to a street address or from a mobile unit other than that designated on his or her permit, he or she shall give written notice to the Department at least ten days prior to the change. Upon receipt of the notice and payment of a fee of five dollars ($5), the Department shall issue a new permit reflecting the changes.
NOTE
Authority cited: Section 1789.37(f), Civil Code. Reference: Section 1789.37(f), Civil Code.
HISTORY
1. New section filed 4-30-96; operative 5-30-96 (Register 96, No. 18).
§992.7. Notice of Termination.
Note • History
Within ten days after the termination of business from a fixed location or a mobile unit, a permittee shall inform the Department of the name and address of the business location terminated or the California Department of Motor Vehicles registration number of the mobile unit terminated, together with the permit number and a statement of the reasons for the termination.
NOTE
Authority cited: Section 1789.37(f), Civil Code. Reference: Section 1789.37(f), Civil Code.
HISTORY
1. New section filed 4-30-96; operative 5-30-96 (Register 96, No. 18).
Note • History
Any permittee may surrender any permit by submitting to the Department written notice that the permittee surrenders that permit. Surrender of the permit does not affect the permittee's civil or criminal liability for acts committed prior to surrender of permit.
NOTE
Authority cited: Section 1789.37(f), Civil Code. Reference: Section 1789.37(f), Civil Code.
HISTORY
1. New section filed 4-30-96; operative 5-30-96 (Register 96, No. 18).
Article 4. Denial, Revocation, and Appeal Process
§993. Denial of Application; Failure to Respond; Opportunity to be Heard.
Note • History
(a) The Department may, upon reasonable notice and opportunity to be heard, deny an application for reasons including, but not limited to:
(1) A false statement of a material fact has been made in the application.
(2) The applicant violates any provisions of the Check Cashers Law or regulations.
(3) The applicant or any partner, co-owner spouse, officer, or person owning or controlling, directly or indirectly, 10 percent or more of the outstanding interests or equity securities of the applicant's corporation has been convicted of a felony described in Civil Code Section 1789.37(e).
(b) The application shall be considered withdrawn within the meaning of this section if the applicant fails to respond within 90 days of the date of the notification.
(c) When an application is denied, the Department shall provide the applicant with a notice which specify all causes which the denial of application is based.
(d) When an application is denied, the applicant may file, within 30 days from the date of the notice of denial, a written request for reconsideration by an Administrative Hearing Officer. Such request may include any and all evidence and legal arguments which applicant feels is relevant to a reconsideration of the application. The Department shall provide the applicant with a written notice of its final decision within 60 days of the time the request for reconsideration is received.
NOTE
Authority cited: Sections 1789.37(b), 1789.37(e) and 1789.37(f), Civil Code. Reference: Sections 1789.37(b), 1789.37(e) and 1789.37(f), Civil Code.
HISTORY
1. New article 4 (sections 993-993.7) and section filed 4-30-96; operative 5-30-96 (Register 96, No. 18).
§993.1. Revocation of Permit; Reasons.
Note • History
(a) The Department may, upon reasonable notice and opportunity to be heard, suspend or revoke any permit issued pursuant to this division. Reasons for revocation of permit include, but are not limited to:
(1) The permittee or any partner, co-owner spouse, officer, or person owning or controlling, directly or indirectly, 10 percent or more of the outstanding interests or equity securities of the permittee's corporation is convicted of a felony described in Civil Code Section 1789.37(e).
(2) Any fact or condition exists which, if it had existed at time of the original application for such permit, reasonably would have warranted the Department in refusing originally to issue such permit.
(3) The permittee violates any provisions of the Check Cashers Law or regulations.
NOTE
Authority cited: Sections 1789.37(b), 1789.37(e) and 1789.37(f), Civil Code. Reference: Sections 1789.37(b), 1789.37(e) and 1789.37(f), Civil Code.
HISTORY
1. New section filed 4-30-96; operative 5-30-96 (Register 96, No. 18).
2. Editorial correction of section number (Register 2008, No. 18).
§993.2. Notice of Revocation or Notice of Denial of Renewal.
Note • History
(a) The Department shall provide the permittee with a Notice of Intent to Revoke or Notice of Denial of Renewal which shall specify all causes on which the revocation or denial of renewal is based.
(b) A permittee who has been served with a Notice of Intent to Revoke or Notice of Denial of Renewal may file, within 30 days from the date of the notice, a written answer to the notice, which answer shall be deemed a denial of all the allegations in the notice not expressly admitted.
(c) A permittee may request a hearing in his or her answer to the notice or no later than 30 days from the date of Notice of Revocation or Notice of Denial of Renewal. If a hearing is requested, the Department shall take no revocation action until completion of hearing proceedings pursuant to Section 993.4 of these regulations.
(d) Failure to make a written request for a hearing within the time period specified in subdivision (b) constitutes a waiver of the right to a hearing.
(e) If the permittee fails to answer within the time specified in subdivision (b) or, after answer, withdraws his appeal, the action taken by the Department shall be final.
NOTE
Authority cited: Section 1789.37(f), Civil Code. Reference: Section 1789.37(f), Civil Code.
HISTORY
1. New section filed 4-30-96; operative 5-30-96 (Register 96, No. 18).
§993.3. Reapplying After Denial or Revocation of Permit.
Note • History
An applicant whose permit was denied or revoked may reapply at such time as he or she can provide satisfactory proof that the reason(s) for denial or revocation is no longer valid or has been corrected.
NOTE
Authority cited: Sections 1789.37(e) and 1789.37(f), Civil Code. Reference: Sections 1789.37(e) and 1789.37(f), Civil Code.
HISTORY
1. New section filed 4-30-96; operative 5-30-96 (Register 96, No. 18).
§993.4. Administrative Hearing.
Note • History
(a) If a hearing is requested by the permittee, a hearing shall be held within 30 days unless time is waived by the permittee. The hearing shall be conducted by the Department's Administrative Hearing Officer. The hearing officer shall not have participated in the decision to grant, deny, or revoke the permit that is the subject of a hearing before him or her.
(b) The permittee shall be given the opportunity to be heard and to be represented by counsel during any hearing proceedings.
(c) An Administrative Hearing Officer shall voluntarily disqualify himself or herself and withdraw from any case in which he or she cannot accord a fair and impartial hearing or consideration. Any party may request the disqualification of the Administrative Hearing Officer by filing an affidavit, prior to the taking of evidence at a hearing, stating with particularity the grounds upon which it is claimed that a fair and impartial hearing cannot be accorded. The issue shall be determined by another Administrative Hearing Officer.
(d) The proceedings at the hearing shall be reported by a phonographic reporter, except that, upon the consent of all the parties, the proceedings may be reported electronically.
NOTE
Authority cited: Section 1789.37(f), Civil Code. Reference: Section 1789.37(f), Civil Code; sections 11512(c) and 11512(d), Government Code.
HISTORY
1. New section filed 4-30-96; operative 5-30-96 (Register 96, No. 18).
§993.5. Time and Place of Administrative Hearing.
Note • History
The Department shall notify the permittee of the time and place of hearing. Failure of the permittee to appear at the hearing shall be deemed a withdrawal of his answer and the action of the Department shall be final.
NOTE
Authority cited: Section 1789.37(f), Civil Code. Reference: Section 1789.37(f), Civil Code.
HISTORY
1. New section filed 4-30-96; operative 5-30-96 (Register 96, No. 18).
Note • History
(a) Oral evidence shall be taken only on oath or affirmation.
(b) Each party shall have these rights: to call and examine witnesses; to introduce exhibits; to cross-examine opposing witnesses on any matter relevant to the issues even though that matter was not covered in the direct examination; to impeach any witness regardless of which party first called him or her to testify; and to rebut the evidence against him or her. If respondent does not testify in his own behalf he or she may be called and examined as if under cross-examination.
(c) The hearing need not be conducted according to technical rules relating to evidence and witnesses. Any relevant evidence shall be admitted if it is the sort 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 improper the admission of the evidence over objection in civil actions. Hearsay evidence may be used for the purpose of supplementing or explaining other evidence but shall not be sufficient in itself to support a finding unless it would be admissible over objection in civil actions.
NOTE
Authority cited: Section 1789.37(f), Civil Code. Reference: Section 1789.37(f), Civil Code; Sections 11513(a), 11513(b) and 11513(c), Government Code.
HISTORY
1. New section filed 4-30-96; operative 5-30-96 (Register 96, No. 18).
Note • History
The Administrative Hearing Officer shall prepare a Proposed Decision in such a form that it may be adopted as the decision in the case. A copy of the proposed decision shall be furnished to the permittee and the Director no later than 20 days after the hearing. The Director may adopt the decision in its entirety or may decide the case upon the record with or without taking additional evidence. The permittee shall be notified of the Director's decision with 30 days of the hearing or within 30 days of the taking of additional evidence, whichever is later.
NOTE
Authority cited: Section 1789.37(f), Civil Code. Reference: Section 1789.37(f), Civil Code.
HISTORY
1. New section filed 4-30-96; operative 5-30-96 (Register 96, No. 18).
Chapter 13.6. Department of Justice Regulations for the Certification of Non-Exempted Individuals Who Take Fingerprint Impressions
Article 1. General
Note • History
This chapter shall be known as the “Department of Justice Regulations for the Certification of Non-Exempted Individuals Who Take Fingerprint Impressions,” may be cited as such and will be referred to herein as “these regulations.”
NOTE
Authority cited: Section 11102.1, Penal Code. Reference: Section 11102.1, Penal Code.
HISTORY
1. New chapter 13.6 (articles 1-5), article 1 (sections 994-994.2) and section filed 11-12-2003; operative 11-12-2003 pursuant to Government Code section 11343.4 (Register 2003, No. 46).
Note • History
The provisions of these regulations implement, interpret, and make specific the mandate in California Penal Code section 11102.1 which became effective January 1, 2003. The mandate requires the Department to certify individuals who take fingerprint impressions for criminal offender record information (CORI) clearances for employment, licensing, and certification purposes. Individuals who are law enforcement personnel, or who are state employees who have received training pertaining to applicant fingerprinting and have undergone a criminal offender record information background investigation are exempted from these regulations. These regulations also establish procedures for the application form and for the issuance of the required certification number and notification process. These regulations also set forth appeal procedures if the application is denied, suspended, or revoked.
NOTE
Authority cited: Section 11102.1, Penal Code. Reference: Section 11102.1, Penal Code.
HISTORY
1. New section filed 11-12-2003; operative 11-12-2003 pursuant to Government Code section 11343.4 (Register 2003, No. 46).
2. Amendment filed 10-7-2010; operative 11-6-2010 (Register 2010, No. 41).
§994.2. Definitions of Key Terms.
Note • History
(a) “Administrative Hearing Officer” means an individual designated by the Director to conduct any hearing required under these regulations.
(b) “Applicant Live Scan” means a system for the electronic submission of applicant fingerprints.
(c) “Attorney General” means the Attorney General of the State of California.
(d) “CDL or California Driver's License” means a license to drive a vehicle issued by the California Department of Motor Vehicles, which may be used as evidence of identity, age, and residence.
(e) “CA ID or California Identification” means a form of identification issued by the California Department of Motor Vehicles, which may be used as evidence of identity, age, and residence.
(f) “CORI or Criminal Offender Record Information” means the same as defined in Penal Code section 13102.
(g) “Director” means the Director of the Division of California Justice Information Services, Department of Justice, State of California.
(h) “DMV” means the California Department of Motor Vehicles.
(i) “DOJ” means the California Department of Justice.
(j) “Non-Exempted Individuals” means those individuals not exempted from the certification requirements of these regulations as specified in Penal Code section 11102.1(2)(A)(B).
(k) “SSN” means the Social Security Number as issued by the United States Social Security Administration.
NOTE
Authority cited: Section 11102.1, Penal Code. Reference: Section 17520, Family Code; Section 11425.30, Government Code; and Sections 11102.1, 13102 and 13125, Penal Code.
HISTORY
1. New section filed 11-12-2003; operative 11-12-2003 pursuant to Government Code section 11343.4 (Register 2003, No. 46).
2. Amendment of subsections (b), (g), (i) and (j) filed 10-7-2010; operative 11-6-2010 (Register 2010, No. 41).
Article 2. Qualifications and Application for Certification
§994.3. Qualifications for Certification.
Note • History
Every applicant for certification pursuant to these regulations shall meet the qualifications criteria as specified in Penal Code section 11102.1.
NOTE
Authority cited: Section 11102.1, Penal Code. Reference: Section 11102.1, Penal Code.
HISTORY
1. New article 2 (sections 994.3-994.5) and section filed 11-12-2003; operative 11-12-2003 pursuant to Government Code section 11343.4 (Register 2003, No. 46).
§994.4. Application for Certification.
Note • History
Any individual who desires to apply for certification under these regulations can access the BCIA 8372 (rev. 07/10) “Application for Certification for Non-Exempted Individuals to Take Fingerprint Impressions,” on the Attorney General's website, located under the Fingerprint Submissions heading. Also on the Attorney General's website are pre-certification materials that each applicant may review prior to submitting the application. This Form is incorporated herein by reference.
The application form shall contain the following information:
(a) The full name, date of birth, address, including the city, county and zip code, and telephone number of the person applying for certification.
(b) The California Driver's License number on a valid California Driver's License issued by the DMV, or a California ID number on a valid identification card issued by the DMV.
(c) The SSN of the person applying for certification.
(d) A yes or no answer to the following questions. Except in item (1), in any case where a yes answer is given, an explanation must be provided in the space provided on the application:
(1) Are you a California resident?
(2) Have you ever used a name other than the one on this application?
(3) Have you ever been convicted by any court of a felony or misdemeanor offense in California or any other state?
(4) Have you ever been arrested in California or any other state and/or are you awaiting adjudication for any offense for which you were arrested?
(5) Have you ever been denied a professional license or had such license revoked, suspended, or restricted?
(6) Have you ever been adjudged liable for damages in any suit grounded in fraud, misrepresentation, or in violation of state regulatory laws?
(7) Have you ever failed to satisfy any court ordered money judgment including restitution?
(e) Applicant must sign under penalty of perjury and certify on the application to the following: “I certify that I have read the pre-certification materials provided by the DOJ. I certify under penalty of perjury under the laws of the State of California to the truth and accuracy of all statements, answers, and representations made in the foregoing application, including all supplementary statements.”
(f) Misrepresentation or failure to disclose requested information on the application for certification is cause for denial or revocation of certification.
NOTE
Authority cited: Section 11102.1, Penal Code. Reference: Section 17520, Family Code; and Sections 11102.1 and 13125, Penal Code.
HISTORY
1. New section filed 11-12-2003; operative 11-12-2003 pursuant to Government Code section 11343.4 (Register 2003, No. 46).
2. Amendment of introductory paragraph, repealer of subsection (f) and subsection relettering filed 10-7-2010; operative 11-6-2010 (Register 2010, No. 41).
§994.5. Submission of Application, Fingerprints and Fees.
Note • History
(a) The applicant shall send a completed application to the DOJ.
(b) The applicant shall have his/her fingerprint impressions taken through the electronic (live scan) capture process.
(c) All fees for the certification must be paid directly to the agency providing the live scan services. An additional fingerprint rolling fee will be collected.
NOTE
Authority cited: Section 11102.1, Penal Code. Reference: Section 11102.1, Penal Code.
HISTORY
1. New section filed 11-12-2003; operative 11-12-2003 pursuant to Government Code section 11343.4 (Register 2003, No. 46).
2. Amendment filed 10-7-2010; operative 11-6-2010 (Register 2010, No. 41).
Article 3. Certification Letter
§994.6. Certification by the DOJ.
Note • History
(a) When the fingerprints have been processed and the application for certification has been approved. The applicant will be notified that the application has been accepted and certified. The notice, which will include the certification number, will serve as confirmation that the person has been certified by the DOJ to take fingerprint impressions of individuals for employment, licensing, and certification purposes.
(b) The certification number assigned in (a) above will be required on all fingerprints submitted by the certified individual.
NOTE
Authority cited: Section 11102.1, Penal Code. Reference: Section 11102.1, Penal Code.
HISTORY
1. New article 3 (sections 994.6-994.9) and section filed 11-12-2003; operative 11-12-2003 pursuant to Government Code section 11343.4 (Register 2003, No. 46).
2. Amendment filed 10-7-2010; operative 11-6-2010 (Register 2010, No. 41).
§994.7. Duration of Certification.
Note • History
Certifications issued pursuant to these regulations remain in effect for the lifetime of the individual certified or until they are surrendered, revoked, or suspended for cause.
NOTE
Authority cited: Section 11102.1, Penal Code. Reference: Section 11102.1, Penal Code.
HISTORY
1. New section filed 11-12-2003; operative 11-12-2003 pursuant to Government Code section 11343.4 (Register 2003, No. 46).
§994.8. Non-Transferability of Certification.
Note • History
The certification is not transferable or assignable to another individual or to an entity.
NOTE
Authority cited: Section 11102.1, Penal Code. Reference: Section 11102.1, Penal Code.
HISTORY
1. New section filed 11-12-2003; operative 11-12-2003 pursuant to Government Code section 11343.4 (Register 2003, No. 46).
Article 4. Processing Times and Appeals
Note • History
The following time standards will apply to the processing of applications for certification if individuals who take fingerprint impressions:
(a) Within 30 days after the date of receipt of an application for certification, the DOJ shall notify the applicant in writing that the application has been received and is being processed as complete, or that the application is deficient. If the application is deficient, the written notice will specify what specific additional information is required.
(b) Within 120 days after the receipt of a completed application, and other documents as specified in section 994.5 of these regulations, the DOJ shall complete the processing of the application and forward a certification notice as specified in section 994.6 of these regulations. If after processing the application the applicant has been determined to not meet the requirements for certification, the DOJ shall notify the applicant that the application has been denied along with a statement of reasons on which the denial is based.
NOTE
Authority cited: Section 11102.1, Penal Code. Reference: Section 11102.1, Penal Code.
HISTORY
1. New section filed 11-12-2003; operative 11-12-2003 pursuant to Government Code section 11343.4 (Register 2003, No. 46).
2. Repealer of former section 994.9, relocation of article 4 from preceding section 994.10 to precede section 994.9 and renumbering and amendment of former section 994.10 to section 994.9 filed 10-7-2010; operative 11-6-2010 (Register 2010, No. 41).
§994.10. Processing Time Appeal Process.
Note • History
(a) If the DOJ fails to meet the time period for concluding the processing of an application for certification, the applicant may apply in writing for la full refund of all applicable fees. The request must be received by the DOJ within 30 days from the date of service of the final decision granting or denying the certification.
(b) The DOJ shall respond within 10 days from the date of receipt of a request for refund.
(c) If the refund is denied by the DOJ, the applicant may directly appeal the denial in writing to the Director. The appeal must be filed within 20 days from the date of service of the refund denial from the DOJ. The appeal shall set forth a concise statement of facts and chronology of events regarding the application for certification.
(d) An appeal in subsection (c) of this section will promptly be reviewed, and a decision will be issued within 30 days from the completion of any investigation which the Director deems appropriate. The appeal in subsection (c) of this section will be decided in the applicant's favor if the DOJ has exceeded its maximum time period for the issuance or denial of the application for certification, and the DOJ has failed to establish good cause for exceeding this time period.
(e) The DOJ shall include information regarding this appeal process with all denial notices.
NOTE
Authority cited: Section 11102.1, Penal Code. Reference: Section 11102.1, Penal Code.
HISTORY
1. New article 4 (sections 994.10-994.11) and section filed 11-12-2003; operative 11-12-2003 pursuant to Government Code section 11343.4 (Register 2003, No. 46).
2. Relocation of article 4 from preceding section 994.10 to precede section 994.9, renumbering of former section 994.10 to section 994.9 and renumbering and amendment of former section 994.11 to section 994.10 filed 10-7-2010; operative 11-6-2010 (Register 2010, No. 41).
Article 5. Procedures for Denial of an Application, and Suspension or Revocation of an Existing Certification
§994.11. Denial, Revocation or Suspension of Existing Certification.
Note • History
(a) The DOJ may deny an application for certification, or may suspend or revoke an existing certification, for reasons as specified in Penal Code section 11102.1.
(b) When an application is denied, or existing certification is suspended or revoked, the DOJ shall provide the applicant with a written notice which will specify all causes on which the denial, suspension, or revocation is based.
(c) When an application is denied, or when an existing certification is suspended or revoked, the applicant may file, within 30 days from the date of the written notification of the denial, suspension, or revocation, a written request for reconsideration by an Administrative Hearing Officer. Such requests may include any and all evidence and legal arguments which the applicant feels is relevant to a reconsideration of the application, suspension or revocation. The DOJ shall provide the applicant with a written notice of its final decision within 60 days of the time the request for reconsideration is received.
NOTE
Authority cited: Section 11102.1, Penal Code; and Section 11400.20, Government Code. Reference: Section 11102.1, Penal Code; and Sections 11445.10-11445.60, Government Code.
HISTORY
1. New section filed 11-12-2003; operative 11-12-2003 pursuant to Government Code section 11343.4 (Register 2003, No. 46).
2. Renumbering of former section 994.11 to section 994.10, relocation of article 5 from preceding section 994.12 to precede section 994.11 and renumbering and amendment of former section 994.12 to section 994.11 filed 10-7-2010; operative 11-6-2010 (Register 2010, No. 41).
§994.12. Administrative Hearing.
Note • History
(a) If an administrative hearing is requested by the applicant, or the person with an existing certification that has been suspended or revoked, a hearing shall be held within 30 days unless a later date is requested by the person requesting the hearing. The hearing shall be conducted by an Administrative Hearing Officer appointed by the DOJ. The hearing officer shall not have participated in the decision to deny the application for certification or in suspending or revoking the existing certification that is the subject of the hearing before him or her.
(b) The person whose application has been denied or whose existing certification has been suspended or revoked shall be given the opportunity to be heard and to be represented by counsel during any hearing proceedings.
(c) An Administrative Hearing Officer shall disqualify himself or herself and withdraw from any case in which he or she cannot accord a fair and impartial hearing or consideration. Any party may request the disqualification of the Administrative Hearing Officer by filing an affidavit, prior to the taking of evidence at a hearing, stating with particularity the grounds upon which it is claimed that a fair and impartial hearing cannot be accorded. The issue shall be determined by another Administrative Hearing Officer appointed by the DOJ.
(d) The proceedings at the hearing shall be reported by a certified shorthand reporter, except that, upon the consent of all the parties, the proceedings may be reported electronically.
NOTE
Authority cited: Section 11102.1, Penal Code; and Section 11400.20, Government Code. Reference: Section 11102.1, Penal Code; and Sections 11445.10-11445.60, Government Code.
HISTORY
1. New article 5 (sections 994.12-994.16) and section filed 11-12-2003; operative 11-12-2003 pursuant to Government Code section 11343.4 (Register 2003, No. 46).
2. Relocation of article 5 from preceding section 994.12 to precede section 994.11, renumbering of former section 994.12 to section 994.11 and renumbering and amendment of former section 994.13 to section 994.12 filed 10-7-2010; operative 11-6-2010 (Register 2010, No. 41).
§994.13. Time and Place of Administrative Hearing.
Note • History
The DOJ shall notify the person requesting the hearing of the time and place of the hearing. Failure of the person requesting the hearing to appear at the hearing shall be deemed a withdrawal of the request for the hearing and the action of the DOJ shall be final.
NOTE
Authority cited: Section 11102.1, Penal Code; and Section 11400.20, Government Code. Reference: Section 11102.1, Penal Code; and Sections 11445.10-11445.60, Government Code.
HISTORY
1. New section filed 11-12-2003; operative 11-12-2003 pursuant to Government Code section 11343.4 (Register 2003, No. 46).
2. Renumbering of former section 994.13 to section 994.12 and renumbering and amendment of former section 994.14 to section 994.13 filed 10-7-2010; operative 11-6-2010 (Register 2010, No. 41).
Note • History
(a) Oral evidence shall be taken only on oath or affirmation.
(b) Each party shall have these rights: to call and examine witnesses; to introduce exhibits; to cross-examine opposing witnesses on any matter relevant to the issues even though that matter was not covered in the direct examination; to impeach any witness regardless of which party first called him or her to testify; and to rebut the evidence against him or her. If the person requesting the hearing does not testify on his or her own behalf, he or she may be called and examined as if under cross-examination.
(c) The hearing need not be conducted according to technical rules relating to evidence and witnesses. Any relevant evidence shall be admitted if it is the sort 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 improper the admission of the evidence over objection in civil actions. Hearsay evidence may be used for the purpose of supplementing or explaining other evidence but shall not be sufficient in itself to support a finding unless it would be admissible over objection in civil actions.
NOTE
Authority cited: Section 11102.1, Penal Code; and Section 11400.20, Government Code. Reference: Section 11102.1, Penal Code; and Sections 11445.10-11445.60, Government Code.
HISTORY
1. New section filed 11-12-2003; operative 11-12-2003 pursuant to Government Code section 11343.4 (Register 2003, No. 46).
2. Renumbering of former section 994.14 to section 994.13 and renumbering of former section 994.15 to section 994.14 filed 10-7-2010; operative 11-6-2010 (Register 2010, No. 41).
Note • History
The Administrative Hearing Officer shall prepare a Proposed Decision in such a form that it may be adopted as the decision in the case. A copy of the proposed decision shall be furnished to the person requesting the hearing and the Director no later than 20 days after the hearing. The Director may adopt the decision in its entirety or may decide the case upon the record with or without taking additional evidence. The person requesting the hearing shall be notified of the Director's decision within 30 days of the hearing or within 30 days of the taking of additional evidence, whichever is later.
NOTE
Authority cited: Section 11102.1, Penal Code; and Section 11400.20, Government Code. Reference: Section 11102.1, Penal Code; and Sections 11445.10-11445.60, Government Code.
HISTORY
1. New section filed 11-12-2003; operative 11-12-2003 pursuant to Government Code section 11343.4 (Register 2003, No. 46).
2. Renumbering of former section 994.15 to section 994.14 and renumbering of former section 994.16 to section 994.15 filed 10-7-2010; operative 11-6-2010 (Register 2010, No. 41).
Note • History
NOTE
Authority cited: Section 11102.1, Penal Code; and Section 11400.20, Government Code. Reference: Section 11102.1, Penal Code; and Sections 11445.10-11445.60, Government Code.
HISTORY
1. New section filed 11-12-2003; operative 11-12-2003 pursuant to Government Code section 11343.4 (Register 2003, No. 46).
2. Renumbering of former section 994.16 to section 994.15 filed 10-7-2010; operative 11-6-2010 (Register 2010, No. 41).
Chapter 13.7. Regulations for Olympic Pistol Exemptions [Renumbered]
HISTORY
1. Change without regulatory effect renumbering division 1, chapter 13.7 (section 995) to division 5, chapter 38 (section 5455) filed 6-28-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 26).
Chapter 13.8. Evidence of Residency Documentation [Renumbered]
HISTORY
1. Change without regulatory effect renumbering division 1, chapter 13.8 (section 996) to division 5, chapter 4 (section 4045) filed 6-28-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 26).
Chapter 14. Forensic Alcohol and Drug Analysis
§997. Collection and Disbursement of Fines.
Note • History
(a) Scope. This section shall apply to the method of collection and disbursement of fines pursuant to Penal Code Section 1463.14 to be used exclusively to pay for the cost of performing for the county, or a city within the county, analysis of blood, breath or urine for alcohol content or for the presence of controlled substances, or for services related to such testing.
(b) Collection of Fines. Commencing on November 1, 1978, and for each monthly period thereafter, the administrative officer or clerk of each court shall advise the county auditor of the number of convictions for violations of Vehicle Code Section 23101, 23102, 23103, 23104, 23105, and 23106, which have occurred in that court on or after September 18, 1978, and have not been previously reported, together with sufficient information pertaining to the underlying arrest to permit distribution of remaining funds as authorized by Penal Code Section 1463.14.
(c) Establishing a Special Account. Commencing on November 1, 1978, and for each monthly period thereafter, from the funds received by the county auditor pursuant to Penal Code Section 1463, the county auditor shall deposit to the special account established by Penal Code Section 1463.14 a sum equal to twenty-five dollars ($25) for each conviction for violations of Vehicle Code Sections 23101, 23102, 23103, 23104, 23105, and 23106, which have occurred in the courts of that county on or after September 18, 1978, and have not been previously reported.
(d) Disbursement of Fines. Any forensic alcohol laboratory licensed under Title 17 of the California Code of Regulations which has performed for the county, or a city within the county, analysis of blood, breath or urine for alcohol content or for the presence of controlled substances, or for services related to such testing, shall submit its bill to the county auditor in conformity with the normal rules and/or regulations established by that auditor, or by any other administrative body within that county. Such bills or charges shall be submitted no more frequently than once a month.
NOTE
Authority cited: Section 1463.14, Penal Code. Reference: Section 1463.14, Penal Code.
HISTORY
1. New Subchapter 14 (Sections 997 and 998) filed 11-21-78 as an emergency; effective upon filing (Register 78, No. 47).
2. Certificate of Compliance filed 1-20-79 (Register 79, No. 3).
§998. Laboratory Services and Method of Cost Assessment.
Note
(a) Scope. This section shall apply to how the laboratory may determine what services it will provide and its costs for providing such services.
(b) Implementation. The county and the licensed forensic alcohol laboratory, or laboratories, with which it enters into an agreement for services may determine:
(1) The scope of the services to be rendered to the county by the laboratory including both direct and related costs of testing incurred by the laboratory.
(2) The method of cost assessment, including, but not limited to:
(A) Actual costs per test;
(B) A flat-rate charge determined by the total cost of performing analysis of blood, breath or urine for alcohol content, or for the presence of controlled substances, and for services related to such testing, which costs have been incurred by that laboratory over a specified period of time;
(C) Adoption of a flat-rate charge established by any other licensed forensic alcohol laboratory pursuant to paragraph (2)(B) where such other laboratory performs the same or similar services.
NOTE
Authority cited: Section 1463.14, Penal Code. Reference: Section 1463.14, Penal Code.
Chapter 15. Attorney General Regulations Under Nonprofit Corporation Law
§999.1. General Provisions and Definitions.
Note • History
(a) Giving Notice to and Submitting Requests to Attorney General; When Notice or Request is Deemed “Filed with Attorney General.”
For purposes of giving notice to the Attorney General or submitting requests for approval or other action to the Attorney General pursuant to any of the subsections contained in sections 999.2 through 999.5 of these regulations, all notices and requests shall be submitted in writing at the office listed below which is located nearest to the principal office of the corporation on whose behalf the notice or request is submitted.
ATTORNEY GENERAL, CHARITABLE TRUSTS SECTION
455 GOLDEN GATE AVENUE, SUITE 11000
SAN FRANCISCO, CALIFORNIA 94102-7004
ATTORNEY GENERAL, CHARITABLE TRUSTS SECTION
300 SOUTH SPRING STREET
LOS ANGELES, CALIFORNIA 90013-1230
ATTORNEY GENERAL, CHARITABLE TRUSTS SECTION
1300 I STREET
P.O. BOX 944255
SACRAMENTO, CALIFORNIA 94244-2550
Written notices or requests shall be deemed filed with the Attorney General when the notices or requests are received at the Office of the Attorney General with the information required by sections 999.2(e), 999.3(e), 999.4 and 999.5 of these regulations.
(b) Attorney General's Acknowledgment of Receipt of Notice or Request.
A conformed copy of the notice or request to the Attorney General, or of the transmittal letter accompanying such notice or request, along with a self-addressed, postage prepaid envelope may be submitted with the original, to be stamped “Received” with the date of receipt stamped thereon and returned to the sender.
(c) Definition of “Material Facts” for Purposes of Disclosure to Attorney General.
Unless otherwise indicated, wherever disclosure of “material facts” to the Attorney General is required pursuant to the subsections contained in sections 999.1 through 999.5 of these regulations, material facts shall include a description of the services or goods to be provided to or by the corporation pursuant to the transaction, the price for such services or goods to be paid by or to the corporation, the estimated fair market value of the goods or services, the benefit such transaction will confer upon the corporation, whether the board of directors of the corporation has approved the transaction, the factual basis of the board's determination if it has approved the transaction, the disclosure made to the board by the interested director, and a description of the alternative transactions, if any, considered by the board and why any such alternative transactions were not adopted.
(d) Response by Attorney General to Request for Approval of Self-Dealing Transactions, Loans and Guaranty Agreements, Articles, Amendments to Articles of Incorporation.
The Attorney General shall respond to requests for approval of self-dealing transactions, loans and guaranty agreements, and amendments to the articles of incorporation by issuing to the requesting person either a written statement of approval of the proposed action, a written statement of disapproval of the proposed action, or a written statement that the Attorney General declines to comment on the proposed action. In addition, the Attorney General may provide such comments in writing concerning the proposed action as the Attorney General finds appropriate under the circumstances. As a matter of internal policy, the Attorney General will attempt to respond to requests for approval of self-dealing transactions, loans and guaranty agreements, and amendments to the articles of incorporation within 60 days after receipt of all material facts related to the proposed action.
(e) Public Files, Notices, and Requests for Approval by Attorney General To Be Maintained in Public Files; Attorney General's Responses To Be Maintained in Public Files.
A “Public File” is the file of a nonprofit corporation which contains public documents, including registration and financial reporting forms filed pursuant to Government Code sections 12585 and 12586, and which is maintained at the Registry of Charitable Trusts, Office of the Attorney General, P.O. Box 903447, Sacramento, California 94203-4470.
All notices and requests for approval submitted to the Attorney General pursuant to the subsections of sections 999.2 through 999.5 of these regulations shall become a part of the Public File of the corporation affected by the proposed action. In the discretion of the Attorney General, exceptions shall be made in the case of documents of a confidential or personal nature (i.e. individual tax returns, legitimate trade secret information, personal resumes, personal loan applications, etc.), where the corporation or person submitting the confidential documents requests that such documents not be maintained in the Public File.
The Attorney General's responses to notices and requests for approval issued pursuant to the subsections of sections 999.2 through 999.5 of these regulations shall become a part of the Public File of the corporation affected by the proposed action.
(f) Mutual Benefit Corporations; Application of Regulations Limited to Assets Held in Charitable Trust.
For purposes of applying the subsections of sections 999.1 and 999.3 of these regulations to mutual benefit corporations, these regulations apply only to the extent that a mutual benefit corporation holds assets in charitable trust.
(g) Commencement of Statute of Limitations for Self-Dealing Transactions.
The two-year Statute of Limitations for an action seeking remedies for a self-dealing transaction pursuant to Corporations Code sections 5233(e), 7238 and 9243(e), shall commence to run from the date that the written Notice of the Self-Dealing Transaction is filed with the Attorney General, and any such action brought after the date marking the expiration of the second year after such filing shall be barred. “Filed with the Attorney General” shall mean the time when the written notice is received at one of the addresses of the Attorney General listed in subsection 999.1(a) of these regulations. “Year” shall mean a 365/366 day calendar year, as the case may be.
NOTE
Authority cited: Sections 5914(b) and 5918, Corporations Code. Reference: 5142, 5223, 5225, 5226, 5233, 5236, 5238(c)(3), 5617, 5820, 5913, 5914(b), 5918, 6010, 6510(d), 6611(a), 6612(a), 6613(c), 6617(b), 6716(b) and (c), 6721(a) and (b), 7142, 7223, 7225, 7238, 7616, 7913, 8010, 8510, 8611, 8612, 8613, 8616, 8723, 9230, 9680, Corporations Code.
HISTORY
1. New subchapter 15 (Sections 999.1-999.4) filed 4-18-80; effective thirtieth day thereafter (Register 80, No. 16).
2. Amendment of subsection (a) and Note filed 5-22-96; operative 6-21-96 (Register 96, No. 21).
3. Amendment of subsections (a), (c) and (e) and amendment of Note filed 1-17-97 as an emergency; operative 1-17-97 (Register 97, No. 3). A Certificate of Compliance must be transmitted to OAL by 5-19-97 or emergency language will be repealed by operation of on the following day.
4. Certificate of Compliance as to 1-17-97 order transmitted to OAL 5-7-97 and filed 6-19-97 (Register 97, No. 25).
5. Change without regulatory effect amending section filed 1-9-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 2).
§999.2. Public Benefit Corporations.
Note • History
(a) Written Notice to Attorney General of Self-Dealing Transaction.
Corporations Code section 5233(e) provides that an action under section 5233(c) seeking remedies for a self-dealing transaction must be filed within two years after written notice setting forth the material facts of the transaction and the director's interest is filed with the Attorney General in accordance with regulations adopted by the Attorney General.
For purposes of section 5233(e), a written notice of a self-dealing transaction shall be deemed filed with the Attorney General when it is submitted in accordance with subsection 999.1(a) of these regulations.
The written notice of a self-dealing transaction to the Attorney General shall contain the following:
(1) A letter signed on behalf of the corporation by an authorized director or officer thereof, or by or on behalf of a director or officer of the corporation setting forth a detailed description of the self-dealing transaction, the extent to which any director has a material financial interest in the self-dealing transaction, and all material facts concerning the self-dealing transaction. “Material facts” are defined in subsection 999.1(c) of these regulations.
(2) A copy of the corporation's current financial statement as of a date within ninety days preceding the filing of the notice or request, except to the extent already on file with the Registry of Charitable Trusts.
(3) A copy of the articles of incorporation and amendments thereto, except to the extent already on file with the Registry of Charitable Trusts.
(b) Written Request for Attorney General's Approval of Self-Dealing Transaction.
Corporations Code section 5233(d) provides that no remedies shall be granted in any action for a self-dealing transaction if the Attorney General or the court has approved the transaction before or after it was consummated.
A request for approval by the Attorney General of a self-dealing transaction shall be submitted in writing in accordance with subsection 999.1(a) of these regulations.
A request for approval by the Attorney General of a self-dealing transaction shall contain the following:
(1) A letter signed on behalf of the corporation by an authorized director or officer thereof, or by or on behalf of a director of the corporation, setting forth a detailed description of the self-dealing transaction, the extent to which any director has a material financial interest in the self-dealing transaction, and all material facts concerning the self-dealing transaction. “Material facts” are defined in subsection 999.1(c) of these regulations.
(2) A copy of the corporation's current financial statement as of a date within ninety days preceding the filing of the notice or request, except to the extent already on file with the Registry of Charitable Trusts.
(3) A copy of the articles of incorporation and amendments thereto, except to the extent already on file with the Registry of Charitable Trusts.
(4) A copy of the bylaws and amendments thereto, except to the extent already on file with the Registry of Charitable Trusts.
(5) Copies of all minutes of meetings of the board of directors and committees of the board of directors that reflect any discussions or evaluations of the self-dealing transaction.
(6) A letter signed by the interested director setting forth a description of the director's material financial interest in the self-dealing transaction, listing all material facts, as defined in subsection 999.1(c) of these regulations, concerning the transaction, and all facts disclosed by the interested director to the board of directors concerning the transaction. (Note: Disclosure of this information in the corporation's letter, pursuant to subsection 999.2(b)(1), may eliminate the need for the letter from the interested director, to the extent the information in the interested director's letter would duplicate information in the corporation's letter.)
(7) The Attorney General may require submission of additional information by the corporation and its directors in order to complete an analysis of the self-dealing transaction.
(c) Attorney General's Approval of Loans or Guarantees to a Director.
Corporations Code section 5236 prohibits a public benefit corporation from making any loan or guaranty to any director or officer, unless approved by the Attorney General.
For purposes of section 5236, a request for the Attorney General's approval of a loan or guaranty to a director or officer shall be submitted in writing in accordance with subsection 999.1(a) of these regulations.
The written request for Attorney General's approval of a loan or guaranty shall contain the following:
(1) A letter signed on behalf of the corporation by an authorized director or officer thereof, or by or on behalf of a director or officer of the corporation, setting forth a detailed description of the loan or guaranty and all material facts concerning the loan or guaranty. “Material facts” are defined in subsection 999.1(c) of these regulations.
(2) Copies of the loan or guaranty agreement, note and related security agreements;
(3) A copy of the corporation's current financial statement as of a date within ninety days preceding the filing of the notice or request, except to the extent already on file with the Registry of Charitable Trusts.
(4) A copy of the articles of incorporation and amendments thereto, except to the extent already on file with the Registry of Charitable Trusts.
(5) A copy of the bylaws and amendments thereto, except to the extent already on file with the Registry of Charitable Trusts.
(6) Copies of all minutes of meetings of the board of directors and committees of the board of directors that reflect any discussions or evaluations of the loan or guaranty.
(7) A letter signed by the interested director setting forth a description of the director's material financial interest in the loan or guaranty, listing all material facts, as defined in subsection 999.1(c) of these regulations, concerning the transaction, and all facts disclosed by the interested director to the board of directors concerning the transaction. (Note: Disclosure of this information in the corporation's letter, pursuant to subsection 999.2(c)(1), may eliminate the need for the letter from the interested director, to the extent the information in the interested director's letter would duplicate information in the corporation's letter.)
(8) The Attorney General may require submission of additional information by the corporation and its directors in order to complete an analysis of the loan or guaranty.
(d) Request for Attorney General's Ruling on Amendment of Corporate Articles of Incorporation.
Corporations Code section 5820 provides that the Attorney General may, at the corporation's request, give rulings as to whether the Attorney General will or may oppose a proposed amendment to the articles of incorporations, as inconsistent with or proscribed by the requirement of a charitable trust.
For purposes of section 5820, a request for the Attorney General's ruling on a proposed amendment to the articles of incorporation shall be submitted in writing in accordance with section 999.1(a) of these regulations.
The written request for the Attorney General's ruling shall contain the following:
(1) A letter signed on behalf of the corporation by any officer or director thereof setting forth a detailed description of the proposed amendment to the articles of incorporation and all material facts concerning the amendment. Material facts shall include the reasons for the amendment, the benefit such amendment will confer upon the corporation, whether the board of directors has approved the amendment, and the criteria used by the board to evaluate and approve the amendment.
(2) A copy of the corporation's current financial statement as of a date within ninety days preceding the filing of the notice or request, except to the extent already on file with the Registry of Charitable Trusts.
(3) A copy of the articles of incorporation and amendments thereto, except to the extent already on file with the Registry of Charitable Trusts.
(4) A copy of the bylaws and amendments thereto, except to the extent already on file with the Registry of Charitable Trusts.
(5) Copies of all minutes of meetings of the board of directors and committees of the board of directors that reflect any discussions or evaluations of the article amendment to the articles of incorporation.
(6) The Attorney General may require submission of additional information by the corporation and its directors in order to complete an analysis of the article amendment.
(e) Giving Notice to the Attorney General; Attorney General's Involvement.
The following sections of the Corporations Code provide for the involvement of the Attorney General, and, where appropriate, for notice to the Attorney General, in certain actions and proceedings by, or relating to, a public benefit corporation:
Corp. Code § 5142 (action for breach of trust)
Corp. Code § 5223 (removal for fraud)
Corp. Code § 5225 (deadlock)
Corp. Code § 5226 (resignation by last director)
Corp. Code § 5233 (self-dealing)
Corp. Code § 5236 (loan to a director or officer)
Corp. Code § 5238(c)(3) (indemnity)
Corp. Code § 5617(b) (validity of election)
Corp. Code § 5913 (sale of assets)
Corp. Code § 5914 (proposed transfer of health facilities)
Corp. Code § 5920 (proposed transfer of health facilities)
Corp. Code § 6010 (merger)
Corp. Code §§ 6510(d), 6716(b)(c) (involuntary dissolution)
Corp. Code §§ 6611(a), 6612(a), 6613(c), 6617(b), 6716(b)(c) (voluntary dissolution)
Corp. Code § 6721(a) and (b) (recovery of distribution)
Communications and notices to the Attorney General pursuant to the foregoing sections shall be submitted in writing in accordance with subsection 999.1(a) of these regulations.
In addition to the information required in the Corporations Code and in these regulations for communications and notices to the Attorney General under specific circumstances, notice to the Attorney General pursuant to the foregoing sections of the Corporations Code shall contain written information sufficient to enable the Attorney General to review and evaluate the action or proceeding, the time, date and place at which the action or proceeding will occur, or has occurred, and a statement indicating whether an approval, ruling, waiver or other action by the Attorney General is sought.
NOTE
Authority cited: Sections 5914(b) and 5918, Corporations Code. Reference: Sections 5142, 5223, 5225, 5226, 5233, 5236, 5238(c)(3), 5617, 5820, 5913, 5914(b), 5918, 6010, 6510(d), 6611(a), 6612(a), 6613(c), 6617(b), 6716(b) and (c) and 6721(a) and (b), Corporations Code.
HISTORY
1. Amendment of last paragraph and Note filed 5-22-96; operative 6-21-96 (Register 96, No. 21).
2. New subsection (e), subsection relettering, and amendment of newly designated subsection (f) and Note filed 1-17-97 as an emergency; operative 1-17-97 (Register 97, No. 3). A Certificate of Compliance must be transmitted to OAL by 5-19-97 or emergency language will be repealed by operation of on the following day.
3. Certificate of Compliance as to 1-17-97 order transmitted to OAL 5-7-97 and filed 6-19-97 (Register 97, No. 25).
4. Repealer of subsection (e) (reserved) and amendment of subsection (f) filed 2-4-2000 as an emergency; operative 2-4-2000 (Register 2000, No. 5). A Certificate of Compliance must be transmitted to OAL by 6-5-2000 or emergency language will be repealed by operation of law on the following day.
5. Repealer of subsection (e) (reserved) and amendment of subsection (f) refiled 6-5-2000 as an emergency; operative 6-5-2000 (Register 2000, No. 23). A Certificate of Compliance must be transmitted to OAL by 10-3-2000 or emergency language will be repealed by operation of law on the following day.
6. Repealer of subsection (e) (reserved) and amendment of subsection (f) refiled 10-2-2000 as an emergency; operative 10-2-2000 (Register 2000, No. 40). A Certificate of Compliance must be transmitted to OAL by 1-30-2001 or emergency language will be repealed by operation of law on the following day.
7. Repealer of subsection (e) (reserved) and amendment of subsection (f) refiled 1-30-2001 as an emergency; operative 1-30-2001 (Register 2001, No. 5). A Certificate of Compliance must be transmitted to OAL by 5-30-2001 or emergency language will be repealed by operation of law on the following day.
8. Certificate of Compliance as to 1-30-2001 order transmitted to OAL 3-9-2001 and filed 4-20-2001; operative 5-20-2001 (Register 2001, No. 16).
9. Change without regulatory effect amending section filed 1-9-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 2).
10. Change without regulatory effect repealing subsection (e) [Reserved] and relettering subsection (f) to subsection (e) filed 7-12-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 28).
§999.3. Mutual Benefit Corporations.
Note • History
(a) Written Notice to Attorney General of Self-Dealing Transaction. Corporations Code section 7238 provides that where a mutual benefit corporation holds assets in charitable trust, the conduct of its directors shall be governed by the standards of conduct for directors of public benefit corporations, in respect to the assets held in charitable trust. Thus, Corporations Code section 7238 applies the provisions of section 5233 to self-dealing transactions by a mutual benefit corporation in respect to assets held in charitable trust.
Corporations Code section 5233(e) provides that an action under section 5233(c) seeking remedies for a self-dealing transaction must be filed within two years after written notice setting forth the material facts of the transaction and the director's interest is filed with the Attorney General in accordance with regulations adopted by the Attorney General.
For purposes of sections 7238 and 5233(e), a written notice of a self-dealing transaction shall be deemed filed with the Attorney General when the written notice of the self-dealing transaction is submitted in accordance with subsection 999.1(a) of these regulations.
The written notice of a self-dealing transaction to the Attorney General shall contain the following:
(1) A letter signed on behalf of the corporation by an authorized director or officer thereof, or by or on behalf of a director or officer of the corporation, setting forth a detailed description of the self-dealing transaction, the extent to which any director has a material financial interest in the self-dealing transaction, and all material facts concerning the self-dealing transaction. “Material facts” are defined in subsection 999.1(c) of these regulations.
(2) A copy of the corporation's current financial statement as of a date within ninety days preceding the filing of the notice or request, except to the extent already on file with the Registry of Charitable Trusts.
(3) A copy of the articles of incorporation and amendments thereto, except to the extent already on file with the Registry of Charitable Trusts.
(b) Written Request for Attorney General's Approval of Self-Dealing Transaction. Corporations Code section 7238 provides that where a mutual benefit corporation holds assets in charitable trust, the conduct of its directors shall be governed by the standards of conduct for directors of public benefit corporations in respect to the assets held in charitable trust. Thus, Corporations Code section 7238 applies the provisions of section 5233 to self-dealing transactions by a mutual benefit corporation in respect to assets held in charitable trust.
Corporations Code section 5233(d) provides that no remedies shall be granted in any action for a self-dealing transaction if the Attorney General or the court has approved the transaction before or after it was consummated.
A request for approval by the Attorney General of a self-dealing transaction shall be submitted in writing in accordance with subsection 999.1(a) of these regulations.
A request for approval by the Attorney General of a self-dealing transaction shall contain the following:
(1) A letter signed on behalf of the corporation by an authorized director or officer thereof, or by or on behalf of a director of the corporation, setting forth a detailed description of the self-dealing transaction, the extent to which any director has a material financial interest in the self-dealing transaction, and all material facts concerning the self-dealing transaction. “Material facts” are defined in subsection 999.1(c) of these regulations.
(2) A copy of the corporation's current financial statement as of a date within ninety days preceding the filing of the notice or request, except to the extent already on file with the Registry of Charitable Trusts.
(3) A copy of the articles of incorporation and amendments thereto, except to the extent already on file with the Registry of Charitable Trusts.
(4) A copy of the bylaws and amendments thereto, except to the extent already on file with the Registry of Charitable Trusts.
(5) Copies of all minutes of meetings of the board of directors and committees of the board of directors that reflect any discussions or evaluations of the self-dealing transaction.
(6) A letter signed by the interested director setting forth a description of the director's material financial interest in the self-dealing transaction, listing all material facts, as defined in subsection 999.1(c) of these regulations, concerning the transaction, and all facts disclosed by the interested director to the board of directors concerning the transaction. (Note: Disclosure of this information in the corporation's letter, pursuant to subsection 999.3(b)(1), may eliminate the need for the letter from the interested director to the extent the information in the interested director's letter would duplicate information in the corporation's letter.)
(7) The Attorney General may require submission of additional information by the corporation and its directors in order to complete analysis of the self-dealing transaction.
(c) Attorney General's Approval of Loans or Guaranties to a Director. Corporations Code section 7238 provides that where a mutual benefit corporation holds assets in charitable trust, the conduct of its directors shall be governed by the standards of conduct for directors of public benefit corporations in respect to the assets held in charitable trust. Thus, Corporations Code section 7238 applies the provisions of section 5236 to director or officer loans or guaranties by a mutual benefit corporation, if such loans or guaranties consist of, or are secured by, assets held in charitable trust.
Corporations Code section 5236 prohibits a public benefit corporation from making any loan or guaranty to any director or officer, unless approved by the Attorney General.
For purposes of sections 7238 and 5236, a request for the Attorney General's approval of a loan or guaranty to a director or officer shall be submitted in writing in accordance with subsection 999.1(a) of these regulations.
The written request for Attorney General's approval of a loan or guaranty shall contain the following:
(1) A letter signed on behalf of the corporation by an authorized director or officer thereof, or by or on behalf of a director or officer of the corporation, setting forth a detailed description of the loan or guaranty and all material facts concerning the loan or guaranty. “Material facts” are defined in subsection 999.1(c) of these regulations.
(2) Copies of the loan or guaranty agreement, note and related security agreements.
(3) A copy of the corporation's current financial statement as of a date within ninety days preceding the filing of the notice or request, except to the extent already on file with the Registry of Charitable Trusts.
(4) A copy of the articles of incorporation and amendments thereto, except to the extent already on file with the Registry of Charitable Trusts.
(5) A copy of the bylaws and amendments thereto, except to the extent already on file with the Registry of Charitable Trusts.
(6) Copies of all minutes of meetings of the board of directors and committees of the board of directors that reflect any discussions or evaluations of the loan or guaranty.
(7) A letter signed by the interested director setting forth a description of the director's material financial interest in the loan or guaranty, listing all material facts, as defined in subsection 999.1(c) of these regulations, concerning the transaction and all facts disclosed by the interested director to the board of directors concerning the transaction. (Note: Disclosure of this information in the corporation's letter, pursuant to subsection 999.3(c)(1) may eliminate the need for the letter from the interested director to the extent the information in the interested director's letter would duplicate information in the corporation's letter.)
(8) The Attorney General may require submission of additional information by the corporation and its directors in order to complete an analysis of the loan or guaranty.
(d) Request for Attorney General's Ruling on Amendment of Corporate Articles of Incorporation. Corporations Code section 7820 provides that the Attorney General may, at the corporation's request, give rulings as to whether the Attorney General will or may oppose a proposed amendment to the articles of incorporation, as inconsistent with, or proscribed by, the requirement of a charitable trust.
For purposes of section 7820, a request for the Attorney General's ruling on a proposed amendment to the articles of incorporation shall be submitted in writing in accordance with subsection 999.1(a) of these regulations.
The written request for the Attorney General's ruling shall contain the following:
(1) A letter signed on behalf of the corporation by any officer or director thereof setting forth a detailed description of the proposed amendment to the articles of incorporation and all material facts concerning the amendment. Material facts shall include the reasons for the amendment, the benefit the amendment will confer upon the corporation, whether the board of directors has approved the amendment, and the criteria used by the board to evaluate and approve the amendment.
(2) A copy of the corporation's current financial statement as of a date within ninety days preceding the filing of the notice or request, except to the extent already on file with the Registry of Charitable Trusts.
(3) A copy of the articles of incorporation and amendments thereto, except to the extent already on file with the Registry of Charitable Trusts.
(4) A copy of the bylaws and amendments thereto, except to the extent already on file with the Registry of Charitable Trusts.
(5) Copies of all minutes of meetings of the board of directors and committees of the board of directors, that reflect any discussions or evaluations of the amendments to the articles of incorporation.
(6) The Attorney General may require submission of additional information by the corporation and its directors in order to complete an analysis of the amendments to the articles of incorporation.
(e) Giving Notice to the Attorney General; Attorney General's Involvement. The following sections of the Corporations Code provide for the involvement of the Attorney General, and, where appropriate, for notice to the Attorney General, in certain actions and proceedings by or relating to a mutual benefit corporation:
Corp. Code § 7142(a) (action for breach of charitable trust)
Corp. Code § 7223(b) (action to remove director for fraud)
Corp. Code § 7225(c) (appointment of provisional director where board deadlocked)
Corp. Code § 5233 (through § 7238) (self-dealing)
Corp. Code § 5236 (through § 7238) (loan to a director or officer)
Corp. Code § 7238(c)(3) (indemnity)
Corp. Code § 7616(b) (action to determine validity of election)
Corp. Code § 7913 (disposal or sale of assets)
Corp. Code § 8010 (merger with public benefit, religious corporation)
Corp. Code §§ 8510(e), 8611(a), 8612(a), 8613(a), 8617(b), 8716(b)(c) (dissolution)
Corp. Code § 8723(b) (suit against corporation after dissolution)
Communications and notices to the Attorney General pursuant to the foregoing sections shall be submitted in writing in accordance with subsection 999.1(a) of these regulations.
In addition to the information required in the Corporations Code and in these regulations for communications and notices to the Attorney General under specific circumstances, notice to the Attorney General pursuant to the foregoing sections of the Corporations Code shall contain written information sufficient to enable the Attorney General to review and evaluate the action or proceeding, the time, date and place at which the action or proceeding will occur, or has occurred, and a statement indicating whether an approval, ruling, waiver or other action by the Attorney General is sought.
NOTE
Authority and references cited: Sections 7142, 7223, 7225, 7238, 7616, 7913, 8010, 8510, 8611, 8612, 8613, 8617, 8716, 8723, Corporations Code.
HISTORY
1. Amendment of last paragraph and Note filed 5-22-96; operative 6-21-96 (Register 96, No. 21).
2. Change without regulatory effect amending section filed 1-9-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 2).
§999.4. Religious Corporations.
Note • History
Giving Notice of dissolution to the Attorney General.
Communications and notices to the Attorney General pursuant to Corporations Code section 9680 (dissolution) shall be submitted in writing in accordance with subsection 999.1(a) of these regulations.
In addition to the information required in the Corporations Code and in these regulations for communications and notices to the Attorney General under specific circumstances, notice to the Attorney General pursuant to section 9680 of the Corporations Code shall contain written information sufficient to enable the Attorney General to review and evaluate the disposition of assets pursuant to the dissolution.
NOTE
Authority and references cited: Sections 9230, 9680(a) and (e), Corporations Code.
HISTORY
1. Repealer of subsections (a)-(c)(6) and subsection (d) designator and amendment of former subsection (d) and Note filed 5-22-96; operative 6-21-96 (Register 96, No. 21).
2. Change without regulatory effect amending section filed 1-9-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 2).
§999.5. Attorney General Review of Proposals to Transfer Health Facilities Under Corporations Code Sections 5914 et seq. and 5920 et seq.
Note • History
(a) Written Notice to Attorney General of Proposed Transfer of Health Facility; Waiver of Notice.
(1) Any nonprofit corporation that is defined in Corporations Code section 5046 and operates or controls a health facility or a facility that provides similar health care, shall provide written notice to, and obtain the written consent of, the Attorney General prior to entering into any agreement or transaction to do either of the following:
(A) Sell, transfer, lease, exchange, option, convey, or otherwise dispose of its assets either to a for-profit corporation or entity or to another nonprofit corporation or entity when a material amount of the assets of the nonprofit corporation are involved in the agreement or transaction.
(B) Transfer control, responsibility, or governance of a material amount of the assets or operations of the nonprofit corporation either to any for-profit corporation or entity or to another nonprofit corporation or entity.
(2) For purposes of section 999.5 of these regulations, an agreement or transaction involves a “material amount of the assets or operations” if either:
(A) The agreement or transaction directly affects more than 20% of the value of the health facilities or facilities that provide similar health care that are operated or controlled by the nonprofit corporation; or
(B) The agreement or transaction involves the sale, transfer, exchange, change in control or governance of, or otherwise disposes of any health facility or facility that provides similar health care that is operated or controlled by the nonprofit corporation and that has a fair market value that exceeds $3 million; or
(C) The agreement or transaction involves the sale, transfer, exchange, change in control or governance of, or otherwise disposes of any general acute care hospital as defined in Health and Safety Code section 1250(a).
(3) For purposes of section 999.5 of these regulations, an agreement or transaction will “transfer control, responsibility, or governance” if:
(A) There is a substitution of a new corporate member or members that transfers the control of, responsibility for, or governance of the nonprofit corporation; or
(B) There is a substitution of one or more members of the governing body, or any arrangement, written or oral, that would transfer voting control of the members of the governing body.
(4) Written notice to, and the written consent of, the Attorney General shall not be required under section 999.5 of these regulations if the agreement or transaction is in the usual and regular course of the activities of the nonprofit corporation.
(5) Written notice to, and the written consent of, the Attorney General shall not be required under section 999.5 of these regulations if the Attorney General has given the nonprofit corporation a written waiver of the proposed agreement or transaction.
(A) A corporation may request such a waiver by submitting, in writing, a description of the proposed agreement or transaction, a copy of all documents that effectuate any part of the proposed transaction, a description of the proposed use by the nonprofit corporation of any sales proceeds, and an explanation of why the waiver should be granted.
(B) The Attorney General shall grant or deny such request within thirty (30) days after all of the information needed to evaluate the waiver request has been submitted to the Attorney General. In determining whether to grant a waiver, the Attorney General shall consider whether any of the decisional factors set forth in Corporations Code sections 5917 and 5923 are applicable to the proposed agreement or transaction. A waiver shall be denied if any of these decisional factors require full Attorney General review of the proposed agreement or transaction. The Attorney General may condition the grant of a waiver in a manner that eliminates the need for full Attorney General review.
(C) Copies of the waiver request and the Attorney General's decision to grant or deny the waiver shall be made available to any person upon request, including any person who has previously requested such notice in writing.
(6) Section 999.5(a)(1) of these regulations shall apply to any foreign nonprofit corporation that operates or controls a health facility or a facility that provides similar health care.
(7) Section 999.5(a)(1) of these regulations shall not apply to any agreement or transaction described in Corporations Code section 5920 if, prior to the proposed agreement or transaction, the other party to the agreement or transaction is an “affiliate,” as defined in Corporations Code section 5031, of the transferring nonprofit corporation or entity, and the transferring corporation or entity provides the Attorney General with twenty (20) days advance notice of the agreement or transaction.
(8) Written notice to, and the written consent of, the Attorney General shall not be required under section 999.5 of these regulations unless the agreement or transaction involves a health facility or facility that provides similar care that is located within California.
(9) If a nonprofit corporation has engaged in multiple agreements or transactions, in a manner designed to avoid Attorney General review under section 999.5 of these regulations, all of the multiple agreements or transactions shall be considered and analyzed as a single transaction for any purpose under these regulations.
(b) Definitions
(1) “Applicant” means any corporation or entity that is required by section 999.5(a)(1) of these regulations to submit written notice to the Attorney General.
(2) “Entity” means any form of business enterprise other than a corporation.
(3) The phrase “facility that provides similar health care” means any facility operated in California whose primary purpose is to provide medical services to patients requiring admission for more than 24 hours and that is otherwise similar in nature to the type of facilities defined in the provisions of Health and Safety Code section 1250.
(4) “Health facility” means any facility located in California that satisfies the definition of health facility set forth in section 1250 of the Health and Safety Code.
(5) “Potential transferee” means any corporation or entity with which an applicant has engaged in discussions, or from which an applicant has received a written proposal, concerning a possible agreement or transaction for which written notice is required by section 999.5(a)(1) of these regulations if such discussions or written proposal occurred within the twelve (12) months preceding the decision to transfer assets or control to a transferee.
(6) “Transferee” means any corporation or entity that is the recipient of assets or control through any transaction or agreement for which written notice to the Attorney General is required by section 999.5(a)(1) of these regulations.
(c) Notice and Availability of Information
(1) The applicant shall submit five copies of the notice to the Attorney General to any location set forth in section 999.1(a) of these regulations. The notice shall contain the information required by section 999.5(d) of these regulations and such additional information that the applicant believes is necessary for the Attorney General to review.
(2) The Attorney General may request an applicant to provide such additional information as the Attorney General deems reasonably necessary to decide whether to consent to, give conditional consent to or not to consent to a proposed agreement or transaction under Corporations Code sections 5915 and 5921. As set forth in Corporations Code sections 5917(g) and 5923(d), failure to provide the Attorney General with sufficient information and data to evaluate adequately the proposed agreement or transaction or the effects thereof on the public may be grounds for denying consent.
(3) All of the information provided to the Attorney General by the applicant shall be treated as a public record unless such information is a trade secret or unless the public interest in maintaining the confidentiality of that information clearly outweighs the public interest in disclosure.
(A) The applicant shall have the sole burden of designating, at the time of its submission, any specific information that it believes should be treated as confidential and the reasons therefor. The Attorney General shall determine the validity of the confidentiality claim and communicate that determination to the applicant prior to any public disclosure of the information.
(B) The public disclosure provisions of section 999.5(c)(4) of these regulations shall not apply to information determined to be confidential.
(C) If the applicant designates any of the information in the notice as confidential, five additional copies of the notice shall be submitted to the Attorney General with the confidential information identified and redacted.
(4) Every applicant shall maintain a copy of the notice and any additional information submitted by the applicant to the Attorney General in an appropriate reading room in the community being affected by the agreement or transaction for review by the public during normal business hours. The applicant shall publicize the location at which the documents are available for review. Upon written request, the Attorney General shall make available without cost the notice and any additional information provided to the Attorney General to members of the public in written form as soon as practicable after its receipt.
(5) The applicant shall provide to the Attorney General a CD-ROM in PDF format containing the information submitted to the Attorney General under section 999.5(c)(1) and (c)(2) of these regulations. The CD-ROM shall not include any information designated as confidential or any signatures appearing on documents.
(d) Contents of Notice
(1) The written notice of any proposed agreement or transaction set forth in section 999.5(a)(1) of these regulations shall include a section entitled “Description of the Transaction” that contains the following information:
(A) A full description of the proposed agreement and transaction.
(B) A complete copy of all proposed written agreements or contracts to be entered into by the applicant and the transferee that relate to or effectuate any part of the proposed transaction.
(C) A statement of all of the reasons the board of directors of applicant believes that the proposed agreement or transaction is either necessary or desirable.
(2) The written notice of any proposed agreement or transaction set forth in section 999.5(a)(1) of these regulations shall include a section entitled “Fair Market Value” that contains the following information:
(A) The estimated market value of all cash, property, stock, notes, assumption or forgiveness of debt, and any other thing of value that the applicant would receive for each health facility covered by the proposed agreement or transaction.
(B) The estimated market value of each health facility or other asset to be sold or transferred by the applicant under the proposed agreement or transaction.
(C) A description of the methods used by the applicant to determine the market value of any assets involved in the proposed agreement or transaction. This description shall include a description of the efforts made by the applicant to sell or transfer each health facility that is the subject of the proposed agreement or transaction.
(D) Reports, analysis, Requests for Proposal, and any other documents that refer or relate to the valuation of any asset involved in the agreement or transaction.
(E) For joint venture transactions, all asset contribution agreements and related valuations, all limited liability corporation or limited liability partnership operating agreements, management contracts, and put option agreements.
(3) The written notice of any proposed agreement or transaction set forth in section 999.5(a)(1) of these regulations shall include a section entitled “Inurement and Self-Dealing” that contains the following information:
(A) Copies of any documents or writings of any kind that relate or refer to any personal financial benefit that a proposed affiliation between applicant and the transferee would confer on any officer, director, employee, doctor, medical group or other entity affiliated with applicant or any family member of any such person as identified in Corporations Code section 5227(b)(2).
(B) The identity of each and every officer, trustee or director of applicant (or any family member of such persons as identified in Corporations Code section 5227(b)(2)) or any affiliate of applicant who or which has any personal financial interest in any company, firm, partnership, or business entity (other than salary and directors/trustees' fees) currently doing business with applicant, any affiliate of applicant, or the transferee or any affiliate of the transferee.
(C) A statement describing how the board of directors of the nonprofit corporations involved in the transaction are complying with the provisions of Health and Safety Code sections 1260 and 1260.1.
(4) The written notice of any proposed agreement or transaction set forth in section 999.5(a)(1) of these regulations that will result in the nonprofit corporation receiving sales proceeds shall include a section entitled “Charitable Use of Assets” that contains the following information:
(A) The applicant's articles of incorporation and all amendments thereto and current bylaws, any charitable trust restrictions, and any other information necessary to define the charitable trust purpose of the applicant's assets.
(B) Applicant's plan for use of the net proceeds after the close of the proposed transaction together with a statement explaining how the proposed plan is as consistent as possible with existing charitable purposes and complies with all applicable charitable trusts that govern use of applicant's assets. The plan must include any proposed amendments to the articles of incorporation or bylaws of the applicant or any entity related to the applicant that will control any of the proceeds from the proposed transfer.
(5) The written notice of any proposed agreement or transaction set forth in section 999.5(a)(1) of these regulations shall include a section entitled “Impacts on Health Care Services” that contains the following information:
(A) A copy of the two most recent “community needs assessments” prepared by applicant for any health facility that is the subject of the agreement or transaction.
(B) A description of all charity care provided in the last five years by each health facility that is the subject of the agreement or transaction. This description shall include annual total charity care spending; inpatient, outpatient and emergency room charity care spending; a description of how the amount of charity care spending was calculated; annual charity care inpatient discharges, outpatient visits, and emergency visits; a description of the types of charity care services provided annually; and a description of the policies, procedures, and eligibility requirements for the provision of charity care.
(C) A description of all services provided by each health facility that is the subject of the agreement or transaction in the past five years to Medi-Cal patients, county indigent patients, and any other class of patients. This description shall include but not be limited to the type and volume of services provided, the payors for the services provided, the demographic characteristics of and zip code data for the patients served by the health facility, and the costs and revenues for the services provided.
(D) A description of any community benefit program provided by the health facility during the past five years with an annual cost of at least $10,000.
(E) For each health facility that is the subject of the agreement or transaction, a description of current policies and procedures on staffing for patient care areas; employee input on health quality and staffing issues; and employee wages, salaries, benefits, working conditions and employment protections. Such description shall include a list of all existing staffing plans, policy and procedure manuals, employee handbooks, collective bargaining agreements or similar employment-related documents.
(F) For each health facility that is the subject of the agreement or transaction, all existing documents setting forth any guarantees made by any entity that would be taking over operation or control of the health facility relating to employee job security and retraining, or the continuation of current staffing levels and policies, employee wages, salaries, benefits, working conditions and employment protections.
(G) A statement describing all material effects that the proposed agreement or transaction may have on delivery of health care services to the communities served by each facility proposed to be transferred, and a statement of how the proposed transaction will affect the availability and accessibility of health care in the affected communities.
(H) A description of each measure proposed by the applicant to mitigate or eliminate any significant adverse effect on the availability or accessibility of health care services to the affected community that may result from the agreement or transaction.
If any of the quantitative information required by subsections (B) and (C) is not available, the applicant shall so indicate and provide a reasonable estimate.
(6) The written notice of any proposed agreement or transaction set forth in section 999.5(a)(1) of these regulations shall include a section entitled “Possible Effect on Competition” that contains the following information:
(A) For any agreement or transaction for which a Premerger Notification and Report Form is required to be submitted to the Federal Trade Commission under the Hart-Scott-Rodino Antitrust Improvement Act of 1976, a brief analysis of the possible effect of any proposed merger or acquisition of each health care facility that is the subject of the agreement or transaction on competition and market share in any relevant product or geographic market.
(B) The applicant shall provide the Premerger Notification and Report Form and any attachments thereto as filed with the Federal Trade Commission pursuant to the Hart-Scott-Rodino Antitrust Improvement Act of 1976 and 16 C.F.R. Parts 801-803. The procedure for designating information as confidential set forth in section 999.5(c)(3) of these regulations shall apply to any information submitted under this subsection.
(7) The written notice of any proposed agreement or transaction set forth in section 999.5(a)(1) of these regulations shall include a section entitled “Other Public Interest Factors” that contains any other information the applicant believes the Attorney General should consider in deciding whether the proposed agreement or transaction is in the public interest.
(8) The written notice of any proposed agreement or transaction set forth in section 999.5(a)(1) shall include a resolution of the board of directors of the applicant authorizing the filing of the written notice and a statement by the chair of the board that the contents of the written notice are true, accurate and complete.
(9) The written notice of any proposed agreement or transaction set forth in section 999.5(a)(1) shall include a list of the officers and directors of the transferee and the most recent audited financial statement for the transferee.
(10) The written notice of any proposed agreement or transaction set forth in section 999.5(a)(1) shall include a description of the applicant's efforts to inform local governmental entities, professional staff and employees of the health facility, and the general public of the proposed transaction. This description shall include any comments or reaction to this effort.
(11) The written notice of any proposed agreement or transaction set forth in section 999.5(a)(1) of these regulations shall include the following attachments if they are available and if they are not included in another section of the written notice:
(A) Any board minutes or other documents relating or referring to consideration by the board of directors of the applicant and any related entity, or any committee thereof of the agreement or transaction or of any other possible transaction involving any of the health facilities that are the subject of agreement or transaction.
(B) Copies of all documents relating or referring to the reasons why any potential transferee was excluded from further consideration as a potential transferee for any of the health facilities that are the subject of the agreement or transaction.
(C) Copies of all Requests for Proposal sent to any potential transferee, and all responses received thereto.
(D) All documents reflecting the deliberative process used by the applicant and any related entity in selecting the transferee as the entity to participate in the proposed agreement or transaction.
(E) Copies of each Proposal received by the applicant from any potential transferee suggesting the terms of a potential transfer of applicant's health facilities, and any analysis of each such Proposal.
(F) The applicant's prior two annual audited financial statements, the applicant's most current unaudited financial statement, business projection data and current capital asset valuation data.
(G) Any requests for opinions to the Internal Revenue Service for rulings attendant to this transaction and any Internal Revenue Service responses thereto.
(H) Pro forma post-transaction balance sheet for the surviving or successor nonprofit corporation.
(e) Procedure for Review of Notice
(1) Within 60 days of receipt of the notice as set forth in section 999.5(c)(1) of these Regulations, the Attorney General shall notify the applicant in writing of its decision to consent to, give conditional consent to, or not consent to the agreement or transaction. A copy of the written decision shall be made available to any person or entity who has requested a copy.
(A) For purposes of this section, the notice shall be deemed received on the date when substantially all of the information required by section 999.5(d) of these regulations has been submitted to the Attorney General.
(B) If an independent health care impact statement is required for the agreement or transaction under section 999.5(e)(5), the notice shall not be deemed received until all of the information required by section 999.5(d)(5) has been submitted to the Attorney General.
(2) The Attorney General may extend the 60-day deadline for a decision by an additional 45-day period for the reasons set forth in Corporations Code sections 5915 and 5921. Nothing in this section shall preclude the Attorney General and the applicant from mutually agreeing to a further extension of the deadline.
(3) Prior to issuing a written decision, the Attorney General shall conduct one or more public meetings on the proposed agreement and transaction to receive comments from interested parties. At least one of the public meetings shall be in the county in which any health or similar facility that is affected by the agreement or transaction is located.
(A) At least 14 days prior to the public meeting, the Attorney General shall provide notice of the time and place of the meeting to the board of supervisors of the affected county, to any person who has requested such notice in writing, and through publication in a newspaper of general circulation in the affected community.
(B) Nothing in this section shall preclude the Attorney General from holding additional public hearings as necessary to ensure full consideration of the proposed agreement or transaction. Nothing in this section shall preclude the applicant or any other party from holding public meetings to discuss the proposed agreement or transaction.
(C) If a substantive change in the proposed agreement or transaction is submitted to the Attorney General after the initial public meeting, the Attorney General shall conduct an additional public meeting if it is deemed necessary to ensure adequate public comment regarding the proposed change.
(D) If an independent health care impact statement is prepared for the agreement or transaction under section 999.5(e)(5), a public meeting shall be held no earlier than 10 days after the completed statement has been made available for public review.
(4) Within the time periods set forth in this section and relating to the factors set forth in section 999.5(f), the Attorney General may contract with experts or consultants to review any aspect of the proposed agreement or transaction or receive information or expert opinion from any state agency. The Attorney General shall make publicly available any written report from any such expert, consultant, or state agency.
(5) The Attorney General shall prepare an independent health care impact statement for any agreement or transaction that satisfies either of the following conditions:
(A) The agreement or transaction directly affects a general acute care hospital as defined in Health and Safety Code section 1250(a) that has more than 50 acute care beds; or
(B) There is a fair argument that the agreement or transaction may result in a significant effect on the availability or accessibility of existing health care services.
Nothing in this section shall preclude the Attorney General from preparing an independent health care impact statement or any other report that may be necessary for a complete review and evaluation of the agreement or transaction.
(6) The independent health care impact statement shall contain the following information:
(A) An assessment of the effect of the agreement or transaction on emergency services, reproductive health services and any other health care services that the hospital is providing.
(B) An assessment of the effect of the agreement or transaction on the level and type of charity care that the hospital has historically provided.
(C) An assessment of the effect of the agreement or transaction on the provision of health care services to Medi-Cal patients, county indigent patients, and any other class of patients.
(D) An assessment of the effect of the agreement or transaction on any significant community benefit program that the hospital has historically funded or operated.
(E) An assessment of the effect of the agreement or transaction on staffing for patient care areas as it may affect availability of care, on the likely retention of employees as it may affect continuity of care, and on the rights of employees to provide input on health quality and staffing issues.
(F) An assessment of the effectiveness of any mitigation measure proposed by the applicant to reduce any significant adverse effect on health care services identified in the impact statement.
(G) A discussion of alternatives to the proposed agreement or transaction including closure of the hospital.
(H) Recommendations for additional feasible mitigation measures that would reduce or eliminate any significant adverse effect on health care services identified in the impact statement.
The information contained in the independent health care impact statement shall be used in considering whether the agreement or transaction may create a significant effect on the availability or accessibility of health care services as set forth in section 999.5(f)(8) of the regulations. Copies of the health care impact statement shall be made available to any person or entity that has requested a copy.
(7) It is the policy of the Attorney General to receive and consider all relevant information concerning the proposed agreement or transaction. Any interested person may submit written comments, or electronic mail if feasible, regarding any aspect of the proposed agreement or transaction. The written comments shall be addressed to the Attorney General, Charitable Trusts Section, 1300 I Street, P.O. Box 944255, Sacramento, California 94244-2550, Attn: Hospital Conversion. Written comments should be submitted no later than 10 days before the applicable deadline for the decision.
(f) Factors To Be Considered in Making a Decision
(1) In making a determination on whether to consent to any agreement or transaction for which written consent is required by section 999.5(a)(1) of these regulations, the Attorney General shall consider whether the terms and conditions of the agreement or transaction are fair and reasonable to the selling nonprofit corporation.
(2) In making a determination on whether to consent to any agreement or transaction for which written consent is required by section 999.5(a)(1) of these regulations, the Attorney General shall consider whether the agreement or transaction will result in inurement to any private person or entity.
(A) As used in this subsection, “inurement” means that an individual or entity has received some special benefit which is unreasonable under the circumstances because of his, her or its relationship to any nonprofit corporation involved in the transaction. “Inurement” also includes excessive compensation to directors, officers or employees of any nonprofit corporation involved in the transaction.
(B) In determining whether the agreement or transaction will result in inurement, the Attorney General shall assess, among other things, whether any officer, director, employee, or spouse or family member as described in Corporations Code section 5227(b)(2) of an officer or director of any nonprofit corporation involved in the agreement or transaction will receive stock options, performance bonuses, increased compensation, excessive salaries and benefits, or corporate loans as a result of the agreement or transaction.
(C) An agreement or transaction will result in inurement if there is a violation of Health and Safety Code sections 1260 and 1260.1.
(3) In making a determination on whether to consent to any agreement or transaction for which written consent is required by section 999.5(a)(1) of these regulations, the Attorney General shall consider the fair market value of the agreement or transaction as the term “fair market value” is defined in Corporations Code sections 5917(c) and 5923(c).
(A) The Attorney General may review some or all of the following factors to determine the fair market value of the agreement or transaction:
1. The fair market value of tangible and intangible assets proposed to be sold or transferred by the applicant in the transaction;
2. Anticipated future earnings or other income from the facilities and other assets being sold or transferred;
3. The fair market value of tangible and intangible assets proposed to be received by the applicant in the transaction;
4. If the nonprofit corporation is receiving notes rather than cash for the sale or transfer of a health facility or other assets, such factors as the type and value of any security or collateral, the present value of the note, the marketability of the note, and tax consequences may be evaluated in determining the value of the note;
5. Whether the facilities or assets being sold or transferred have been aggressively marketed by investment bankers or other relevant professionals in an attempt to generate multiple bidders and maximum value;
6. Whether there are competing offers;
7. Whether formal and professional valuation appraisals have been obtained;
8. Whether the nonprofit corporation thoroughly considered all realistic alternatives, including mergers and/or strategic alliances with other nonprofit entities (both locally and regionally based) and transaction alternatives (e.g., sales of assets, leases, joint ventures, etc.) with for-profit partners; and
9. If an applicant has filed for protection under the United States Bankruptcy Code, the extent to which the bankruptcy court proceeding will set a fair market value for the assets involved in the transaction.
(B) If written notice and consent is required by the provisions of Corporations Code section 5914, the Attorney General shall also consider whether the agreement or transaction is at fair market value. This requirement shall not apply if the written notice and consent is required by the provisions of Corporations Code section 5920.
(4) In making a determination on whether to consent to any agreement or transaction for which written consent is required by section 999.5(a)(1) of these regulations, the Attorney General shall consider whether the market value has been manipulated by the parties to the agreement or transaction in a manner that causes the value of the assets to decrease
(5) In making a determination on whether to consent to any agreement or transaction for which written consent is required by section 999.5(a)(1) of these regulations, the Attorney General shall consider whether the proposed use of the proceeds from the agreement or transaction is consistent with the charitable trust on which the assets are held by the health facility or affiliated nonprofit health system.
(A) If the agreement or transaction involves the sale of any charitable trust assets, the nonprofit corporation that receives the sale proceeds shall utilize those proceeds for a like charitable purpose benefitting the same class of beneficiaries. If the charitable trust assets that are sold or transferred involve restricted funds, the proceeds received must remain segregated and used for their restricted purposes.
(B) If the agreement or transaction will result in a redirection of charitable trust assets from an operational use to a grant-making use, every effort shall be made to insure that a constancy of purpose is maintained. A court-validating procedure will be required for any transaction described in this subsection.
(6) In making a determination on whether to consent to any agreement or transaction for which written consent is required by section 999.5(a)(1) of these regulations, the Attorney General shall consider whether the agreement or transaction involves or constitutes any breach of trust.
(7) In making a determination on whether to consent to any agreement or transaction for which written consent is required by section 999.5(a)(1) of these regulations, the Attorney General shall consider whether sufficient information and data has been provided by the applicant to evaluate adequately the agreement or transaction or the effects thereof on the public.
(8) In making a determination on whether to consent to any agreement or transaction for which written consent is required by section 999.5(a)(1) of these regulations, the Attorney General shall consider whether the agreement or transaction may create a significant effect on the availability or accessibility of health care services to the affected community.
(A) Potential adverse effects on availability or accessibility of health care may be mitigated through provisions negotiated between the parties to the transaction, through conditions adopted by the Attorney General in consenting to the proposed transaction, or through any other appropriate means.
(B) It is the policy of the Attorney General, in consenting to an agreement or transaction involving a general acute care hospital, to require for a period of at least five years that a minimum level of annual charity care costs be incurred by the hospitals that are the subject of the agreement or transaction. The minimum level of annual charity care costs should be based on the historic level of charity care that the hospital has provided. The definition and methodology for calculating charity care costs should be consistent with the definitions and methodology established by the Office of Statewide Health Planning and Development. The Attorney General shall retain complete discretion to determine whether this policy shall be applied in any specific transaction under review.
(C) It is the policy of the Attorney General, in consenting to an agreement or transaction involving a general acute care hospital, to require for a period of at least five years the continuation at the hospital of existing levels of essential healthcare services, including but not limited to emergency room services. The Attorney General shall retain complete discretion to determine whether this policy shall be applied in any specific transaction under review.
(9) In making a determination on whether to consent to any agreement or transaction for which written consent is required by section 999.5(a)(1) of these regulations, the Attorney General shall consider whether the effect of the agreement or transaction may be substantially to lessen competition or tend to create a monopoly.
(10) In making a determination on whether to consent to any agreement or transaction for which written consent is required by section 999.5(a)(1) of these regulations, the Attorney General shall consider the extent of independence that the nonprofit corporation retains as a result of the agreement or transaction.
(A) The Attorney General will closely scrutinize any agreement or transaction in which the sale proceeds to the nonprofit corporation are tied to the provision of services by the acquiring for-profit entity such as providing health services to the poor in lieu of cash or guaranteed payments by the nonprofit corporation to the acquiring entity for indigent services.
(B) Acquiring for-profit entities shall not control sale proceeds or assets through such methods as creation of a new nonprofit foundation or through appointments to the board of directors of the nonprofit corporations.
(11) Except for transactions set forth in Corporations Code section 5233(b), the Attorney General shall not consent to any agreement or transaction to which one or more directors of any nonprofit corporation involved in the agreement or transaction has a material financial interest unless the facts set forth in Corporations Code section 5233(d)(2) or (d)(3) are established.
(12) In making a determination on whether to consent to any agreement or transaction for which written consent is required by section 999.5(a)(1) of these regulations, the Attorney General shall consider whether the agreement or transaction is in the public interest.
(13) As provided by Corporations Code section 5917.5, the Attorney General shall not consent to any agreement or transaction in which the seller restricts the type or level of medical services that may be provided at the health facility that is the subject of the agreement or transaction.
(g) Compliance Program
(1) The Attorney General shall monitor compliance with any terms or conditions of any agreement or transaction for which the Attorney General has given written consent or conditional consent under Corporations Code sections 5915 and 5921. Upon request of the Attorney General, parties to any such agreement or transaction shall provide to the Attorney General such information as is reasonably necessary to monitor compliance.
(2) The Attorney General may contract with experts and consultants as reasonable and necessary to review and evaluate compliance as provided in section 999.5(g)(1) of these regulations.
(3) For any agreement or transaction for which the Attorney General has given written consent or conditional consent under Corporations Code section 5915, the Attorney General shall be entitled to reimbursement of all actual, reasonable and direct costs, including contract and administrative costs, incurred in monitoring compliance as provided in section 999.5(g)(1) of these regulations.
(4) For any agreement or transaction for which the Attorney General has given written consent or conditional consent under Corporations Code section 5921 and for a period not to exceed two years after the end of the time period for performance of any obligation specified by the agreement or transaction, the Attorney General shall be entitled to reimbursement of all actual, reasonable and direct costs, including contract and administrative costs, incurred in monitoring compliance as provided in section 999.5(g)(1) of these regulations.
(5) Except as otherwise prohibited by law or as necessary to protect privileged communications, the Attorney General shall make available to the public all documents relating to compliance with any terms or conditions of any agreement or transaction for which the Attorney General has given consent or conditional consent under Corporations Code section 5915 and 5921.
(h) Amendment of Consent Terms and Conditions
(1) Either the selling or acquiring corporation or entity, or their successors in interest, may request Attorney General approval of any amendment of the terms and conditions of any agreement or transaction for which the Attorney General has given consent or conditional consent under Corporations Code section 5915 or 5921. The sole basis for such a request shall be a change in circumstances that could not have reasonably been foreseen at the time of the Attorney General's action.
(2) A request for an amendment shall include a description of each proposed amendment, a description of the change in circumstance requiring each such amendment, a description of how each such amendment is consistent with the Attorney General's consent or conditional consent to the transaction, and a description of the efforts of the entity making the request to avoid the need for amendment.
(3) The Attorney General shall issue a decision on the proposed amendments within 90 days of the submission of all of the information set forth in section 999.5(h)(2) of these regulations. The Attorney General shall provide public notice of the proposed amendments. A public meeting shall be held before the decision is made either at the discretion of the Attorney General or upon the request of any person within 7 days of the public notice.
(4) In approving proposed amendments to conditions relating to the operation of a health facility such as required levels of charity care and continuation of essential services, the Attorney General shall consider the effect of the proposed amendments on the availability or accessibility of health care services to the affected community. The Attorney General shall approve proposed amendments of the use of sales proceeds only if the proposed amendments are necessary to carry out charitable trust purposes, or in the case of a proposed change in charitable purpose only if that change complies with the principles of the cy pres doctrine.
(5) The provisions of section 999.5(g)(2), (3), (4) and (5) shall apply to Attorney General review of proposed amendments of the terms and conditions of any agreement or transaction for which the Attorney General has given consent or conditional consent under Corporations Code section 5915 and 5921.
(6) Unless otherwise provided in the decision consenting to an agreement or transaction, the approval of the Attorney General shall not be required for modifications to the agreement or transaction that are not material to the Attorney General's consent. The provisions of section 999.5(h) shall not limit the authority of the Attorney General to interpret the terms and conditions of any consent decision.
(i) Attorney General Cost Reimbursements
(1) The applicant shall reimburse the Attorney General for the following costs incurred in the review and evaluation of any written notice submitted under section 999.5(a) of these regulations:
(A) All actual contract costs that are reasonable and necessary to conduct the review and evaluation, and
(B) All actual, reasonable, direct costs, including administrative costs, incurred in reviewing, evaluating, and ruling upon the written notice.
(2) The Attorney General shall also be entitled to reimbursement for the costs set forth in sections 999.5(g)(2), (3) and (4) and section 999.5(h)(5) of these regulations. Such reimbursement shall be provided by either the selling or the acquiring corporation, depending upon which one the burden of compliance falls or which one submitted the proposed amendment.
(3) As used in sections 999.5(g)(3) and (4), and 999.5(i)(1)(B) of these regulations, “actual, reasonable and administrative costs” includes, but is not limited to, the cost for all Attorney General's office personnel and employee time at the billing rates used by the Department of Justice for budgeting purposes, costs of travel, printing costs, and all costs incurred in the noticing and conduct of public meetings.
(4) The Attorney General shall maintain an adequate record of any reimbursable costs, which shall, upon request, be made available to the party from whom reimbursement is being sought.
NOTE
Authority cited: Sections 5914(b), 5918, 5920(b), 5924(d) and 5925, Corporations Code. Reference: Sections 5914-5925, Corporations Code.
HISTORY
1. New section filed 1-17-97 as an emergency; operative 1-17-97 (Register 97, No. 3). A Certificate of Compliance must be transmitted to OAL by 5-19-97 or emergency language will be repealed by operation of on the following day.
2. Certificate of Compliance as to 1-17-97 order, including amendment, transmitted to OAL 5-7-97 and filed 6-19-97 (Register 97, No. 25).
3. New subsections (e)-(e)(3)(G)(iii) filed 8-14-97 as an emergency; operative 8-14-97 (Register 97, No. 33). A Certificate of Compliance must be transmitted to OAL by 12-12-97 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 8-14-97 order, including amendments, transmitted to OAL 11-25-97 and filed 1-12-98 (Register 98, No. 3).
5. Repealer and new section filed 2-4-2000 as an emergency; operative 2-4-2000 (Register 2000, No. 5). A Certificate of Compliance must be transmitted to OAL by 6-5-2000 or emergency language will be repealed by operation of law on the following day.
6. Amendment of subsection (a)(3) and new subsections (a)(3)(A) and (a)(3)(B) filed 3-16-2000 as an emergency; operative 3-16-2000 (Register 2000, No. 11). A Certificate of Compliance must be transmitted to OAL by 7-14-2000 or emergency language will be repealed by operation of law on the following day.
7. Repealer and new section contained in 2-4-2000 order and amendment of subsection (a)(3) and new subsections (a)(3)(A) and (a)(3)(B) contained in 3-16-2000 order refiled 6-5-2000 as an emergency; operative 6-5-2000 (Register 2000, No. 23). A Certificate of Compliance must be transmitted to OAL by 10-3-2000 or emergency language of both orders will be repealed by operation of law on the following day.
8. Repealer and new section contained in 2-4-2000 order and amendment of subsection (a)(3) and new subsections (a)(3)(A) and (a)(3)(B) contained in 3-16-2000 order refiled 10-2-2000 as an emergency; operative 10-2-2000 (Register 2000, No. 40). A Certificate of Compliance must be transmitted to OAL by 1-30-2001 or emergency language will be repealed by operation of law on the following day.
9. Repealer and new section contained in 2-4-2000 order and amendment of subsection (a)(3) and new subsections (a)(3)(A) and (a)(3)(B) contained in 3-16-2000 order refiled 1-30-2001 as an emergency; operative 1-30-2001 (Register 2001, No. 5). A Certificate of Compliance must be transmitted to OAL by 5-30-2001 or emergency language will be repealed by operation of law on the following day.
10. Certificate of Compliance as to 1-30-2001 orders, including further amendment of section, transmitted to OAL 3-9-2001 and filed 4-20-2001; operative 5-20-2001 (Register 2001, No. 16).
11. Amendment of section and Note filed 2-16-2005; operative 3-18-2005 (Register 2005, No. 7).
§999.6. Charitable Entity Registration Refusal, Revocation or Suspension.
Note • History
(a) The Attorney General may refuse to register, or revoke, or suspend the registration of a charitable corporation, trustee, commercial fundraiser, fundraising counsel, and coventurer, for the reasons as specified in Section 12598, subdivision (e), of the Government Code.
(b) When a registration is refused, revoked, or suspended, the Attorney General shall provide written notice which specifies the reasons for the action.
(c) If the registrant seeks to appeal a registration action, it must request a hearing by filing a written appeal with the Registrar of Charitable Trusts within thirty (30) calendar days of the written notice's issue date.
(1) The written appeal shall contain the name and entity affiliation (if any), address and phone number of the person appealing, the registration number (if any), and a statement of the basis of appeal.
(2) Notice of the hearing date, time and place shall be provided in accordance with the procedures set out in Chapter 5 (commencing with section 11500) of Part 1 of Division 3 of Title 2 of the Government Code. The failure of the person or entity who has appealed to appear at the time and place of the hearing shall be deemed a withdrawal of the appeal, and the written notice of the registration refusal, revocation, or suspension shall constitute the Attorney General's final order subject to no further administrative review.
(d) All hearings provided for under this regulation shall be conducted by an administrative hearing officer appointed by the Attorney General. The hearing officer shall not have participated in the decision concerning the registration that is the subject of the hearing and is otherwise subject to the disqualification provisions of sections 11425.30 and 11425.40 of the Government Code.
(e) All hearings under this regulation shall be conducted in accordance with the procedures set out in Chapter 5 (commencing with section 11500) of Part 1 of Division 3 of Title 2 of the Government Code, except where as applicable those provisions requiring the designation of administrative law judges.
(f) Except as otherwise prohibited by law, the Attorney General may delegate any of the powers and duties under Section 12598, subdivision (e), of the Government Code and under these regulations to Department of Justice staff.
NOTE
Authority cited: Section 12598(e), Government Code. Reference: Sections 11400, et seq. and 11500, et seq., Government Code.
HISTORY
1. New section filed 6-1-2007; operative 7-1-2007 (Register 2007, No. 22).
§999.7. Review of Hearing Officer's Proposed Decision.
Note • History
(a) Within 15 days after service of the hearing officer's proposed decision as provided for in Chapter 5 (commencing with section 11500) of Part 1 of Division 3 of Title 2 of the Government Code, any party to a registration action may file a written brief served on all parties seeking review by the Attorney General of the proposed decision. Failure of a party to timely file such a brief waives the party's right to such a review.
(b) Briefing Procedure
(1) No later than 15 days after service of the written brief requesting review of the proposed decision, an opposition to the request (if any) must be filed and served on the parties.
(2) The parties' briefing may address the following:
(A) Whether the facts stated in the proposed decision are consistent with the evidence presented;
(B) Whether the proposed decision contains an accurate statement and/or application of the law; and
(C) Whether additional evidence exists that could not, with reasonable diligence, have been discovered and presented at the administrative hearing.
(3) The Attorney General may in his/her discretion upon a showing of good cause, extend the time requirements set forth herein unless irreparable harm would result from granting such an extension.
NOTE
Authority cited: Section 12598(e), Government Code. Reference: Sections 11517, 11518.5 and 11519, Government Code.
HISTORY
1. New section filed 6-1-2007; operative 7-1-2007 (Register 2007, No. 22).
§999.8. Final Attorney General Decisions.
Note • History
(a) Upon completion of the briefing process or after 15 days of service of the proposed decision, the Attorney General may do any of the following:
(1) Adopt the proposed decision in its entirety.
(2) Reduce or otherwise mitigate the proposed decision in its entirety.
(3) Make technical or non-substantive changes which do not affect the factual or legal basis of the proposed decision and adopt it as the final decision.
(4) Non-adopt the proposed decision. If the proposed decision is not adopted, the Attorney General may decide the case upon the record, including the transcript, or may refer the case back to the hearing officer to take additional evidence. If the case is remanded back to the hearing officer for taking additional evidence, another proposed decision shall be prepared based upon this additional evidence. The proposed decision shall be subject to the review and adoption procedures set out in these regulations.
(A) Before deciding any case on the record, the Attorney General shall give the parties the opportunity to present further written argument.
(B) If the record and/or the parties' arguments reveal the need for additional evidence, the Attorney General in his/her discretion may order the taking of additional evidence either by the Attorney General or by the hearing officer. Following the receipt of any additional evidence, the Attorney General may require further written or oral argument before deeming the case submitted for final decision.
(b) The proposed decision shall be deemed adopted by the Attorney General 100 days after service of the proposed decision by the hearing officer, unless within that time: (1) the Attorney General notifies the parties that the proposed decision is or is not adopted or is otherwise modified, or (2) the matter is referred to the hearing officer to take additional evidence.
(c) The decision shall become effective 30 days after it is mailed to the parties, unless reconsideration of the decision is ordered within that time or the Attorney General orders that the decision shall become effective sooner.
(d) The Attorney General may designate as precedent the decision or any part thereof that contains a significant legal or policy determination that is likely to recur.
(1) Once a decision is designated as precedent, parties may cite to such decisions in their briefs to the Attorney General, hearing officer, and the courts.
(2) If the Attorney General decides to designate precedent decisions under this regulation, then an index of significant legal and policy determinations made in these decisions shall be maintained and made available to the public at the Charitable Trust Registry as well as publicized annually in the California Regulatory Notice Register. The index shall be maintained at least annually, unless no precedent decisions have been designated since the last preceding update.
NOTE
Authority cited: Section 12598(e), Government Code. Reference: Sections 11425.10(a)(7), 11425.60, 11517, 11518.5 and 11519, Government Code.
HISTORY
1. New section filed 6-1-2007; operative 7-1-2007 (Register 2007, No. 22).
Chapter 16. Attorney General Regulations Under Master Settlement Agreement with Tobacco Product Manufacturers and Non-Participating Tobacco Product Manufacturer Law (Health & Safety Code Sections 104555-104557)
§999.10. Scope and Purpose, Definitions, and Written Confirmation of Compliance with Reserve Fund Requirements by Non-Participating Tobacco Product Manufacturers.
Note • History
(a) Scope and Purpose
The purpose of these regulations is to implement California's Reserve Fund Statute (codified at Health and Safety Code sections 104555, 104556 and 104557) by providing Tobacco Product Manufacturers clear definitions, instructions, guidance and forms to comply with the requirement to establish a reserve fund for tobacco-related illness and other potential liabilities. The Legislature imposed the reserve fund requirements to ensure a source of compensation for the financial burdens imposed upon the State by cigarette-smoking related illness and other health conditions. Health and Safety Code sections 104555-104557 essentially require Tobacco Product Manufacturers to provide a surety bond against future liability for cigarette-smoking related healthcare costs. This surety bond is imposed upon manufacturers which choose to avoid the conduct restrictions that apply if they sign the Master Settlement Agreement (“MSA”). Government Code sections 11110-11113 require the Attorney General to adopt regulations to provide forms for surety bonds which are approved by the Attorney General as conforming with applicable law. Revenue and Taxation Code section 30165.1(o) also authorizes the Attorney General to adopt emergency rules and regulations regarding the reserve fund requirements of Tobacco Product Manufacturers.
The Legislature also intended to prevent the unfair competition that would occur if Tobacco Product Manufacturers who did not sign the MSA and did not incur the financial obligation under the MSA were allowed to derive large short-term profits to the disadvantage of those manufacturers participating in the MSA. These regulations are also intended to protect tobacco Distributors and Wholesalers from the financial risk of accepting orders for tobacco products or purchasing tobacco products that may be banned from sale by a court or are not listed on California's Directory of Tobacco Product Manufacturers and Brand Families because the Tobacco Product Manufacturer failed to make the required deposits or otherwise comply with the Reserve Fund Statute and Revenue and Taxation Code section 30165.1.
Through the definitions, instructions, guidance and forms provided, these regulations also make available to the public and local and state government officials the Attorney General's enforcement policy and interpretation of how Tobacco Product Manufacturers should comply with the reserve fund requirements to avoid unfair and unlawful business conduct and activity. Toward that end, these regulations are intended to describe the meaning of compliance with the reserve fund requirements, the proper interpretation of the statutory requirements and the enforcement policy designed to protect those manufacturers which do comply from unfair competition by those manufacturers which might otherwise fail to comply with the reserve fund requirements without the definitions, instructions, guidance and forms provided.
The purpose of regulations 999.16 through 999.23 is also to implement Revenue and Taxation Code section 30165.1 by prescribing procedures to be followed by all Tobacco Product Manufacturers who wish to sell Cigarettes in California. Section 30165.1 requires the Attorney General to develop, publish and maintain on his internet website a Directory of Tobacco Product Manufacturers and Brand Families that are in compliance with the statute. Any person who sells, distributes, acquires, holds, owns, possesses, transports, imports, or causes to be imported Cigarettes or Roll-your-own tobacco that the person knows or should know are not included on the Directory commits a misdemeanor, as well as a violation of California's Unfair Competition Law, and is subject to civil penalties, license suspension and revocation, and criminal prosecution.
Regulations 999.16 through 999.23 set forth the certification process for inclusion on California's Directory of Tobacco Product Manufacturers and Brand Families, as well as the conditions under which a Tobacco Product Manufacturer must provide supplemental certifications. The regulations also specify the circumstances under which Tobacco Product Manufacturers must certify and make escrow deposits more frequently than on an annual basis. The regulations state the requirements for records retention and production of documents by Tobacco Product Manufacturers, Distributors and Wholesalers. The regulations set forth additional requirements on Non-Participating Manufacturers who are non-resident or foreign and who are not registered to do business in California. The regulations clarify the requirements and protections of California Distributors under Section 30165.1. Finally, the regulations delineate the conditions a Tobacco Product Manufacturer, which has been removed from the Directory, must satisfy if it seeks to be relisted with its Brand Families.
(b) Definitions
All terms used in these regulations, which are defined in Revenue and Taxation Code section 30165.1 and/or Health and Safety Code sections 104555-104557, shall have the same meaning in these regulations.
The definitions contained in this subdivision shall govern the construction of this chapter.
(1) “Board” means the State Board of Equalization.
(2) “Brand Family” shall have the same meaning as in Revenue and Taxation Code section 30165.1(a)(2).
(3) “Cigarette” shall have the same meaning as in Health and Safety Code section 104556(d).
(4) “Distributor” shall have the same meaning as in Revenue and Taxation Code section 30011.
(5) “Non-participating tobacco product manufacturer (NPM)” means any Tobacco Product Manufacturer selling Cigarettes to consumers within the state, whether directly or through a Distributor, retailer or similar intermediary or intermediaries, which has not become a participating manufacturer as that term is defined in section II(jj) of the Master Settlement Agreement (MSA) or has become a participating manufacturer but does not generally perform its financial obligations under the MSA.
(6) “Original Participating Manufacturer (OPM)” mean the companies specified in section II(hh) of the MSA which are generally performing their obligations under the MSA.
(7) “Qualified Escrow Fund” shall have the same meaning as in Health and Safety Code section 104556(f).
(8) “Reserve Fund Statute” means Chapter 1 of Part 3 of Division 103 of the Health and Safety Code (sections 104555-104557).
(9) “Roll-your-own” or “RYO” tobacco means any tobacco which, because of its appearance, type, packaging, or labeling is suitable for use and likely to be offered to, or purchased by, consumers as tobacco for making Cigarettes.
(10) “Tobacco Product Manufacturer” shall have the same meaning as in Health & Safety Code section 104556(i).
(11) “Units sold” means the number of individual Cigarettes, including the amount of “Roll-your-own” tobacco (.09 ounces of “roll-your own” constitutes one Cigarette) sold in California by a Non-Participating Tobacco Product Manufacturer, whether directly or through a Distributor, retailer or similar intermediary or intermediaries, during the year in question, as measured by excise taxes collected by the State Board of Equalization on Cigarette packs or “Roll-your-own” tobacco containers.
(12) “Wholesaler” shall have the same meaning as in Revenue and Taxation Code section 30016.
(c) Confirmation of Compliance with Reserve Fund Requirements
(1) Before an NPM sells or ships Cigarettes or Roll-your-own tobacco to a Distributor or Wholesaler for sale in California, the NPM shall provide written confirmation to the Distributor or Wholesaler that said manufacturer has either become a participating manufacturer under the MSA and is generally performing its financial obligations under the MSA, or has made the requisite escrow deposits and certification of compliance required of NPMs by Health and Safety Code section 104557 and these regulations. A copy of the CERTIFICATION OF COMPLIANCE AND AFFIDAVIT BY NON-PARTICIPATING TOBACCO PRODUCT MANUFACTURER REGARDING DEPOSIT OF RESERVE FUNDS INTO ESCROW (“Certificate of Compliance” JUS-TOB3 Rev. 02/2011) filed with the Attorney General by an NPM or an equivalent notarized statement which has been approved by the Attorney General pursuant to section 999.11 is adequate written confirmation for the purposes of this section.
(2) An NPM which has not sold tobacco products in California before these regulations become effective shall not sell or ship Cigarettes or Roll-your-own tobacco to a Distributor or Wholesaler purchasing or accepting orders for any Cigarettes or Roll-your-own tobacco for sale in California, unless the NPM has provided written confirmation to the Distributor or Wholesaler that the NPM has received and reviewed a copy of Health and Safety Code sections 104555-104557 and these implementing regulations. During the first quarter year of sales in California, an NPM must provide written confirmation of compliance either by producing a copy of the ACKNOWLEDGMENT OF RECEIPT & REVIEW OF NPM RESERVE FUND STATUTE, IMPLEMENTING REGULATIONS & FORMS (“Acknowledgment of Receipt & Review” form--JUS-TOB5 Rev. 04/2004), or an equivalent notarized statement which has been approved by the Attorney General, filed with the Attorney General.
An NPM shall complete and file the Acknowledgment of Receipt & Review (JUS-TOB5 Rev. 04/2004) with the Attorney General within thirty (30) days of receipt. Thereafter, the NPM shall provide copies of the form, as filed with the Attorney General, to Wholesalers and Distributors before the NPM sells or ships its tobacco products to a Wholesaler or Distributor until the end of the first quarter year in which the NPM began selling in California, when it must file its first Certificate of Compliance (JUS-TOB3 Rev. 02/2011). The filed Acknowledgment of Receipt & Review (JUS-TOB5 Rev. 04/2004) shall constitute adequate written confirmation of compliance only until the end of the first quarter year in which the NPM began selling tobacco products in California. No deviation from the Acknowledgment of Receipt & Review shall be permitted without the prior written approval of the Attorney General.
(3) If an NPM fails to provide the requisite written confirmation of compliance, the Wholesaler or Distributor shall request the NPM to provide written confirmation of compliance prior to the manufacturer selling or shipping its tobacco products to the Wholesaler or Distributor. If the Distributor or Wholesaler does not receive any written confirmation prior to the NPM shipping or offering to sell its tobacco products, or receives inadequate confirmation, the Distributor or Wholesaler shall report the lack of prior confirmation or inadequate confirmation to the Attorney General (attention: Tobacco Litigation & Enforcement Section) within fourteen (14) business days after the failure to provide confirmation or the provision of inadequate confirmation. The report shall be in writing and include the name, address and telephone number of the NPM and details of the request for confirmation pursuant to this section and the inadequacies in the confirmation, or details of the failure to provide the requested written confirmation. The report shall also specify whether the failure to provide confirmation or inadequate confirmation may be because the NPM has not sold tobacco products in California.
(4) Upon request of the Attorney General, the Distributor or Wholesaler shall provide such further information as may be required by the Attorney General to confirm compliance by the Tobacco Product Manufacturer or to seek a court order barring the NPM from further sales of tobacco products pending proof of compliance or other enforcement action by the Attorney General.
(5) Tobacco Product Manufacturers shall provide such information as required by the State Board of Equalization (“Board”), or requested by Distributors, Wholesalers, retailers or other intermediaries required to report to the Board, when the reports required by the Board are to assist the Board to determine the number of units sold in California. NPMs shall also provide such information as required by the Attorney General or requested by Distributors or Wholesalers, as required by this section, to confirm and enforce compliance with the requirements of Health and Safety Code sections 104555-104557 and prevent the unfair competition resulting from non-compliance. The information required by the Board and the Attorney General includes, but is not limited to:
(A) Brand names;
(B) Unit sales of each brand;
(C) Corporate or business name, and address of importer;
(D) Corporate or business name, and address of manufacturer;
(E) Whether the seller was the manufacturer, and;
(F) Whether the seller was the first importer for resale in the United States.
For the purposes of information reports required by the Attorney General, Distributors and Wholesalers shall deem any brand, which is not on the list of brands of participating manufacturers provided by the Board or the Attorney General, to be the brand of an NPM and provide the information and reports required of such NPM brands. The Board may also require such reports pursuant to Revenue and Taxation Code section 30454 or Health and Safety Code section 104556(j) or other authority.
NOTE
Authority cited: Section 30165.1(o), Revenue and Taxation Code; Sections 11110-11113, Government Code; Section 104557(c), Health and Safety Code; and Article 5, Section 13 of the California Constitution. Reference: Section 30165.1(a), Revenue and Taxation Code; and Sections 104555, 104556 and 104557, Health and Safety Code.
HISTORY
1. New chapter 16 (sections 999.10-999.14 and Appendix A) and section filed 4-15-2002 as an emergency; operative 4-15-2002 (Register 2002, No. 16). A Certificate of Compliance must be transmitted to OAL by 8-13-2002 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 4-15-2002 order, including further amendment of section, transmitted to OAL 5-10-2002 and filed 6-19-2002 (Register 2002, No. 25).
3. Amendment of section and Note and repealer of Appendix A filed 4-26-2004 as an emergency; operative 4-26-2004 (Register 2004, No. 18). A Certificate of Compliance must be transmitted to OAL by 10-25-2004 pursuant to Revenue and Taxation Code section 30165.1 or emergency language will be repealed by operation of law on the following day.
4. Editorial correction of History 3 (Register 2004, No. 49).
5. Certificate of Compliance as to 4-26-2004 order transmitted to OAL 10-22-2004 and filed 12-6-2004 (Register 2004, No. 49).
6. Amendment of subsections (c)(1)-(2) filed 4-11-2011 as an emergency; operative 4-11-2011 (Register 2011, No. 15). A Certificate of Compliance must be transmitted to OAL by 10-10-2011 or emergency language will be repealed by operation of law on the following day.
7. Amendment of subsections (c)(1)-(2) refiled 10-7-2011 as an emergency; operative 10-7-2011 (Register 2011, No. 40). A Certificate of Compliance must be transmitted to OAL by 1-5-2012 or emergency language will be repealed by operation of law on the following day.
8. Amendment of subsections (c)(1)-(2) refiled 1-3-2012 as an emergency, including further amendment of subsection (c)(2); operative 1-5-2012 pursuant to Government Code section 11343.4(b) (Register 2012, No. 1). A Certificate of Compliance must be transmitted to OAL by 4-5-2012 or emergency language will be repealed by operation of law on the following day.
9. Certificate of Compliance as to 1-3-2012 order transmitted to OAL 3-26-2012 and filed 5-7-2012 (Register 2012, No. 19).
§999.11. Certificate of Compliance Form.
Note • History
(a) The certification required of NPMs by Health and Safety Code section 104557(c) shall be on the Certificate of Compliance (JUS-TOB3 Rev. 02/2011). The completed form shall be signed under oath before a notary public and include the following information:
(1) The escrow account number and the amount held in the account;
(2) A copy of the receipt or other proof of escrow deposit from the financial institution;
(3) A copy of the escrow agreement; and
(4) Date and signature of a notary public.
(b) No deviation from the Certificate of Compliance (JUS-TOB3 Rev. 02/2011) shall be permitted without the prior written approval of the Attorney General. Except when more frequent escrow deposits and certifications are required by 999.20 or directed by the Attorney General, the completed Certificate of Compliance must be received by the Attorney General on or before April 30 of the year following the sales year that is the subject of the certificate. A BRAND FAMILIES UNIT SALES SCHEDULE 1 (JUS-TOB4 Rev. 02/2011, or “Schedule 1”) must be completed and attached to the completed Certificate of Compliance.
NOTE
Authority cited: Section 30165.1(o), Revenue and Taxation Code; Sections 11110-11113, Government Code; Section 104557(c), Health and Safety Code; and Article 5, Section 13 of the California Constitution. Reference: Section 30165.1(a), Revenue and Taxation Code; and Section 104557(c), Health and Safety Code.
HISTORY
1. New section filed 4-15-2002 as an emergency; operative 4-15-2002 (Register 2002, No. 16). A Certificate of Compliance must be transmitted to OAL by 8-13-2002 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 4-15-2002 order, including further amendment of section, transmitted to OAL 5-10-2002 and filed 6-19-2002 (Register 2002, No. 25).
3. Amendment of section and Note filed 4-26-2004 as an emergency; operative 4-26-2004 (Register 2004, No. 18). A Certificate of Compliance must be transmitted to OAL by 10-25-2004 pursuant to Revenue and Taxation Code section 30165.1 or emergency language will be repealed by operation of law on the following day.
4. Editorial correction of History 3 (Register 2004, No. 49).
5. Certificate of Compliance as to 4-26-2004 order transmitted to OAL 10-22-2004 and filed 12-6-2004 (Register 2004, No. 49).
6. Amendment of subsections (a) and (b) filed 4-11-2011 as an emergency; operative 4-11-2011 (Register 2011, No. 15). A Certificate of Compliance must be transmitted to OAL by 10-10-2011 or emergency language will be repealed by operation of law on the following day.
7. Amendment of subsections (a) and (b) refiled 10-7-2011 as an emergency; operative 10-7-2011 (Register 2011, No. 40). A Certificate of Compliance must be transmitted to OAL by 1-5-2012 or emergency language will be repealed by operation of law on the following day.
8. Amendment of subsections (a) and (b) refiled 1-3-2012 as an emergency, including further amendment of subsection (a); operative 1-5-2012 pursuant to Government Code section 11343.4(b) (Register 2012, No. 1). A Certificate of Compliance must be transmitted to OAL by 4-5-2012 or emergency language will be repealed by operation of law on the following day.
9. Certificate of Compliance as to 1-3-2012 order transmitted to OAL 3-26-2012 and filed 5-7-2012 (Register 2012, No. 19).
§999.12. Escrow Agreement for Non-Participating Manufacturer.
Note • History
(a) Health and Safety Code section 104556(f) establishes the following conditions for the escrow accounts to be established by a NPM:
(1) The financial institution may not be affiliated with any Tobacco Product Manufacturer and must have assets of at least $1,000,000,000.
(2) The escrow agreement must require that the financial institution hold the escrowed funds' principal for the benefit of the State of California and other releasing parties under the MSA; and,
(3) The escrow agreement must also state that the company is prohibited from accessing or directing the use of the funds' principal inconsistent with Health and Safety Code section 104557.
(b) These provisions shall be included in the escrow agreement even when the Attorney General approves an escrow agreement that deviates the ESCROW AGREEMENT (JUS-TOB6 rev. 2/04.)
NOTE
Authority cited: Section 30165.1(o), Revenue and Taxation Code; Sections 11110-11113, Government Code; Section 104557(c), Health and Safety Code; and Article 5, Section 13 of the California Constitution. Reference: Section 30165.1(a), Revenue and Taxation Code; and Sections 104556(f) and 10455, Health and Safety Code.
HISTORY
1. New section filed 4-15-2002 as an emergency; operative 4-15-2002 (Register 2002, No. 16). A Certificate of Compliance must be transmitted to OAL by 8-13-2002 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 4-15-2002 order transmitted to OAL 5-10-2002 and filed 6-19-2002 (Register 2002, No. 25).
3. Amendment of section and Note filed 4-26-2004 as an emergency; operative 4-26-2004 (Register 2004, No. 18). A Certificate of Compliance must be transmitted to OAL by 10-25-2004 pursuant to Revenue and Taxation Code section 30165.1 or emergency language will be repealed by operation of law on the following day.
4. Editorial correction of History 3 (Register 2004, No. 49).
5. Certificate of Compliance as to 4-26-2004 order transmitted to OAL 10-22-2004 and filed 12-6-2004 (Register 2004, No. 49).
§999.13. Escrow Agreement Form.
Note • History
(a) All NPMs with Cigarette or Roll-your-own sales in the State must make deposits into a Qualified Escrow Fund. California's ESCROW AGREEMENT (Form JUS-TOB6 rev. 2/04) must be used in connection with establishing a Qualified Escrow Fund. After January 1, 2004, all NPMs, including those NPMs who have already established an escrow agreement, must execute an ESCROW AGREEMENT (JUS-TOB6 rev. 2/04.) No deviation from the Escrow Agreement (JUS-TOB6 rev. 2/04) shall be permitted without the prior written approval of the Attorney General. In the event that a deviation is approved, the proposed escrow agreement shall include each of the following provisions:
(1) The escrow agent shall provide 30 days' written notice to the Attorney General prior to any release of funds from the escrow to pay a judgment or settlement and allow the Attorney General or the Board to object to the release.
(2) The objection of the Attorney General or the Board must be resolved under applicable state law, procedures, and remedies before any funds are released.
(3) Requests for refund of “excess” deposits by the NPMs pursuant to Health and Safety Code section 104557(b)(2), if disputed by the State, are to be determined by a court of competent jurisdiction. Section 104557(b)(2) allows a refund if the NPM demonstrates that the escrow deposits exceed what the manufacturer would have been required to make had it been a participating manufacturer under the MSA.
(4) The escrow agent shall notify the Attorney General of the first deposit, provide a copy of the escrow agreement, all relevant instructions from the NPM and the amount of deposit made.
(5) Except when more frequent escrow deposits and certifications are required by 999.20 or directed by the Attorney General, each year after the initial year, the escrow agent shall notify the Attorney General of the amount of deposit made by the NPM.
NOTE
Authority cited: Section 30165.1(o), Revenue and Taxation Code; Sections 11110-11113, Government Code; Section 104557(c), Health and Safety Code; and Article 5, Section 13 of the California Constitution. Reference: Section 30165.1(o), Revenue and Taxation Code; and Sections 104556 and 104557, Health and Safety Code.
HISTORY
1. New section filed 4-15-2002 as an emergency; operative 4-15-2002 (Register 2002, No. 16). A Certificate of Compliance must be transmitted to OAL by 8-13-2002 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 4-15-2002 order, including further amendment of section, transmitted to OAL 5-10-2002 and filed 6-19-2002 (Register 2002, No. 25).
3. Amendment of section and Note filed 4-26-2004 as an emergency; operative 4-26-2004 (Register 2004, No. 18). A Certificate of Compliance must be transmitted to OAL by 10-25-2004 pursuant to Revenue and Taxation Code section 30165.1 or emergency language will be repealed by operation of law on the following day.
4. Editorial correction of History 3 (Register 2004, No. 49).
5. Certificate of Compliance as to 4-26-2004 order transmitted to OAL 10-22-2004 and filed 12-6-2004 (Register 2004, No. 49).
§999.14. Escrow Adjustments and Release Requests.
Note • History
(a) Introduction; grounds
The Reserve Fund Statute authorizes the release of funds from escrow only under certain circumstances. Section 104557(b) authorizes the release of funds from escrow to the extent that an NPM “establishes that the amount it was required to place into escrow in a particular year was greater than the Master Settlement Agreement payments, as determined pursuant to section IX(i) of the agreement including after the final determination of all adjustments, that the manufacturer would have been required to make in that year under the Master Settlement Agreement had it been a participating manufacturer.” (Health & Saf. Code, § 104557(b)(2).) To establish entitlement to an escrow adjustment on this ground, an NPM must calculate the total payments that it would have made as a participating manufacturer during a particular year absent certain adjustments, offsets and reductions.
Adjustments to escrow accounts deposited pursuant to Health & Safety Code sections 104555-104557, including balances due for deposit, may occur upon a showing that the adjustment is authorized pursuant to Health & Safety Code section 104557(b)(2) in response to requests for adjustments (i) by the tobacco manufacturer or (ii) by the Board or the Attorney General as a result of additional information not known to the Attorney General when the initial, or most recent, deposit was deemed sufficient or when a release from escrow was authorized and implemented.
(b) Time for filing request
Requests for adjustments must be filed in a timely manner and no later than three years after the initial deposit was due for the relevant year of sales. (See Code Civ. Proc., § 338(a)(c).)
(c) Form and contents of request
To be eligible for consideration, a request for an adjustment by an NPM must be made in writing and must be accompanied by supporting documentation which establishes compliance with all other aspects of the reserve fund requirements and the basis for the escrow release request. The supporting documentation, at a minimum, must include:
(1) A timely filed Certification of Compliance (JUS-TOB3 Rev. 02/2011) or timely filed Acknowledgment of Receipt & Review (JUS-TOB5 Rev. 04/2004), a timely filed Schedule 1 (JUS-TOB4 Rev. 02/2011), an Escrow Agreement (JUS-TOB6 Rev. 02/2004) and an affidavit identifying all current officers, owners and agents for service of process for the manufacturer and all cigarette brands owned or made by the manufacturer. When a manufacturer does not own the trademark(s) for the cigarette brand(s) that it makes or imports or sells, the affidavit shall identify the trademark owner(s) of the cigarette brand(s) sufficiently to enable regular contact and communication with the brand owner(s) by the State. These forms must be completed and timely filed in compliance with Health & Safety Code sections 104555-104557.
(2) An affidavit, signed by the executive officer of the manufacturer responsible for escrow compliance, setting forth the officer's authority to bind and act on behalf of the manufacturer and demonstrating the facts which support the adjustment requested;
(3) All records and/or other documentation demonstrating the facts offered in support of the requested adjustment, as well as documentation evidencing timely and full deposit into escrow prior to a request for adjustment; and any legal argument or analysis in support of the requested adjustment. The NPM shall submit a proposed calculation of the annual deposit due, a proposed calculation of the refund amount and a draft letter of instructions to the Escrow Agent concerning the proposed refund. To document its national unit sales, the NPM shall include copies of the NPM's bi-monthly Excise Tax Returns filed with the U.S. Treasury, Tobacco Tax Bureau (TTB), formerly the Bureau of Alcohol, Tobacco & Firearms (BATF). To document its unit sales in California (as measured by excises taxes paid), the NPM shall include copies of filed California excise tax returns for its tobacco products or arrange for equivalent excise tax payment documentation from the State of California.
The State may request such further information as is required in light of the specific facts, including, but not limited to, information on compliance with reserve fund requirements and the basis for any adjustment requested.
(d) Data to Be Used
Requests for adjustments to escrow must use the most recent data available for the Original Participating Manufacturers' (OPM) aggregate percentage of the total market and total payment due from the OPMs. The only data which will be accepted in such submittals is the data provided to the State from the Independent Auditor under the MSA. An NPM submitting a request for an adjustment to escrow may obtain this information from the State.
(e) Preliminary requests for review
Preliminary requests for releases from escrow may be submitted for review and consideration by the Board and the Attorney General. Preliminary requests for release must satisfy all the requirements for requests for adjustments to escrow, including but not limited to the timeliness, forms, content, data and documentation requirements in these regulations. The NPM is responsible for ensuring that all information and documentation necessary for a determination is provided. If all the foregoing requirements are satisfied and all the required information and documentation is provided, and the Attorney General makes a determination on a preliminary request for a release from escrow before the initial escrow payment is made, the Attorney General shall authorize an adjustment to escrow consistent with that determination as soon as practicable within thirty (30) days of the receipt of confirmation of the escrow deposit to the Board and the Attorney General. The Attorney General shall notify the submitting manufacturer by April 1st if the determination of a preliminary request for release from escrow will not be made by April 15th.
(f) Independent review
The Board and the Attorney General may initiate an adjustment to escrow should additional facts become available during the three-year period after the initial deposit was due for the relevant year of sales showing that the escrow amount paid or escrow amount released was incorrect. Bases for adjustment include, but are not limited to, new information showing inaccurate reporting of the number of units or a change in the OPM market share or any other failure by the NPM to comply with these regulations or Health and Safety Code sections 104555, 104556 and 104557.
NOTE
Authority cited: Section 30165.1(o), Revenue and Taxation Code; Sections 11110-11113, Government Code; Section 104557(c), Health and Safety Code; and Article 5, Section 13 of the California Constitution. Reference: Section 30165.1(a), Revenue and Taxation Code; and Sections 104556 and 104557, Health and Safety Code.
HISTORY
1. New section and Appendix A filed 4-15-2002 as an emergency; operative 4-15-2002 (Register 2002, No. 15). A Certificate of Compliance must be transmitted to OAL by 8-13-2002 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 4-15-2002 order, including further amendment of section and appendix A, transmitted to OAL 5-10-2002 and filed 6-19-2002 (Register 2002, No. 25).
3. Amendment of section and Note filed 4-26-2004 as an emergency; operative 4-26-2004 (Register 2004, No. 18). A Certificate of Compliance must be transmitted to OAL by 10-25-2004 pursuant to Revenue and Taxation Code section 30165.1 or emergency language will be repealed by operation of law on the following day.
4. Editorial correction of History 3 (Register 2004, No. 49).
5. Certificate of Compliance as to 4-26-2004 order transmitted to OAL 10-22-2004 and filed 12-6-2004 (Register 2004, No. 49).
6. Amendment of subsection (c)(1) filed 4-11-2011 as an emergency; operative 4-11-2011 (Register 2011, No. 15). A Certificate of Compliance must be transmitted to OAL by 10-10-2011 or emergency language will be repealed by operation of law on the following day.
7. Amendment of subsection (c)(1) refiled 10-7-2011 as an emergency; operative 10-7-2011 (Register 2011, No. 40). A Certificate of Compliance must be transmitted to OAL by 1-5-2012 or emergency language will be repealed by operation of law on the following day.
8. Amendment of subsection (c)(1) refiled 1-3-2012 as an emergency, including further amendments; operative 1-5-2012 pursuant to Government Code section 11343.4(b) (Register 2012, No. 1). A Certificate of Compliance must be transmitted to OAL by 4-5-2012 or emergency language will be repealed by operation of law on the following day.
9. Certificate of Compliance as to 1-3-2012 order transmitted to OAL 3-26-2012 and filed 5-7-2012 (Register 2012, No. 19).
§999.15. Notice of Decision on Requests for Release.
Note • History
(a) Except as provided in subsection (f) of 999.14, a request for an adjustment of escrow account will be decided within sixty (60) days of the submission of all of the information necessary for its determination. The Attorney General will send a copy of the release determination to the manufacturer and, if the release request has been allowed in whole or in part, to the financial institution holding the funds in escrow.
(b) Decisions to deny escrow release requests in whole or in part must contain (1) a statement of reasons for the denial; and (2) a statement of the means and deadline by which review of the decision may be obtained.
NOTE
Authority cited: Section 30165.1(o), Revenue and Taxation Code; Sections 11110-11113, Government Code; Section 104557(c), Health and Safety Code; and Article 5, Section 13 of the California Constitution. Reference: Section 30165.1(a), Revenue and Taxation Code; and Sections 104556 and 104557, Health and Safety Code.
HISTORY
1. New section filed 4-26-2004 as an emergency; operative 4-26-2004 (Register 2004, No. 18). A Certificate of Compliance must be transmitted to OAL by 10-25-2004 pursuant to Revenue and Taxation Code section 30165.1 or emergency language will be repealed by operation of law on the following day.
2. Editorial correction of History 1 (Register 2004, No. 49).
3. Certificate of Compliance as to 4-26-2004 order transmitted to OAL 10-22-2004 and filed 12-6-2004 (Register 2004, No. 49).
§999.16. Certifying for Listing on Directory of Tobacco Product Manufacturers and Brand Families.
Note • History
(a) Certification Process
A Tobacco Product Manufacturer shall apply for listing on the Directory established by the Attorney General by submitting a complete, timely and accurate Certification with supporting documentation in the manner specified and on forms required by the Attorney General. A Tobacco Product Manufacturer and its Brand Families will not be listed on the Directory, or will be removed from the Directory, if the Tobacco Product Manufacturer or any of its Brand Families are not in full compliance with the terms and requirements of the Reserve Fund Statute, Revenue and Taxation Code section 30165.1 and any regulations adopted pursuant thereto.
(1) Timing: No later than April 30, 2004, all Tobacco Product Manufacturers whose Cigarettes are sold in California shall submit a completed CERTIFICATION FOR LISTING ON CALIFORNIA DIRECTORY (JUS-TOB1 Rev. 06/2012, or “Certification”), with supporting documentation as specified.
After April 30, 2004, Tobacco Product Manufacturers which intend to sell Cigarettes in California shall complete and submit a Certification and be listed on the Directory prior to any sales in California.
Thereafter, all Tobacco Product Manufacturers listed on the Directory must execute and submit a Certification with supporting documentation on or before April 30th each year.
(2) Only Authorized Individuals Can Sign
All forms required by these regulations shall be signed by an officer or other authorized individual of the Tobacco Product Manufacturer who certifies that the responses and disclosures in the forms are true and accurate and that the individual completing the forms is authorized to bind the Tobacco Product Manufacturer.
(b) Required Documentation: Tobacco Product Manufacturers must complete and submit the following documents with their annual Certification:
(1) All Tobacco Product Manufacturers must submit samples of packaging and labeling for all Brand Families and styles, their signed waiver of sovereign immunity pursuant to Section 999.24 and their completed Cigarette Brand Styles Authentication form pursuant to Section 999.29.
(2) Non-Participating Manufacturers (NPMs) must also submit:
(A) CERTIFICATION OF COMPLIANCE AND AFFIDAVIT BY NON-PARTICIPATING TOBACCO PRODUCT MANUFACTURER REGARDING DEPOSIT OF RESERVE FUNDS INTO ESCROW (JUS-TOB3 Rev. 02/2011, or “Certification of Compliance”). This form is required to comply with California's Reserve Fund Statute (Health and Saf. Code, §§ 104555-104557). The CERTIFICATION FOR LISTING ON CALIFORNIA DIRECTORY (JUS-TOB1 Rev. 06/2012) required by Revenue and Taxation Code section 30165.1 does not replace this form (JUS-TOB3 Rev. 02/2011). Both forms must be filed on or before April 30th of each year, unless the NPM is required by regulation or directed by the Attorney General to submit this form (JUS-TOB3 Rev. 02/2011) more frequently.
(B) BRAND FAMILIES UNIT SALES SCHEDULE 1 (JUS-TOB4 Rev. 02/2011, or “Schedule 1”): This form is required to comply with California's Reserve Fund Statute.
(C) NOTICE OF APPOINTMENT OF REGISTERED AGENT AND REGISTERED AGENT'S STATEMENT FOR NON-PARTICIPATING MANUFACTURER (JUS-TOB2 Rev. 02/2011): If a non-resident or foreign NPM is not registered to do business in California, the NPM shall complete, sign and file with the Attorney General a NOTICE OF APPOINTMENT OF REGISTERED AGENT AND REGISTERED AGENT'S STATEMENT FOR NON-PARTICIPATING MANUFACTURER (JUS-TOB2 Rev. 02/2011). (See section 999.21 for requirements upon the termination of the appointed agent for service.)
(D) Copies of all current licenses, if any, issued by the Board pursuant to Division 8.6 (commencing with section 22970) of the Business and Professions Code.
(E) If the NPM is a corporation: (1) a current copy of its corporate charter or certificate of corporate existence or incorporation, and; (2) document(s) identifying officers and directors and each person who holds more than ten percent of the stock of such corporation.
(F) If the NPM is a partnership or association, a current copy of its articles of partnership or association, if any, or the certificate of partnership or association where required to be filed by any nation, state, county, or municipality.
(G) Documents filed under the federal Jenkins Act: Copies of all reports, if any, filed with the Board to comply with the Jenkins Act (15 U.S.C. section 375) for sales in the preceding 12 months.
(H) For each Brand Family, a copy of the Federal Trade Commission's written approval of the annual cigarette health warning rotation plan prior to distribution in the United States (15 U.S.C. section 1333).
(I) A copy of all certificates of compliance received by the NPM from the U.S. Department of Health and Human Services for the annual ingredient reporting required by the Federal Cigarette Labeling and Advertising Act (15 U.S.C. section 1335a).
(J) A copy of the NPM's current permit as a manufacturer or importer of tobacco products obtained from the United States Treasury, Tobacco Tax Bureau (TTB), formerly Bureau of Alcohol Tax and Firearms (BATF), pursuant to 26 U.S.C. Chapter 52, and regulations issued thereunder.
(K) For each Brand Family that is imported into the United States, copies of the following documents:
1. the sworn statement(s) of the original manufacturer that it will timely submit ingredients to the Secretary of Health and Human Services as required by 19 U.S.C. section 1681a.
2. the importer's certificate(s) under penalty of perjury as required by 19 U.S.C. section 1681a regarding the precise format of warnings and the rotation plan for health warnings.
3. the trademark holder's certificate(s) under penalty of perjury that it has not withdrawn consent to import into the United States as required by 19 U.S.C. section 1681a OR the importer's certificate(s) under penalty of perjury that the trademark owner has not withdrawn consent to import into the United States as required by 19 U.S.C. section 1681a.
(L) Copies of all the following forms completed by their importers as specified in section 999.25:
1. UNITED STATES IMPORTER DECLARATION ACCEPTING JOINT AND SEVERAL LIABILITY (JUS-TOB12 Rev. 02/2011)
2. NOTICE OF APPOINTMENT OF REGISTERED AGENT AND REGISTERED AGENT'S STATEMENT FOR IMPORTER (JUS-TOB13 Rev. 02/2011)
3. All current licenses issued by the Board pursuant to Division 8.6 (commencing with section 22970) of the Business and Professions Code to each United States importer who sell or will sell its cigarettes in California.
(M) All surety bonds posted as specified in section 999.26.
(c) Changes in Ownership or Control Requiring New Certification
An NPM must submit a new CERTIFICATION FOR LISTING ON CALIFORNIA DIRECTORY (JUS-TOB1 Rev. 06/2012) whenever there are changes in ownership or control, including but not limited to:
(1) Transfer of Ownership
Where there is a transfer of ownership of the business (including a change of any member of a partnership or association) of a Tobacco Product Manufacturer, the successor shall submit a new Certification within thirty (30) days after the transfer of ownership occurs.
(2) Change in Control of Corporation
Where the issuance, sale, or transfer of the stock of a corporation results in a change in the identity of the principal stockholders exercising actual or legal control of the operations of the corporation, the corporation shall submit a new Certification within thirty (30) days after the change occurs.
(3) Fiduciary Successor
When an administrator, executor, receiver, trustee, assignee, or other fiduciary takes over the business of a Tobacco Product Manufacturer as a continuing operation, such fiduciary shall submit a new Certification within thirty (30) days thereafter.
NOTE
Authority cited: Section 30165.1(o), Revenue and Taxation Code. Reference: Section 30165.1(b), 30165.1(c), 30165.1(f) and 30165.1(g), Revenue and Taxation Code.
HISTORY
1. New section filed 4-26-2004 as an emergency; operative 4-26-2004 (Register 2004, No. 18). A Certificate of Compliance must be transmitted to OAL by 10-25-2004 pursuant to Revenue and Taxation Code section 30165.1 or emergency language will be repealed by operation of law on the following day.
2. Editorial correction of History 1 (Register 2004, No. 49).
3. Certificate of Compliance as to 4-26-2004 order transmitted to OAL 10-22-2004 and filed 12-6-2004 (Register 2004, No. 49).
4. Amendment of subsections (a)(1), (b)-(b)(2)(C) and (b)(2)(E), new subsections (b)(2)(L)-(N) and amendment of subsection (c) filed 4-11-2011 as an emergency; operative 4-11-2011 (Register 2011, No. 15). A Certificate of Compliance must be transmitted to OAL by 10-10-2011 or emergency language will be repealed by operation of law on the following day.
5. Amendment of subsections (a)(1), (b)-(b)(2)(C) and (b)(2)(E), new subsections (b)(2)(L)-(N) and amendment of subsection (c) refiled 10-7-2011 as an emergency; operative 10-7-2011 (Register 2011, No. 40). A Certificate of Compliance must be transmitted to OAL by 1-5-2012 or emergency language will be repealed by operation of law on the following day.
6. Amendment of subsections (a)(1), (b)-(b)(2)(C) and (b)(2)(E), new subsections (b)(2)(L)-(N) and amendment of subsection (c), including further amendment of section, refiled 1-3-2012 as an emergency pursuant to Government Code section 11343.4(b); operative 1-5-2012 (Register 2012, No. 1). A Certificate of Compliance must be transmitted to OAL by 4-5-2012 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 1-3-2012 order, including amendment of subsection (b)(1) and repealer of subsection (b)(2)(N), transmitted to OAL 3-26-2012 and filed 5-7-2012 (Register 2012, No. 19).
8. Editorial correction of subsection (b)(2)(A) (Register 2012, No. 28).
9. Change without regulatory effect amending subsections (a)(1), (b)(2)(A) and (c) filed 7-31-2012 pursuant to section 100, title 1, California Code of Regulations (Register 2012, No. 31).
§999.17. Supplemental Certifications.
Note • History
(a) In those instances in which a supplemental Certification is required by Revenue and Taxation Code section 30165.1(b)(1) or section 30165.1(b)(2)(D), a Tobacco Product Manufacturer shall submit a supplemental CERTIFICATION FOR LISTING ON CALIFORNIA DIRECTORY (JUS-TOB1 Rev. 06/2012) with the Attorney General no later than thirty (30) days prior to the specified changes.
(b) A Tobacco Product Manufacturer shall also submit a supplemental Certification where information in a previously submitted Certification or documents submitted along with the previously submitted Certification are no longer accurate and complete. The supplemental CERTIFICATION FOR LISTING ON CALIFORNIA DIRECTORY (JUS-TOB1 Rev. 06/2012) must be submitted no later than thirty (30) days after the information has become inaccurate or incomplete.
(c) The Tobacco Product Manufacturer shall check the box marked “supplemental” at the top of the form, enter only the changed information and sign and date the form.
(d) The failure to timely submit supplemental Certifications may subject the Tobacco Product Manufacturer and its Brand Families to removal from the Directory.
NOTE
Authority cited: Section 30165.1(o), Revenue and Taxation Code. Reference: Section 30165.1(b), Revenue and Taxation Code.
HISTORY
1. New section filed 4-26-2004 as an emergency; operative 4-26-2004 (Register 2004, No. 18). A Certificate of Compliance must be transmitted to OAL by 10-25-2004 pursuant to Revenue and Taxation Code section 30165.1 or emergency language will be repealed by operation of law on the following day.
2. Editorial correction of History 1 (Register 2004, No. 49).
3. Certificate of Compliance as to 4-26-2004 order transmitted to OAL 10-22-2004 and filed 12-6-2004 (Register 2004, No. 49).
4. Amendment of subsections (a) and (b) filed 4-11-2011 as an emergency; operative 4-11-2011 (Register 2011, No. 15). A Certificate of Compliance must be transmitted to OAL by 10-10-2011 or emergency language will be repealed by operation of law on the following day.
5. Amendment of subsections (a) and (b) refiled 10-7-2011 as an emergency; operative 10-7-2011 (Register 2011, No. 40). A Certificate of Compliance must be transmitted to OAL by 1-5-2012 or emergency language will be repealed by operation of law on the following day.
6. Amendment of subsections (a) and (b) refiled 1-3-2012 as an emergency; operative 1-5-2012 pursuant to Government Code section 11343.4(b) (Register 2012, No. 1). A Certificate of Compliance must be transmitted to OAL by 4-5-2012 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 1-3-2012 order transmitted to OAL 3-26-2012 and filed 5-7-2012 (Register 2012, No. 19).
8. Change without regulatory effect amending subsections (a) and (b) filed 7-31-2012 pursuant to section 100, title 1, California Code of Regulations (Register 2012, No. 31).
§999.18. Records Retention by Tobacco Product Manufacturers and Availability for Review, Inspection and Copying.
Note • History
(a) A Tobacco Product Manufacturer shall retain copies of all documents filed with the Attorney General's Office in connection with the Certification and annual certification process, as well as all documents relied upon in completing documents filed with the Attorney General's Office, including invoices, calculations and documentation of sales.
(b) A Tobacco Product Manufacturer shall maintain all of the documents in one designated location for a minimum of five years and shall make such documents available for review, inspection, and copying upon request of the Attorney General's Office or the Board.
(c) If any Tobacco Product Manufacturer refuses or neglects to retain or make available the foregoing documents for inspection and copying within thirty (30) days of such request, the Tobacco Product Manufacturer and its Brand Families are subject to removal from the Directory until all requested documents are provided or production is waived by the Attorney General.
NOTE
Authority cited: Section 30165.1(o), Revenue and Taxation Code. Reference: Section 30165.1(b) and (g), Revenue and Taxation Code.
HISTORY
1. New section filed 4-26-2004 as an emergency; operative 4-26-2004 (Register 2004, No. 18). A Certificate of Compliance must be transmitted to OAL by 10-25-2004 pursuant to Revenue and Taxation Code section 30165.1 or emergency language will be repealed by operation of law on the following day.
2. Editorial correction of History 1 (Register 2004, No. 49).
3. Certificate of Compliance as to 4-26-2004 order transmitted to OAL 10-22-2004 and filed 12-6-2004 (Register 2004, No. 49).
§999.19. Records Retention by Distributors and Wholesalers and Availability for Review, Inspection, and Copying.
Note • History
(a) Records Retention
A Wholesaler or Distributor of Cigarettes or tobacco products shall maintain in one designated location the following documents:
(1) Copies of all written acknowledgments of receipt by the Attorney General's Office of a Tobacco Product Manufacturer's Certification (JUS-TOB1 Rev. 06/2012), stamped Certifications of Compliance (JUS-TOB3 Rev. 02/2011) or Acknowledgments of Receipt & Review (JUS-TOB5 Rev. 04/2004) provided to the Distributor or Wholesaler by a Tobacco Product Manufacturer;
(2) Copies of all requests by the Distributor or Wholesaler for a copy of written acknowledgments of receipt by the Attorney General's Office of a Tobacco Product Manufacturer's Certification (JUS-TOB1 Rev. 06/2012), stamped Certifications of Compliance (JUS-TOB3 Rev. 02/2011), or Acknowledgments of Receipt & Review (JUS-TOB5 Rev. 04/2004) when not provided by the Tobacco Product Manufacturer;
(3) Copies of all reports by the distributor or wholesaler to the Attorney General of the failure of a Tobacco Product Manufacturer to provide copies of written acknowledgments of receipt by the Attorney General's Office of a Tobacco Product Manufacturer's Certification (JUS-TOB1 Rev. 06/2012), stamped Certification of Compliance (JUS-TOB3 Rev. 02/2011) or Acknowledgment of Receipt & Review (JUS-TOB5 Rev. 04/2004);
(4) All sales invoices and receipts issued by a Tobacco Product Manufacturer, Distributor or Wholesaler related to the sale of Cigarettes or RYO;
(5) Copies of all certifications, reports, notices and documents as identified in Revenue and Taxation Code section 30165.1, subdivisions (g)(1) and (i).
(6) All documents or communications to and from a Tobacco Product Manufacturer regarding its compliance with the Master Settlement Agreement and the Reserve Fund Statute for Cigarettes sold in California.
(7) Copies of all reports of the Cigarette excise taxes or surcharges paid by the Distributor or Wholesaler.
(b) The Distributor or Wholesaler shall maintain all of the foregoing documents in one designated location for a minimum of five years and shall make such documents available for review, inspection and copying upon request of the Attorney General's Office or the Board. Any Distributor or Wholesaler who refuses or neglects to retain or make available the foregoing documents for inspection and copying within thirty (30) days of such request, shall be subject to license suspension, license revocation, and civil and criminal penalties as provided by law.
NOTE
Authority cited: Section 30165.1(o), Revenue and Taxation Code. Reference: Section 30165.1(b) and 30165.1(g), Revenue and Taxation Code.
HISTORY
1. New section filed 4-26-2004 as an emergency; operative 4-26-2004 (Register 2004, No. 18). A Certificate of Compliance must be transmitted to OAL by 10-25-2004 pursuant to Revenue and Taxation Code section 30165.1 or emergency language will be repealed by operation of law on the following day.
2. Editorial correction of History 1 (Register 2004, No. 49).
3. Certificate of Compliance as to 4-26-2004 order, including amendment of subsections (a)(3) and (a)(7), transmitted to OAL 10-22-2004 and filed 12-6-2004 (Register 2004, No. 49).
4. Amendment of subsections (a)(1)-(3) filed 4-11-2011 as an emergency; operative 4-11-2011 (Register 2011, No. 15). A Certificate of Compliance must be transmitted to OAL by 10-10-2011 or emergency language will be repealed by operation of law on the following day.
5. Amendment of subsections (a)(1)-(3) refiled 10-7-2011 as an emergency; operative 10-7-2011 (Register 2011, No. 40). A Certificate of Compliance must be transmitted to OAL by 1-5-2012 or emergency language will be repealed by operation of law on the following day.
6. Amendment of subsections (a)(1)-(3) refiled 1-3-2012 as an emergency, including further amendments; operative 1-5-2012 pursuant to Government Code section 11343.4(b) (Register 2012, No. 1). A Certificate of Compliance must be transmitted to OAL by 4-5-2012 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 1-3-2012 order transmitted to OAL 3-26-2012 and filed 5-7-2012 (Register 2012, No. 19).
8. Change without regulatory effect amending subsections (a)(1)-(3) filed 7-31-2012 pursuant to section 100, title 1, California Code of Regulations (Register 2012, No. 31).
§999.20. More Frequent Installment Escrow Deposits for Certain Non-Participating Manufacturers.
Note • History
(a) Quarterly or More Frequent Installments and Certifications: When directed by the Attorney General, an NPM shall make quarterly or more frequent deposits into a Qualified Escrow Fund and certify compliance to the Attorney General. Quarterly deposits are due on or before the following dates: April 21, July 20, October 21, and January 21. The NPM shall instruct the financial institution where its Qualified Escrow Fund is maintained to provide quarterly or more frequent reports of all the escrow transactions, including all deposits, withdrawals, or transfers made that quarter. Where the NPM is required to make quarterly or more frequent escrow deposits, the NPM shall also complete and file a Certification of Compliance (JUS-TOB3 Rev. 02/2011) and Schedule 1 (JUS-TOB4 Rev. 02/2011) for each such reporting period.
(b) Under one or more of the following circumstances, an NPM shall make quarterly deposits and certifications for two years, unless otherwise directed by the Attorney General:
(1) New NPMs: The NPM did not sell Cigarettes in California in the preceding calendar year or did not make escrow deposits pursuant to the Reserve Fund Statute in the preceding calendar year;
(2) New Brand Families: The NPM lists a Brand Family on an initial, annual or supplemental Certification or other document, or sells a Brand Family in California which it did not sell in California in the preceding calendar year or did not make escrow deposits pursuant to the Reserve Fund Statute for that Brand Family;
(3) New Manufacturer: When there is a change in manufacturer (i.e., fabricator) of any brand of Cigarettes;
(4) Internet, Mail Catalog or other Delivery Sellers: The NPM advertises or sells its Cigarettes or RYO tobacco via the internet or through catalogs and ships them through the mail or other delivery service to California consumers;
(5) Failure to Timely Comply with Reserve Fund Requirements Before Establishment of California Directory or Anytime Thereafter: The NPM failed to timely comply with California's Reserve Fund Statute prior to the establishment of the Directory, or at any time thereafter;
(6) NPMs or Brand Families Previously Denied Listing or Removed from Directory: The NPM or Brand Family was previously denied listing or was removed from the Directory for any reason;
(7) Banned or Enjoined Sales: The NPM is enjoined or banned from selling any tobacco products by court order, state or federal agency ruling or determination or its Brand Family is enjoined from sale in that state by a court of that state, a state agency or a federal court;
(8) Judgment or Conviction that the NPM Engaged in Unfair Business Practice or Unfair Competition: A state or federal court has entered a judgment finding that the NPM engaged in an unfair business practice or unfair competition;
(9) Large Sales Volume: The NPM has sold more than 1,600,000 of its Cigarettes in California during any quarter.
(10) Failure to Timely Submit Forms and Other Documents: The NPM fails to submit and/or complete any required forms, documents, certification, or notices, in a timely manner and/or to the satisfaction of the Attorney General.
(11) Other: The NPM is directed to make quarterly or more frequent deposits by the Attorney General.
NOTE
Authority cited: Section 30165.1(h) and 30165.1(o), Revenue and Taxation Code. Reference: Section 30165.1(g) and 30165.1(h), Revenue and Taxation Code.
HISTORY
1. New section filed 4-26-2004 as an emergency; operative 4-26-2004 (Register 2004, No. 18). A Certificate of Compliance must be transmitted to OAL by 10-25-2004 pursuant to Revenue and Taxation Code section 30165.1 or emergency language will be repealed by operation of law on the following day.
2. Editorial correction of History 1 (Register 2004, No. 49).
3. Certificate of Compliance as to 4-26-2004 order, including amendment of subsection (a), transmitted to OAL 10-22-2004 and filed 12-6-2004 (Register 2004, No. 49).
4. Amendment of subsection (a) filed 4-11-2011 as an emergency; operative 4-11-2011 (Register 2011, No. 15). A Certificate of Compliance must be transmitted to OAL by 10-10-2011 or emergency language will be repealed by operation of law on the following day.
5. Amendment of subsection (a) refiled 10-7-2011 as an emergency; operative 10-7-2011 (Register 2011, No. 40). A Certificate of Compliance must be transmitted to OAL by 1-5-2012 or emergency language will be repealed by operation of law on the following day.
6. Amendment of subsection (a) refiled 1-3-2012 as an emergency; operative 1-5-2012 pursuant to Government Code section 11343.4(b) (Register 2012, No. 1). A Certificate of Compliance must be transmitted to OAL by 4-5-2012 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 1-3-2012 order transmitted to OAL 3-26-2012 and filed 5-7-2012 (Register 2012, No. 19).
§999.21. Notices of Appointment or Termination of Agent for Service of Process.
Note • History
(a) Every non-resident or foreign NPM that has not registered to do business in California must appoint and continuously engage the services of a California registered agent to receive service of process on behalf of the NPM and submit proof of the appointment and availability of the agent to the Attorney General by completing and filing a NOTICE OF APPOINTMENT OF REGISTERED AGENT AND REGISTERED AGENT'S STATEMENT FOR NON-PARTICIPATING MANUFACTURER (JUS-TOB2 Rev. 02/2011).
(b) A non-resident or foreign NPM shall provide at least thirty (30) days notice prior to termination of the appointment by the NPM of its resident agent for service of process in California by completing and filing with the Attorney General a notice of the termination of the agent (JUS-TOB2 Rev. 02/2011). The NPM shall further provide proof of the appointment of a new agent at least 5 days before termination by the NPM of the existing appointment (JUS-TOB2 Rev. 02/2011).
(c) In the event the designated agent for service terminates its agency relationship with the NPM, the non-resident NPM shall provide notice to the Attorney General of the termination within five days of receiving notice of the termination and shall include with such notice proof of the appointment of a new service agent by completing and filing a notice of the termination for service of process and appointment of new service agent (JUS-TOB2 Rev. 02/2011).
NOTE
Authority cited: Section 30165.1(o), Revenue and Taxation Code. Reference: Section 30165.1(f), Revenue and Taxation Code.
HISTORY
1. New section filed 4-26-2004 as an emergency; operative 4-26-2004 (Register 2004, No. 18). A Certificate of Compliance must be transmitted to OAL by 10-25-2004 pursuant to Revenue and Taxation Code section 30165.1 or emergency language will be repealed by operation of law on the following day.
2. Editorial correction of History 1 (Register 2004, No. 49).
3. Certificate of Compliance as to 4-26-2004 order, including amendment of subsections (b) and (c), transmitted to OAL 10-22-2004 and filed 12-6-2004 (Register 2004, No. 49).
4. Amendment of subsections (a)-(c) filed 4-11-2011 as an emergency; operative 4-11-2011 (Register 2011, No. 15). A Certificate of Compliance must be transmitted to OAL by 10-10-2011 or emergency language will be repealed by operation of law on the following day.
5. Amendment of subsections (a)-(c) refiled 10-7-2011 as an emergency; operative 10-7-2011 (Register 2011, No. 40). A Certificate of Compliance must be transmitted to OAL by 1-5-2012 or emergency language will be repealed by operation of law on the following day.
6. Amendment of subsections (a)-(c) refiled 1-3-2012 as an emergency; operative 1-5-2012 pursuant to Government Code section 11343.4(b) (Register 2012, No. 1). A Certificate of Compliance must be transmitted to OAL by 4-5-2012 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 1-3-2012 order transmitted to OAL 3-26-2012 and filed 5-7-2012 (Register 2012, No. 19).
§999.22. Duties and Defenses of California Distributors.
Note • History
(a) Distributor Duties. Every Distributor shall complete and submit a DISTRIBUTOR ELECTRONIC MAIL REGISTRATION (JUS-TOB8 Rev. 02/2004) for the purpose of receiving any notifications as may be required by Revenue and Taxation Code section 30165.1 and these regulations.
Every Distributor shall also maintain, for a period of five years, and make available to the Attorney General all invoices and documentation of sales and any other information relied upon in reporting to the Attorney General and as further specified in section 999.19.
(b) Distributor Defenses. In order to have the defense described in Revenue and Taxation Code section 30165.1, subdivision (i)(2), a Distributor shall, at the time of the violation,
(1) possess a copy of the Attorney General's Office most recent written acknowledgment of receipt of the Certification (JUS-TOB1 Rev. 06/2012) required as a condition of including the Brand Family on the Directory;
(2) have verified that the Brand Family was listed on the Directory; and
(3) have previously provided its electronic mail (“e-mail”) address to the Attorney General for the purpose of receiving notifications of exclusions or removals from the Directory as required by section 30165.1, subdivision (c)(4), of the Revenue and Taxation Code.
NOTE
Authority cited: Section 30165.1(o), Revenue and Taxation Code. Reference: Section 30165.1(c), 30165.1(g) and 30165.1(i), Revenue and Taxation Code.
HISTORY
1. New section filed 4-26-2004 as an emergency; operative 4-26-2004 (Register 2004, No. 18). A Certificate of Compliance must be transmitted to OAL by 10-25-2004 pursuant to Revenue and Taxation Code section 30165.1 or emergency language will be repealed by operation of law on the following day.
2. Editorial correction of History 1 (Register 2004, No. 49).
3. Certificate of Compliance as to 4-26-2004 order transmitted to OAL 10-22-2004 and filed 12-6-2004 (Register 2004, No. 49).
4. Amendment of subsection (b)(1) filed 4-11-2011 as an emergency; operative 4-11-2011 (Register 2011, No. 15). A Certificate of Compliance must be transmitted to OAL by 10-10-2011 or emergency language will be repealed by operation of law on the following day.
5. Amendment of subsection (b)(1) refiled 10-7-2011 as an emergency; operative 10-7-2011 (Register 2011, No. 40). A Certificate of Compliance must be transmitted to OAL by 1-5-2012 or emergency language will be repealed by operation of law on the following day.
6. Amendment of subsection (b)(1) refiled 1-3-2012 as an emergency, including further amendment of section; operative 1-5-2012 pursuant to Government Code section 11343.4(b) (Register 2012, No. 1). A Certificate of Compliance must be transmitted to OAL by 4-5-2012 or emergency language will be repealed by operation of law on the following day.
7. Certificate of Compliance as to 1-3-2012 order, including amendment of subsection (b)(3), transmitted to OAL 3-26-2012 and filed 5-7-2012 (Register 2012, No. 19).
8. Change without regulatory effect amending subsection (b)(1) filed 7-31-2012 pursuant to section 100, title 1, California Code of Regulations (Register 2012, No. 31).
§999.23. Applying for Relisting of Brand Families and Tobacco Product Manufacturers.
Note • History
If a Tobacco Product Manufacturer and its Brand Families have been removed from the Directory, the Tobacco Product Manufacturer may apply for relisting by:
(a) complying with all of the Certification requirements of 999.16, 999.17, 999.18, 999.20 and 999.21, and
(b) submitting the following documentation:
(1) Written confirmation from all Distributors to which the Tobacco Product Manufacturer's Cigarettes were sold that the Tobacco Product Manufacturer has reimbursed those Distributors for the cost to the Distributors of the Cigarettes or tobacco product to which the stamp or meter impression was affixed, or the tax paid, during the removal period;
(2) Written confirmation from the escrow agent of the amounts held on deposit and any other account information required to enable the Attorney General to determine that all escrow deposits required pursuant to Health and Safety Code section 104557 for the Brand Family removed from the Directory have been deposited into a Qualified Escrow Fund; and
(3) Written confirmation that any outstanding final judgments, including interest thereon, for violations of Article 3 (commencing with section 104555) of Chapter 1 of Part 3 of Division 103 of the Health and Safety Code have been fully satisfied for the Non-Participating Manufacturer and Brand Family removed from the Directory.
NOTE
Authority cited: Section 30165.1(o), Revenue and Taxation Code. Reference: Section 30165.1(b), (c), (f), (g), (h) and (j), Revenue and Taxation Code.
HISTORY
1. New section filed 4-26-2004 as an emergency; operative 4-26-2004 (Register 2004, No. 18). A Certificate of Compliance must be transmitted to OAL by 10-25-2004 pursuant to Revenue and Taxation Code section 30165.1 or emergency language will be repealed by operation of law on the following day.
2. Editorial correction of History 1 (Register 2004, No. 49).
3. Certificate of Compliance as to 4-26-2004 order, including amendment of subsection (b)(2), transmitted to OAL 10-22-2004 and filed 12-6-2004 (Register 2004, No. 49).
§999.24. Waiver of Sovereign Immunity by Manufacturers and Importers.
Note • History
(a) Every manufacturer and every importer of cigarettes for sale in California must either waive any sovereign immunity defense to enforcement by the Attorney General or the Board of Equalization of Division 8.6 (commencing with section 22970) of the Business and Professions Code, sections 104555 to 104557, inclusive, of the Health and Safety Code, Part 13 (commencing with section 30001) of Division 2 of the Revenue and Taxation Code, and regulations adopted to implement those statutes, or file a surety bond conditioned upon the performance by the manufacturer or importer of all its duties and obligations under those laws and regulations. The form and manner of any such waiver of sovereign immunity and surety bond must be acceptable to the Attorney General. If directed by the Attorney General, the manufacturer or importer shall include with its fully executed waiver a legal opinion from an attorney confirming that the person or persons executing the waiver have the requisite authority to waive the manufacturer's or importer's sovereign immunity defenses and that the waiver is effective and valid under all applicable federal, state, tribal and foreign laws.
(b) Every manufacturer and importer that may potentially assert tribal sovereign immunity defenses, or that is so directed by the Attorney General, shall complete a State of California WAIVER OF TRIBAL SOVEREIGN IMMUNITY BY NATIVE AMERICAN TRIBE (JUS-TOB9 Rev. 10/2011), hereby incorporated by reference, in order to waive sovereign immunity defenses. Manufacturers and importers that may potentially assert tribal sovereign immunity defenses include companies where any of the following is true:
(1) the business is owned by a Native American tribe;
(2) the business is chartered by a Native American tribe;
(3) the business is operated for the benefit of a Native American tribe; or
(4) the business is an “arm” of a Native American tribe.
(c) Every manufacturer and importer that is directly owned, in whole or majority part, by a state, federal, or any other foreign or domestic governmental organization, or that is so directed by the Attorney General, shall have their government's ambassador to the United States complete a State of California WAIVER OF SOVEREIGN IMMUNITY BY GOVERNMENT-OWNED TOBACCO COMPANY (JUS-TOB10 Rev. 10/2011), hereby incorporated by reference.
(d) Every manufacturer and importer not described in (b) or (c) above shall complete California's STANDARD WAIVER OF SOVEREIGN IMMUNITY BY TOBACCO MANUFACTURER OR IMPORTER (JUS-TOB11 Rev. 08/2011), hereby incorporated by reference. This includes, but is not limited to, manufacturers and importers that:
(1) are owned by a member or members of an Indian or native American tribe:
(2) were formed by one or more members of a tribe;
(3) were formed under an Indian tribal code; or
(4) whose premises, including but not limited to, any manufacturing or storage facility of the manufacturer or its affiliate, including any importers, distributors, wholesalers, or retailers who distribute or sell cigarettes made by the manufacturer, are located on an Indian reservation or other Indian country.
(e) Every manufacturer and importer shall complete and attach a CIGARETTE BRAND STYLE AUTHENTICATION INFORMATION (JUS-TOB15 Orig. 02/2011), hereby incorporated by reference, as required in section 999.29 to identify precisely the cigarettes or roll-your-own tobacco manufactured or imported and to enable the Attorney General and the Board of Equalization to verify the authenticity of the cigarettes or roll-your-own tobacco.
NOTE
Authority cited: Sections 30165.1(h) and 30165.1(o), Revenue and Taxation Code. Reference: Sections 22979(a)(3) and 22979(a)(4), Business and Professions Code; and Sections 30165.1(c)(4) and 30165.1(f)(4), Revenue and Taxation Code.
HISTORY
1. New section filed 4-11-2011 as an emergency; operative 4-11-2011 (Register 2011, No. 15). A Certificate of Compliance must be transmitted to OAL by 10-10-2011 or emergency language will be repealed by operation of law on the following day.
2. New section, including amendment of subsection (d) and Note, refiled 10-7-2011 as an emergency; operative 10-7-2011 (Register 2011, No. 40). A Certificate of Compliance must be transmitted to OAL by 1-5-2012 or emergency language will be repealed by operation of law on the following day.
3. New section, including amendments, refiled 1-3-2012 as an emergency; operative 1-5-2012 pursuant to Government Code section 11343.4(b) (Register 2012, No. 1). A Certificate of Compliance must be transmitted to OAL by 4-5-2012 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 1-3-2012 order transmitted to OAL 3-26-2012 and filed 5-7-2012 (Register 2012, No. 19).
§999.25. Declaration of Importer Accepting Strict, Joint and Several Liability.
Note • History
(a) As a condition for listing on the California tobacco directory, every non-participating manufacturer located outside the United States must submit a notarized declaration from each of its importers into the United States of any of its brands that the importer accepts joint and several liability with the non-participating manufacturer for all escrow deposits due and for all penalties assessed in accordance with Article 3 (commencing with section 104555) of Chapter 1 of Part 3 of Division 103 of the Health and Safety Code, and for payment of all fees, costs, attorney's fees, penalties, and refunds imposed or required under section 30165.1 of the Revenue and Taxation Code, including, but not limited to, all refunds resulting from the removal of the manufacturer or any of its brand families from the directory. In the declaration, the importer shall appoint a resident agent for service of process in California. Finally, the manufacturer must affirm that it has caused every importer that will sell its cigarettes and tobacco products in this state to obtain and maintain a license as an importer pursuant to Division 8.6 (commencing with section 22970) of the Business and Professions Code.
(b) Every non-participating manufacturer must submit a notarized UNITED STATES IMPORTER DECLARATION ACCEPTING JOINT AND SEVERAL LIABILITY (JUS-TOB12 Rev. 02/2011), hereby incorporated by reference, completed and signed by each of its U.S. importers that will sell the manufacturer's cigarettes and tobacco products in California.
(c) Every non-participating manufacturer must submit a notarized NOTICE OF APPOINTMENT OF REGISTERED AGENT AND REGISTERED AGENT'S STATEMENT FORM FOR IMPORTER (JUS-TOB13 Rev. 02/2011), hereby incorporated by reference, completed and signed by each of its U.S. importer that will sell its cigarettes in California.
(d) Every non-participating manufacturer must submit copies of all current licenses issued by the Board of Equalization pursuant to Division 8.6 (commencing with section 22970) of the Business and Professions Code to each of its U.S. importers that sell or will sell its cigarettes and tobacco products in California.
NOTE
Authority cited: Sections 30165.1(h) and 30165.1(o), Revenue and Taxation Code. Reference: Sections 30165.1(b)(3)(E) and 30165.1(f)(4), Revenue and Taxation Code.
HISTORY
1. New section filed 4-11-2011 as an emergency; operative 4-11-2011 (Register 2011, No. 15). A Certificate of Compliance must be transmitted to OAL by 10-10-2011 or emergency language will be repealed by operation of law on the following day.
2. New section, including amendment of Note, refiled 10-7-2011 as an emergency; operative 10-7-2011 (Register 2011, No. 40). A Certificate of Compliance must be transmitted to OAL by 1-5-2012 or emergency language will be repealed by operation of law on the following day.
3. New section and subsequent amendments refiled 1-3-2012 as an emergency; operative 1-5-2012 pursuant to Government Code section 11343.4(b) (Register 2012, No. 1). A Certificate of Compliance must be transmitted to OAL by 4-5-2012 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 1-3-2012 order transmitted to OAL 3-26-2012 and filed 5-7-2012 (Register 2012, No. 19).
Note • History
(a) Surety bonds executed by manufacturers and importers pursuant to Business and Professions Code section 22979 or Revenue and Taxation Code section 30165.1 must be issued by a surety corporation that is authorized to conduct business in this state. Business and Professions Code section 22979 requires manufacturers and importers that chose not to waive sovereign immunity defenses to post a surety bond in lieu of a waiver. Newly qualified and elevated-risk non-participating manufacturers must post surety bonds pursuant to Revenue and Taxation Code section 30165.1(c)(4).
(b) A non-participating manufacturer may be deemed to pose an elevated risk of non-compliance if:
(1)The non-participating manufacturer or any affiliate has failed to deposit the full amount due on a tobacco escrow obligation with respect to any state at any time within the past three (3) calendar years unless either of the following occur:
(A) The manufacturer did not underdeposit knowingly or recklessly and the manufacturer promptly cured the underdeposit within 180 days of notice of it; or
(B) The underdeposit or lack of deposit is the subject of a good faith dispute as documented to the satisfaction of the Attorney General and the underdeposit is cured within 180 days of entry of a final order establishing the amount of the required escrow deposit.
(2) Any state has removed the non-participating manufacturer or its brands or brand families or brands or brand families of an affiliate from the state's tobacco directory for noncompliance with a state tobacco escrow deposit or tobacco tax law within the past three (3) calendar years;
(3) Any state has litigation pending against, or an unsatisfied final judgment against, the non-participating manufacturer or any affiliate for escrow due or for penalties, fees, costs, refunds, or attorney's fees related to noncompliance with state tobacco escrow laws;
(4) The non-participating manufacturer sells its cigarettes or tobacco products directly to consumers via remote or other non-face-to-face means;
(5) A state or federal court has determined that the non-participating manufacturer has violated any tobacco tax or tobacco control law or engaged in unfair business practice or unfair competition;
(6) Any state has suspended or revoked the non-participating manufacturer's license to engage in any aspect of tobacco business;
(7) Any state or federal court has determined that the non-participating manufacturer has failed to comply with state or federal law imposing marking, labeling, and stamping requirements or requiring information to be affixed to, or contained in, the labels, markings, or packaging; or
(8) The non-participating manufacturer fails to submit or complete any required forms, documents, certification, or notices, in a timely manner or, to the satisfaction of the Attorney General or the State Board of Equalization.
(c) Manufacturers and importers shall post the required surety bond by using the CALIFORNIA TOBACCO MANUFACTURER AND IMPORTER SURETY BOND (JUS-TOB14 Rev. 10/2011), hereby incorporated by reference. Surety bond forms must also be signed by an attorney-in-fact or by a representative of the bonding company.
(d) Surety bonds must indicate the name of the manufacturer or importer as shown on the license issued by the Board of Equalization. For a limited partnership, the names of the general partners and the name of the limited partnership must also be shown. For partnerships, the names of the partners must be shown.
(e) Surety bonds shall be posted by a corporate surety in an amount equal to the greater of fifty thousand dollars ($50,000) or the amount of escrow the manufacturer in either its current or predecessor form was required to deposit as a result of the largest of its most recent five (5) calendar years' sales in California. The bond shall be written in favor of the State of California. The bond may be drawn upon by the Attorney General to cover unsatisfied escrow obligations, tax obligations, claims for penalties, claims for monetary damages, and any other liabilities that are subject to the licensee's claim of sovereign immunity against enforcement of the laws specified above.
NOTE
Authority cited: Sections 30165.1(h) and 30165.1(o), Revenue and Taxation Code; Section 11110, Government Code. Reference: Section 22979(a)(4), Business and Professions Code; and Sections 30165.1(c)(4)(B) and 30165.1(c)(4)(C)(iv), Revenue and Taxation Code.
HISTORY
1. New section filed 4-11-2011 as an emergency; operative 4-11-2011 (Register 2011, No. 15). A Certificate of Compliance must be transmitted to OAL by 10-10-2011 or emergency language will be repealed by operation of law on the following day.
2. New section, including amendment of Note, refiled 10-7-2011 as an emergency; operative 10-7-2011 (Register 2011, No. 40). A Certificate of Compliance must be transmitted to OAL by 1-5-2012 or emergency language will be repealed by operation of law on the following day.
3. New section, including amendments, refiled 1-3-2012 as an emergency; operative 1-5-2012 pursuant to Government Code section 11343.4(b) (Register 2012, No. 1). A Certificate of Compliance must be transmitted to OAL by 4-5-2012 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 1-3-2012 order, including amendment of subsection (b)(1) and new subsections (b)(1)(A) and (b)(1)(B), transmitted to OAL 3-26-2012 and filed 5-7-2012 (Register 2012, No. 19).
§999.27. Reasonable Assurances of Compliance & Compliance by Delivery Sellers. [Repealed]
Note • History
NOTE
Authority cited: Sections 30165.1(h) and 30165.1(o), Revenue and Taxation Code. Reference: Sections 30101.7(d), 30165.1(c)(2)(C) and 30165.1(c)(2)(E), Revenue and Taxation Code; Section 22980.1, Business and Professions Code; and Chapter 10A (commencing with Section 375) of Title 15 of the United States Code, including specifically 15 U.S.C. Sections 376a(a)(3), 376a(a)(4) and 376a(d).
HISTORY
1. New section filed 4-11-2011 as an emergency; operative 4-11-2011 (Register 2011, No. 15). A Certificate of Compliance must be transmitted to OAL by 10-10-2011 or emergency language will be repealed by operation of law on the following day.
2. New section, including amendment of Note, refiled 10-7-2011 as an emergency; operative 10-7-2011 (Register 2011, No. 40). A Certificate of Compliance must be transmitted to OAL by 1-5-2012 or emergency language will be repealed by operation of law on the following day.
3. New section, including amendments, refiled 1-3-2012 as an emergency; operative 1-5-2012 pursuant to Government Code section 11343.4(b) (Register 2012, No. 1). A Certificate of Compliance must be transmitted to OAL by 4-5-2012 or emergency language will be repealed by operation of law on the following day.
4. Repealed by operation of Government Code section 11346.1(g) (Register 2012, No. 19).
§999.28. Reasonable Assurances of Compliance by Non-Participating Manufacturers. [Repealed]
Note • History
NOTE
Authority cited: Sections 30165.1(h) and 30165.1(o), Revenue and Taxation Code. Reference: Sections 30165.1(c)(2)(C) and 30165.1(c)(2)(E), Revenue and Taxation Code; Chapter 10A (commencing with Section 375) of Title 15 of the United States Code, including specifically 15 U.S.C. Section 376a(a)(3), 376a(a)(4) and 376a(d).
HISTORY
1. New section filed 4-11-2011 as an emergency; operative 4-11-2011 (Register 2011, No. 15). A Certificate of Compliance must be transmitted to OAL by 10-10-2011 or emergency language will be repealed by operation of law on the following day.
2. New section, including amendment of Note, refiled 10-7-2011 as an emergency; operative 10-7-2011 (Register 2011, No. 40). A Certificate of Compliance must be transmitted to OAL by 1-5-2012 or emergency language will be repealed by operation of law on the following day.
3. New section, including amendment of Note, refiled 1-3-2012 as an emergency; operative 1-5-2012 pursuant to Government Code section 11343.4(b) (Register 2012, No. 1). A Certificate of Compliance must be transmitted to OAL by 4-5-2012 or emergency language will be repealed by operation of law on the following day.
4. Repealed by operation of Government Code section 11346.1(g) (Register 2012, No. 19).
§999.29. Cigarette Brand Styles Authentication Information for New Brand Styles and As Directed by the Attorney General.
Note • History
(a) As a condition for listing on the California tobacco directory, a tobacco product manufacturer shall complete and submit a CIGARETTE BRAND STYLE AUTHENTICATION (JUS-TOB15 Orig.02/2011) along with samples of the packaging for any new or revised, updated, or changed brand style the tobacco product manufacturer intends to be sold in California and whenever the manufacturer is directed by the Attorney General to do so. A revised, updated, or changed brand style includes, but is not limited to, any changes to the packaging, labeling, carton UPC Codes, pack UPC Codes or markings. A tobacco product manufacturer and its brand families will be removed from the California tobacco directory if the manufacturer fails to complete and submit, as ordered by the Attorney General, a CIGARETTE BRAND STYLE AUTHENTICATION INFORMATION (JUS-TOB15 Orig. 02/2011), to the satisfaction of the Attorney General within 30 days of the request. The failure to complete and submit the form as directed by the Attorney General shall constitute a refusal to produce a document or other evidence, without good cause, under Revenue and Taxation Code section 30165.1(q)(2).
(b) A manufacturer submitting a CIGARETTE BRAND STYLE AUTHENTICATION (JUS-TOB15 Orig. 02/2011) pursuant to this rule shall also file a supplemental certification pursuant to section 999.17.
NOTE
Authority cited: Sections 30165.1(h) and 30165.1(o), Revenue and Taxation Code. Reference: Sections 30165.1(g)(4) and 30165.1(q)(2), Revenue and Taxation Code.
HISTORY
1. New section filed 4-11-2011 as an emergency; operative 4-11-2011 (Register 2011, No. 15). A Certificate of Compliance must be transmitted to OAL by 10-10-2011 or emergency language will be repealed by operation of law on the following day.
2. New section, including amendment of Note, refiled 10-7-2011 as an emergency; operative 10-7-2011 (Register 2011, No. 40). A Certificate of Compliance must be transmitted to OAL by 1-5-2012 or emergency language will be repealed by operation of law on the following day.
3. Editorial correction of Note (Register 2011, No. 52).
4. New section, including amendment of Note, refiled 1-3-2012 as an emergency; operative 1-5-2012 pursuant to Government Code section 11343.4(b) (Register 2012, No. 1). A Certificate of Compliance must be transmitted to OAL by 4-5-2012 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 1-3-2012 order, including amendment of Note, transmitted to OAL 3-26-2012 and filed 5-7-2012 (Register 2012, No. 19).
6. Editorial correction of subsection (b) (Register 2012, No. 28).
Chapter 17. Attorney General Regulations Regarding Health Care Districts Under Health and Safety Code Sections 32121 and 32126
§999.40. Report of Transaction.
Note • History
(a) Pursuant to Health and Safety Code sections 32121 and 32126, a health care district shall report to the Attorney General, within 30 days of any transfer or lease of district assets to one or more corporations, the type of transaction and the entity (including the address and telephone number) to whom the assets were transferred or leased.
(b) For purposes of giving notice to the Attorney General pursuant to subdivision (a), all reports shall be submitted in writing to the office listed below which is located nearest to the principal office of the health care district on whose behalf the notice is submitted.
ATTORNEY GENERAL, CHARITABLE TRUSTS SECTION
455 GOLDEN GATE AVENUE, SUITE 11000
SAN FRANCISCO, CALIFORNIA 94102-7004
ATTORNEY GENERAL, CHARITABLE TRUSTS SECTION
300 SOUTH SPRING STREET
LOS ANGELES, CALIFORNIA 90013-1230
ATTORNEY GENERAL, CHARITABLE TRUSTS SECTION
1300 I STREET
P.O. BOX 944255
SACRAMENTO, CALIFORNIA 94244-2550
(c) The written report shall be deemed filed with the Attorney General when the report is received at the Office of the Attorney General with the information required by subdivision (a).
NOTE
Authority cited: Sections 32121(p)(12) and 32126(c), Health and Safety Code. Reference: Sections 32121(p)(12) and 32126(c), Health and Safety Code.
HISTORY
1. New chapter 17 (section 999.40) and section filed 2-2-2007; operative 3-4-2007 (Register 2007, No. 5).
Chapter 18. Electronic Recording Delivery System
Article 1. Scope
Note • History
(a) This Chapter shall be known as Department of Justice (DOJ) regulations for Electronic Recording Delivery System (ERDS) and is referred to as these regulations.
(b) These regulations establish guidelines, procedures, and standards following the enactment of the Electronic Recording Delivery Act (ERDA) of 2004, which authorizes a County Recorder, upon approval by resolution of the Board of Supervisors and system certification by the ERDS Program, to establish an ERDS for the delivery, and, when applicable, return of specified digitized and digital electronic records, subject to specified conditions, including system certification, regulation, and oversight by the ERDS Program.
(c) These regulations may not be construed to administer the processes or procedures relating to the business of a County Recorder.
(d) These regulations do not address prevention for tampering or fraudulent documents prior to transmitting into or after retrieving from an ERDS.
(e) The Attorney General finds that this Chapter is consistent with the Electronic Signatures in Global and National Commerce Act (15 U.S.C. Sections 7001, et seq., and 47 U.S.C. Section 231) as contemplated in Section 7002(a)(2)(A). As provided in the Electronic Signatures in Global and National Commerce Act (E-SIGN), these regulations do not require, or accord greater legal effect to, the implementation or application of a specific technology or technical specification for performing the functions of creating, storing, generating, receiving, communicating, or authenticating electronic signatures. The performance standards specified in this Chapter are to assure the accuracy, record integrity, and accessibility of records delivered by a participating County Recorder via an ERDS.
NOTE
Authority cited: Sections 27393 and 27399(a), Government Code. Reference: Sections 27391(a), 27392(a), 27393(a), 27393(b), 27393(c) and 27399, Government Code; 15 U.S.C. Sections 7001, et seq.; and 47 U.S.C. Sections 231 and 7002(a)(2)(A).
HISTORY
1. New chapter 18 (articles 1-9, sections 999.100-999.223), article 1 (sections 999.100-999.101) and section filed 7-31-2007; operative 8-30-2007 (Register 2007, No. 31).
Note • History
Information provided on documentation submitted to the ERDS Program shall be exempt from disclosure to ensure that an individual's right to privacy is enforced and that confidential information is protected from threat of potential risk in the indiscriminate collection, maintenance, and dissemination of that information.
NOTE
Authority cited: Section 27393, Government Code. Reference: Sections 27393(b)(2) and 27393(b)(11), Government Code.
HISTORY
1. New section filed 7-31-2007; operative 8-30-2007 (Register 2007, No. 31).
Note • History
If any article, section, subsection, sentence, clause or phrase of these regulations contained in this Chapter is for any reason held to be unconstitutional, contrary to statute, exceeding the authority of the Attorney General, or otherwise inoperative, such decision shall not affect the validity of the remaining portion of these regulations.
NOTE
Authority cited: Section 27393, Government Code. Reference: Sections 27390 and 27393, Government Code.
HISTORY
1. New section filed 7-31-2007; operative 8-30-2007 (Register 2007, No. 31).
Article 2. Definitions
Note • History
(a) The following definitions shall apply throughout all the articles within these regulations:
(1) “Agent” means a representative and his/her employees who are authorized to submit documents on behalf of an Authorized Submitter who has entered into a contract with a County Recorder, and, assigned a role by the County Recorder, to deliver, and, when applicable, return the submitted ERDS payloads via an ERDS. An Agent may not be a Computer Security Auditor, County Recorder Designee, ERDS Account Administrator, ERDS System Administrator, or Vendor of ERDS Software.
(2) “Approved Escrow Company” means an escrow company approved pursuant to California Code of Regulations, Title 2, Division 7, Chapter 6, Article 3, D, List of Approved Companies and Facilities, Section 20639.
(3) “Attorney General” means the Attorney General of the State of California.
(4) “Authorized Access” means a role assigned by the County Recorder to an Authorized Submitter and Agent, if any, who is authorized to use ERDS for only Type 2 instruments. This level of access does not require fingerprinting.
(5) “Authorized Submitter” means a party and his/her employees that has entered into a contract with a County Recorder, and, assigned a role by the County Recorder, to deliver, and, when applicable, return the submitted ERDS payloads via an ERDS. An Authorized Submitter may not be a Computer Security Auditor, County Recorder Designee, ERDS Account Administrator, ERDS System Administrator or Vendor of ERDS Software.
(6) “Certificate Authority” means a certificate authority that issues digital certificates for the purpose of establishing secure Internet sessions between an Authorized Submitter and an ERDS. Certificate authorities also validate digital certificates presented as proof of identity.
(7) “Computer Security Auditor” means: 1) DOJ approved computer security personnel hired by the County Recorder to perform independent audits, and 2) A role assigned by the County Recorder to the Computer Security Auditor who is authorized to review transaction logs and conduct tests on computer security mechanisms. A Computer Security Auditor may not be an Authorized Submitter, Agent, County Recorder Designee, ERDS Account Administrator, ERDS System Administrator or Vendor of ERDS Software. This role requires fingerprinting. A Computer Security Auditor shall be issued a certificate of approval by the ERDS Program.
(8) “County Recorder” means a public official responsible for administering an ERDS, ensuring that all ERDS requirements are met and who oversees the assignment and delegation of the responsibilities by determining the necessary resources and means.
(9) “County Recorder Designee” means a secure access role assigned by the County Recorder to retrieve, and, when applicable, return of submitted ERDS payloads. A County Recorder Designee may not be a Computer Security Auditor, Authorized Submitter, Agent or Vendor of ERDS Software. This role requires fingerprinting.
(10) “Developer” has the same meaning as “Vendor”.
(11) “Digital Electronic Record” means a record containing information that is created, generated, sent, communicated, received, or stored by electronic means, but not created in original paper form.
(12) “Digital Signature” means a set of electronic symbols attached to, included in, or logically associated with one or more digital electronic records and/or digitized electronic records, inclusive of information related to and intended for association with the digital electronic records and/or digitized electronic records, that is the result of a process, or processes, designed and employed for the purpose of verifying the integrity, accuracy or authenticity of the digital electronic records and/or digitized electronic records with related information. For the purpose of an ERDS, a digital signature is generated by encrypting the hash value of an ERDS payload.
(13) “Digitized Electronic Record” means a scanned image of the original paper document.
(14) “DOJ” means the California Department of Justice.
(15) “Electronic Signature of the Notary” means a field, or set of fields, containing information about the electronic signature of the notary who notarized a digital electronic record or digitized electronic record.
(16) “ERDA” means the Electronic Recording Delivery Act of 2004.
(17) “ERDS” means an ERDS Program certified Electronic Recording Delivery System to deliver digitized electronic records and/or digital electronic records to a County Recorder, and, when applicable, return to the Authorized Submitter.
(18) “ERDS Account Administrator” means a secure access role assigned by the County Recorder to an individual who is authorized to configure accounts, assign roles, and issue credentials. An ERDS Account Administrator may not be a Computer Security Auditor, Authorized Submitter, Agent or Vendor of ERDS Software. This role requires fingerprinting.
(19) “ERDS Payload” means an electronic structure designed for the purpose of delivering digital electronic records or digitized electronic records to a County Recorder via an ERDS. The structure is also used to return, when applicable, digital electronic records or digitized electronic records to an Authorized Submitter via an ERDS.
(20) “ERDS Program” means the program within DOJ designated by the Attorney General to certify, implement, regulate and monitor an ERDS.
(21) “ERDS Server” means computer hardware, software and storage media used by the County Recorder to implement an ERDS. The ERDS Server executes the primary functionality of the application software associated with an ERDS. The ERDS Server includes software for encrypting, decrypting, hashing, submitting, and, when applicable, returning ERDS payloads. It also includes storage media for ERDS payloads in the process of being delivered to the County Recorder or, when applicable, being returned to the Authorized Submitter. Separate physical servers dedicated to performing ERDS server functions are not required provided that ERDS server functions can be isolated from other server functions, as evidenced by audit.
(22) “ERDS System Administrator” means a secure access role assigned by the County Recorder to an individual who is authorized to configure hardware, software, network settings, and to maintain ERDS security functions. An ERDS System Administrator may not be a Computer Security Auditor, Authorized Submitter, Agent or Vendor of ERDS Software. This role requires fingerprinting.
(23) “FIPS” means Federal Information Processing Standard.
(24) “HMAC” means Hash Message Authentication Code.
(25) “Incident” means an event that may have compromised the safety or security of an ERDS.
(26) “Instrument” means: (1) A Type 1 instrument affecting a right, title, or interest in real property. Type 1 instruments shall be delivered as digitized electronic records. Individuals given role-based privileges for a Type 1 instrument shall be fingerprinted; and (2) A Type 2 instrument of reconveyance, substitution of trustee, or assignment of deed of trust. Type 2 instruments may be delivered as digitized electronic records or digital electronic records. Individuals given role-based privileges for a Type 2 only instrument shall not be fingerprinted.
(27) “Lead County” means the County Recorder in a Multi-County ERDS responsible for administering an ERDS, ensuring that all ERDS requirements are met and who oversees the assignment and delegation of the responsibilities by determining the necessary resources and means.
(28) “Live Scan” means a DOJ system used for the electronic submission of applicant fingerprints. This system is outside of the ERDS Program.
(29)“Logged” means an auditable ERDS event.
(30) “Logical” means the way data or systems are organized. For example, a logical description of a file is that it is a collection of data stored together.
(31) “MAC” means Message Authentication Codes.
(32) “Multi-County” means an ERDS application where County Recorders collaborate and make use of a single ERDS serving multiple counties.
(33) “NIST” means National Institute of Standards and Technology.
(34) “Non-Substantive Modification” means a change that does not affect the functionality of an ERDS.
(35) “ORI” means Originating Agency Identifier.
(36) “Physical Access” means access granted to an individual who has physical access to an ERDS server. This level of access requires fingerprinting with the exception of a county data center or an outsourced county data center in which physical access is already managed by security controls.
(37) “Public Entity” includes the State, the Regents of the University of California, a county, city, district, public authority, public agency, and any other political subdivision or public corporation in the State. As provided in this chapter, “public entity” includes federal government entities.
(38) “PKI” means a Public Key Infrastructure which is a framework for creating a secure method for exchanging information based on public key cryptography. The foundation of a PKI is the certificate authority, which issues digital certificates that authenticate the identity of organizations and individuals over a public system such as the Internet. The certificates are also used to sign messages, which ensure that messages have not been tampered with.
(39) “Reportable” means an incident that has resulted in the compromise of the safety or security of an ERDS and shall be reported to the ERDS Program.
(40) “RSA” means a public-key encryption technology developed by Rivest, Shamir and Adelman (RSA). The RSA algorithm has become the de facto standard for industrial-strength encryption especially for data sent over the Internet.
(41) “Role” means a security mechanism, method, process or procedure that defines specific privileges dictating the level of access to an ERDS.
(42) “Secure Access” means a role assigned by the County Recorder to an individual which requires fingerprinting to: 1) An Authorized Submitter and Agent, if any, who are authorized to use an ERDS for both Type 1 and 2 instruments (excludes Type 2 instruments only) or Type 1 instruments only; 2) A Computer Security Auditor hired by the County Recorder to perform independent audits; 3) An ERDS System Administrator who is authorized to configure hardware, software and network settings; 4) An ERDS Account Administrator who is authorized to configure accounts, assign roles, and issue credentials; 5) An individual who is granted physical access to an ERDS server; 6) A County Recorder Designee authorized to retrieve, and, when applicable, return of submitted ERDS payloads.
(43) “Security Testing” means an independent security audit by a Computer Security Auditor, including, but not limited to, attempts to penetrate an ERDS for the purpose of testing the security of that system.
(44) “SHA” means Secure Hash Algorithm.
(45) “Source Code” means a program or set of programs, readable and maintainable by humans, translated or interpreted into a form that an ERDS can execute,
(46) “Source Code Materials” means, but is not limited to, all of the following: 1) A copy of all source code that implements ERDS functionality; 2) A copy of the compiler needed to compile the ERDS source code in escrow; 3) Instructions for installation and use of the ERDS source code compiler; and 4) Instructions that facilitate reviews, modification and/or recompiling the source code.
(47) “Sub-County” means the collaborating County Recorder(s) in a Multi-County ERDS operation.
(48) “Substantive Modification” means a change that affects the functionality of an ERDS.
(49) “TLS” means Transport Layer Security.
(50) “Uniform Index Information” means information collected by a County Recorder in the recording process. Every digital electronic record and digitized electronic record delivered through an ERDS shall be capable of including uniform index information. The County Recorder shall decide on the content of uniform index information.
(51) “User” means a person who uses a computer to access, submit, retrieve, or, when applicable, return an ERDS payload.
(52) “Vendor (or Developer)” means a person and personnel, supporting and/or acting on behalf of the certified Vendor of ERDS Software who sells, leases, or grants use of, with or without compensation therefore, a software program for use by counties for establishing an ERDS. A Vendor of ERDS Software may not be a Computer Security Auditor, Authorized Submitter, Agent, ERDS Account Administrator, ERDS System Administrator, County Recorder Designee or internal county resources used as a Developer of an ERDS in lieu of a Vendor. This role requires fingerprinting.
(53) “Workstation” means a computer used to connect to, and interact with, an ERDS.
NOTE
Authority cited: Section 27393, Government Code. Reference: Sections 27390(b), 27393(b)(4), 27395(f), 811.2, 15000 and 12510, Government Code.
HISTORY
1. New article 2 (section 999.108) and section filed 7-31-2007; operative 8-30-2007 (Register 2007, No. 31).
Article 3. Fees
§999.114. Vendor of ERDS Software Fees.
Note • History
(a) A Vendor seeking approval of software and other services as part of an ERDS shall be charged a fee for initial certification and a renewal certification fee every three years. These fees may be increased at a rate not to exceed the legislatively approved cost-of-living adjustment for the DOJ. The ERDS Program non-refundable fees for certification of a Vendor of ERDS Software are as follows:
(1) Initial certification by the ERDS Program is $500.
(2) Renewal certification by the ERDS Program is $300.
(b) All fees shall be processed prior to certification.
(c) Fees shall be paid by check or money order made payable to the “Department of Justice -- ERDS Program”.
NOTE
Authority cited: Section 27393, Government Code. Reference: Section 27397(b), Government Code.
HISTORY
1. New article 3 (sections 999.114-999.115) and section filed 7-31-2007; operative 8-30-2007 (Register 2007, No. 31).
§999.115. System Administration Fee.
Note • History
(a) A County Recorder establishing an ERDS shall pay for the direct cost of regulation and oversight by the ERDS Program. A System Administration Fee, developed in consultation with the interested County Recorders, has been established to meet this requirement.
(b) On an annual basis, the System Administration Fee shall be computed based on all of the following:
(1) DOJ's estimated annual costs.
(2) The number of counties participating in the System Administration Fee.
(3) The total documents recorded and filed by the participating counties as reported to the Office of the Insurance Commissioner pursuant to Section 27296 of the Government Code, for the previous calendar year.
(4) A percentage figure will be calculated by dividing the total documents recorded per participating county by the total documents recorded for all participating counties.
(5) The percentage figure by county is applied to the estimated annual costs of the ERDS Program to arrive at each participating county's figure.
(c) A County Recorder shall enter into a Memorandum of Understanding with the ERDS Program before system certification agreeing to the computed System Administration Fee and annually thereafter by an addendum to the Memorandum of Understanding.
(d) All fees shall be processed prior to certification.
NOTE
Authority cited: Section 27393, Government Code. Reference: Sections 27391(a), 27296 and 27397(a), Government Code.
HISTORY
1. New section filed 7-31-2007; operative 8-30-2007 (Register 2007, No. 31).
Article 4. Fingerprinting and Criminal Record Checks
§999.121. Fingerprinting and Criminal Record Checks.
Note • History
(a) Individuals in an ERDS role that requires fingerprinting shall submit fingerprint images and all related information to the DOJ for the purpose of obtaining information as to the existence and nature of a record of state and federal level convictions and arrests or whether the applicant was released on bail or his own recognizance pending trial.
(b) If the state or federal criminal records contain a conviction of a felony, or a misdemeanor related to theft, fraud, or a crime of moral turpitude, or a pending criminal charge for any of these crimes shall be justification for denial to an individual to serve in an ERDS role that requires fingerprinting. A plea of guilty or no contest, a verdict resulting in conviction, or the forfeiture of bail, shall be a conviction pursuant to Government Code section, 27395(a), irrespective of a subsequent order under section 1203.4 of the Penal Code. All other state or federal criminal records containing a felony or misdemeanor conviction involving dishonesty, fraud or deceit, “moral turpitude” [People v. Castro (1985) 38 Cal. 3d 301], including pending charges, shall be justification for denial to an individual to serve in an ERDS role that requires fingerprinting.
(c) The DOJ shall respond to the ERDS Program for criminal offender record information as delineated in subdivision (l) of section 11105 of the Penal Code.
(d) The ERDS Program shall deliver written notification of an individual's ineligibility for access to an ERDS to the individual, his or her known employer, the Computer Security Auditor, and the County Recorder.
(e) The ERDS Program shall request subsequent arrest notification service, pursuant to section 11105.2 of the Penal Code, for individuals assigned an ERDS role that requires fingerprinting.
(f) If the ERDS Program is notified of a subsequent arrest, the individual, his or her known employer, the Computer Security Auditor, and the County Recorder shall be notified within 10 business days of the individual's ineligibility for access to an ERDS, if applicable,
(g) Re-fingerprinting of Individuals Changing Roles and/or Agencies
(1) When an individual who was previously approved for an ERDS role that requires fingerprinting, changes roles and/or agencies, changes employment, or is designated additional secure access roles within the same agency; or if an employee or agent of an Authorized Submitter submits to one county and now submits to multiple counties re-fingerprinting is not required. However, for such an individual, proof of fingerprinting shall be provided to the ERDS Program by submission of a Change of ERDS Role form #ERDS 0008 (February 2007), consistent with procedures outlined within these regulations.
(h) Proof of fingerprint submission can be met as follows:
(1) Electronic fingerprint submissions. A notarized applicant copy of the Request for Live Scan Services form # BCII 8016ERDS (February 2007) shall be provided as proof of fingerprint submission. If a notarized copy cannot be provided, the individual shall be fingerprinted.
(2) Manual fingerprint submissions. If an individual initially used the manual method of fingerprinting, the individual shall be fingerprinted.
NOTE
Authority Cited: Sections 27393, 27395(a), 27395(b), 27395(c), 27395(d) and 27395(e), Government Code. Reference: Sections 27393(b), 27393(b)(9) and 27395, Government Code; and Sections 1203.4, 11105 and 11105.2, Penal Code.
HISTORY
1. New article 4 (sections 999.121-999.122) and section filed 7-31-2007; operative 8-30-2007 (Register 2007, No. 31).
§999.122. Role-Based Fingerprinting Requirement.
Note • History
(a) The following ERDS roles assigned secure access to both Type 1 and 2 instruments, (excludes Type 2 instruments only), require the submission of fingerprints to the DOJ, and require clearance based on the state and federal criminal record checks, prior to the individual serving in the role as an/a:
(1) Agent or representative and his/her employees who are authorized to submit documents on behalf of an Authorized Submitter.
(2) Authorized Submitter and his/her employees is a party that has entered into a contract with a County Recorder.
(3) Computer Security Auditor.
(4) County Recorder Designee.
(5) ERDS Account Administrator.
(6) ERDS System Administrator.
(7) An individual who is authorized physical access to an ERDS server with the exception of a county data center or an outsourced county data center in which physical access is already managed by security controls.
(8) Vendor (or Developer) personnel, supporting and/or acting on behalf of the certified Vendor of ERDS Software.
(9) Internal county resources used as a Developer of ERDS in lieu of a Vendor of ERDS Software.
NOTE
Authority Cited: Sections 27393, 27395(d) and 27395(e), Government Code. Reference: Sections 27393(b)(9) and 27395, Government Code.
HISTORY
1. New section filed 7-31-2007; operative 8-30-2007 (Register 2007, No. 31).
Article 5. Baseline Requirements and Technology Standards
§999.128. Basis for the Baseline Requirements and Technology Standards.
Note • History
(a) To meet the intent of the ERDA, the minimum standards and guidelines established within these regulations are based on information security “best practices” designed to offer a layered security approach through the use of the following security objectives:
(1) Availability (of systems and data for intended use only). Availability is a requirement intended to assure that systems work promptly and service is not denied to authorized users, i.e, accessible and usable upon demand. This objective protects against intentional or accidental attempts to either perform unauthorized deletion of data or otherwise cause a denial of service or data.
(2) Integrity (of system and data). Integrity has two facets:
(A) Data integrity (the property that data has not been altered or destroyed in an unauthorized manner while in storage, during processing, or while in transit), or
(B) System integrity (the quality that a system has when performing the intended function in an unimpaired manner, free from unauthorized manipulation).
(3) Confidentiality (of data and system information). Confidentiality is the requirement that private or confidential information not be disclosed to unauthorized individuals, entities or procesess. Confidential protection applies to data in storage, during processing, and while in transit.
NOTE
Authority cited: Section 27393, Government Code. Reference: Section 27393(b), Government Code.
HISTORY
1. New article 5 (sections 999.128-999.154) and section filed 7-31-2007; operative 8-30-2007 (Register 2007, No. 31).
§999.129. Standards and Guidelines.
Note • History
Standards and guidelines contained in these regulations are based on NIST and FIPS publications including: NIST Special Publication 800-88, Guidelines for Media Sanitization (publication date September 2006); FIPS 180-2, Secure Hash Standard (publication date August 2002 with change notice dated February 2004); FIPS 140-2, Security Requirements for Cryptographic Modules (publication date May 2001 with a change notice dated December 2002); FIPS 197, Advanced Encryption Standard (publication date November 2001); FIPS 198, The Keyed-Hash Message Authentication Code (HMAC) (publication date March 2002); NIST Special Publication 800-63, Electronic Authentication Guideline (publication date April 2006 Version 1.0.2); NIST Special Publication 800-70, Security Configuration Checklists Program for IT Products (publication date May 2005). The ERDS Program shall make available any update, revision or replacement of a reference cited.
NOTE
Authority cited: Section 27393, Government Code. Reference: Section 27393(b), Government Code.
HISTORY
1. New section filed 7-31-2007; operative 8-30-2007 (Register 2007, No. 31).
Note • History
(a) The ERDA refers to two types of instruments that may be delivered, and, when applicable, returned as digital electronic records and/or digitized electronic records. For the purposes of ERDS, these instruments are classified as follows:
(1) Type 1 is an instrument affecting a right, title, or interest in real property. Type 1 instruments shall be delivered as digitized electronic records. Individuals given role-based privileges for a Type 1 instrument shall be fingerprinted.
(2) Type 2 is an instrument of reconveyance, substitution of trustee, or assignment of deed of trust. Type 2 instruments may be delivered as digitized electronic records or digital electronic records. Individuals given role-based privileges for a Type 2 only instrument shall not be fingerprinted.
(b) ERDS shall be designated as Type 1 or Type 2 or Type 1 and 2. The delivery, and, when applicable, return of these instrument types through an ERDS shall meet the requirements specified in these regulations.
NOTE
Authority cited: Section 27393, Government Code. Reference: Sections 27393(b)(2), 27397.5(a) and 27397.5(a), Government Code.
HISTORY
1. New section filed 7-31-2007; operative 8-30-2007 (Register 2007, No. 31).
§999.131. Operating Procedures.
Note • History
(a) The County Recorder shall have ERDS operating procedures prepared, maintained and followed that explain the proper operation, management, administration, content restrictions and use of their ERDS,
(b) The County Recorder shall establish ERDS operating procedures and/or incorporate features within the ERDS design in order to restrict the instrument type and content to meet the requirements of these regulations.
(c) ERDS operating procedures shall be sufficient for a Computer Security Auditor to conduct computer security audits.
NOTE
Authority cited: Sections 27392(a), 27393, 27394(c) and 27397.5(a), Government Code. Reference: Sections 27392(a), 27393, 27394(c) and 27397.5(a), Government Code.
HISTORY
1. New section filed 7-31-2007; operative 8-30-2007 (Register 2007, No. 31).
§999.132. System Implementation.
Note • History
(a) ERDS may consist of hardware, software, storage media and network connections that securely exchange messages and data. The hardware, software and storage media shall be designated by the County Recorder establishing the ERDS and shall be included in system certifications, audits, local inspections and reviews.
(b) ERDS shall be designated as “Single-County” or “Multi-County”, and identified as a Type 1 or Type 2 or Type 1 and 2, and return, when applicable. Single-County ERDS shall be dedicated to serving a single county. Multi-County ERDS shall serve more than one county as established by mutual agreement among County Recorders.
(c) An Authorized Submitter may be granted access to more than one ERDS; however, access to each ERDS shall remain under management control of the County Recorder establishing the ERDS.
(d) ERDS shall have no capabilities to modify, manipulate, insert or delete information in the public record.
(e) ERDS shall protect the confidentiality and integrity of digital electronic records and/or digitized electronic records during the process of transmission and storage.
(f) ERDS capable of returning digital electronic records and/or digitized electronic records shall meet the requirements established within these regulations.
NOTE
Authority cited: Sections 27392(a) and 27393, Government Code. Reference: Sections 27392(a), 27393, 27396(a) and 27397.5(a), Government Code.
HISTORY
1. New section filed 7-31-2007; operative 8-30-2007 (Register 2007, No. 31).
§999.133. Payload Structure, Content and Usage.
Note • History
(a) All ERDS for either Type 1 or Type 2 instruments shall contain an ERDS payload structure. An ERDS payload structure does not restrict the content within a digital electronic record and/or digitized electronic record. A County Recorder shall list any restrictions on content in each contract with an Authorized Submitter. At a minimum, the ERDS payload structure shall contain a component for all of the following:
(1) Uniform Index Information.
(2) One or more digital electronic records or digitized electronic records.
(3) Information about the electronic signature of a notary.
(b) Each ERDS payload will be used to generate the Digital Signature of the individual preparing the ERDS payload. When ERDS payloads are being prepared for delivery to a County Recorder, the Digital Signature shall be of the Authorized Submitter. When ERDS payloads are being returned to an Authorized Submitter through ERDS, the Digital Signature shall be of the County Recorder Designee.
(c) ERDS payloads may be used to deliver a file format acceptable to the County Recorder.
(d) ERDS payloads submitted by an Authorized Submitter shall be retrievable by a County Recorder Designee.
(e) Multiple digital electronic records or digitized electronic records within the same payload is allowed; however, Type 1 and Type 2 instruments may not be included in the same ERDS payload.
NOTE
Authority cited: Section 27393, Government Code. Reference: Sections 27391(e), 27392(b) and 27393(b)(10), Government Code.
HISTORY
1. New section filed 7-31-2007; operative 8-30-2007 (Register 2007, No. 31).
§999.134. Uniform Index Information.
Note • History
A digital electronic record or digitized electronic record delivered through an ERDS shall be capable of including uniform index information in the ERDS payload. The County Recorder shall decide on the content of uniform index information.
NOTE
Authority cited: Section 27393, Government Code. Reference: Section 27393(b)(10), Government Code.
HISTORY
1. New section filed 7-31-2007; operative 8-30-2007 (Register 2007, No. 31).
§999.135. Electronic Signature of a Notary.
Note • History
(a) ERDS payloads shall be capable of including information about the electronic signature of the notary regardless of how the electronic signature of a notary is affixed by the notary according to other applicable laws. When a signature is required to be accompanied by a notary's seal or stamp, that requirement is satisfied if the electronic signature of the notary contains all of the following:
(1) The name of the notary.
(2) The words “Notary Public”.
(3) The name of the county or other administrative district of a state where the bond and oath of office of the notary are filed.
(4) The sequential identification number assigned to the notary, if given.
(5) The sequential identification number assigned to the manufacturer or vendor of the notary's physical and/or electronic seal, if available.
NOTE
Authority cited: Section 27393, Government Code. Reference: Section 27391(e), Government Code.
HISTORY
1. New section filed 7-31-2007; operative 8-30-2007 (Register 2007, No. 31).
§999.136. Security Requirements for Data Integrity.
Note • History
(a) All ERDS for either Type 1 or Type 2 instruments shall assure submitted documents do not contain content that draws data or images from sources external to the digital electronic record and/or digitized electronic record, including, but not limited to: viruses, worms, Trojan Horses, spyware, adware, ActiveX components, java script, java components, HTML encoded hyperlinks, and any other executable software.
(b) Active content detected by anti-malware shall be removed as soon as it is detected. Active content that cannot be removed shall be disabled.
NOTE
Authority cited: Section 27393, Government Code. Reference: Sections 27392(b), 27393(b)(2) and 27397.5(a), Government Code.
HISTORY
1. New section filed 7-31-2007; operative 8-30-2007 (Register 2007, No. 31).
§999.137. Security Requirements for Payload Protection.
Note • History
(a) All ERDS for either Type 1 or Type 2 instruments shall employ encryption, both in transmission and storage, until decrypted by the intended recipient to protect the confidentiality of ERDS payloads. Once decrypted by the intended recipient, the security of the contents shall become the responsibility of the intended recipient. Two payload encryption algorithms are approved for ERDS:
(1) The RSA Algorithm using a minimum key-length of 1024 bits; and
(2) The Advanced Encryption Algorithm using a minimum key-length of 128 bits as defined in FIPS 197, Advanced Encryption Standard (publication date November 2001).
(b) All ERDS for either Type 1 or Type 2 instruments shall use hashing to protect the integrity of ERDS payloads. The hash function approved for ERDS payloads is the Secure Hash Algorithm defined in FIPS 180-2, Secure Hash Standard (publication date August 2002 with change notice dated February 2004), using a message digest size of at least 224 bits.
(c) All ERDS for either Type 1 or Type 2 instruments shall use Digital Signatures to assure the authenticity of ERDS payloads. The signing function approved for ERDS payloads is the RSA algorithm, using a minimum key-length of 1024 bits.
(d) All ERDS for either Type 1 or Type 2 instruments shall use a Public Key Infrastructure (PKI) established by the County Recorder to ensure all ERDS users are uniquely identified and to protect the integrity and authenticity of ERDS payloads. The public/private key-pair shall constitute the user's PKI identity credentials. Cryptographic modules used for generating encryption keys shall meet the requirements of Security Level 2 defined in FIPS 140-2, Security Requirements for Cryptographic Modules (publication date May 2001 with a change notice dated December 2002).
(e) ERDS for Type 1 instruments: The private key in the pair shall be issued to the user and employed to create digital signatures, both for use during login and for assuring the integrity of ERDS payloads. The public key shall be used to authenticate the user during login and to verify the integrity and authenticity of ERDS payloads.
(f) ERDS for Type 2 instruments: The private key in the pair shall be issued to the user and employed to create digital signatures and for assuring the integrity of ERDS payloads. The public key shall be used to authenticate the user and to verify the integrity and authenticity of ERDS payloads.
(g) ERDS for Type 1 instruments: Authentication shall consist of two factors: the user ID and password associated with an approved user account and the user's PKI identity credentials.
(h) ERDS for Type 2 instruments: Authentication shall be based on the user's PKI identity credentials.
(i) All ERDS for either Type 1 or Type 2 instruments: Resources and means for establishing a PKI shall be at the discretion of the County Recorder, but commercially available certificate authorities, if employed, shall be on the list of certification authorities approved by the California Secretary of State.
NOTE
Authority cited: Section 27393, Government Code. Reference: Sections 27393(b) and 27397.5, Government Code.
HISTORY
1. New section filed 7-31-2007; operative 8-30-2007 (Register 2007, No. 31).
§999.138. Security Requirements for Computer Workstations.
Note • History
(a) All ERDS that serve either Type 1 or Type 2 instruments: The County Recorder shall ensure that all endpoints are secure. As such, workstations used to submit, retrieve, or, when applicable, return ERDS payloads are protected from unauthorized use and access. As a minimum, workstations shall meet all of the following requirements:
(1) Anti-malware software configured to start on system boot-up.
(2) Operating system software with the most up-to-date patches and hot-fixes.
(3) Host based firewall configured to restrict inbound and outbound connections.
(b) For Type 1 instruments only, installed applications shall be limited to the purpose of performing the necessary operational needs of the recording process as defined by the County Recorder.
(c) The County Recorder shall include provision (a) and (b) as a mandatory requirement in all contracts with Authorized Submitters whom shall ensure that an Agent, if any, complies with these regulations. The contents of the contract provision are subject to audit and local inspection.
NOTE
Authority cited: Section 27393, Government Code. Reference: Sections 27393(b)(2) and 27397.5, Government Code.
HISTORY
1. New section filed 7-31-2007; operative 8-30-2007 (Register 2007, No. 31).
§999.139. Security Requirements for Computer Media.
Note • History
(a) ERDS payloads and encryption keys for either Type 1 or Type 2 instruments shall be encrypted when stored on storage media. The encryption employed for protecting ERDS payloads and encryption keys in storage shall conform to the standards for transmitting ERDS payloads.
(b) Fixed and removable disks for either Type 1 or Type 2 instruments shall be sanitized as defined in NIST Special Publication 800-88, Guidelines for Media Sanitization (publication date September 2006), prior to reallocating ERDS hardware or storage media to other purposes.
NOTE
Authority cited: Section 27393, Government Code. Reference: Sections 27393(b)(2) and 27397.5, Government Code.
HISTORY
1. New section filed 7-31-2007; operative 8-30-2007 (Register 2007, No. 31).
§999.140. ERDS Identification Security Requirements.
Note • History
(a) ERDS that serve Type 1 and 2 instruments shall be required to meet the additional identification security requirements required for Type 1 instruments as follows:
(1) User accounts may be implemented as part of a network authentication and authorization system available to the County Recorder, as an integral part of an ERDS server, or by other means at the discretion of the County Recorder as long as all of the following requirements are met:
(A) Each ERDS user shall be uniquely identified.
(B) Shared user accounts and identity credentials shall be prohibited.
(C) User IDs shall either be based on the verified name of the user or a pseudonym approved by the County Recorder.
(D) User accounts shall be associated with ERDS roles.
NOTE
Authority cited: Section 27393(b), Government Code. Reference: Sections 27393(b)(2) and 27397.5, Government Code.
HISTORY
1. New section filed 7-31-2007; operative 8-30-2007 (Register 2007, No. 31).
§999.141. ERDS Authentication Security Requirements.
Note • History
(a) ERDS that serve Type 1 and 2 instruments shall be required to meet all of the additional authentication security requirements required for Type 1 instruments as follows:
(1) The standard for electronic authentication shall employ a token containing a cryptographic key, for example, a digital certificate issued to the user and a password associated with the user ID.
(2) Authentication assurance shall meet Level 3 or higher, as defined by the NIST Special Publication 800-63, Electronic Authentication Guideline (publication date April 2006 Version 1.0.2).
(3) The token methods described by the NIST may be used, provided that authentication assurance Level 3 or higher, as defined by the NIST Special Publication 800-63, Electronic Authentication Guideline (publication date April 2006 Version 1.0.2), is achieved.
(b) Password creation, protection, maintenance, processing and handling shall adhere to the Password Policy contained in the California Counties Best Practices Information Security Program (publication date March 2002).
NOTE
Authority cited: Section 27393(b), Government Code. Reference: Sections 27393(b)(2) and 27397.5, Government Code.
HISTORY
1. New section filed 7-31-2007; operative 8-30-2007 (Register 2007, No. 31).
§999.142. ERDS Role-Based Security Requirements.
Note • History
(a) All ERDS that serve either Type 1 or Type 2 instruments shall be required to meet all of the role-based security requirements as follows:
(1) ERDS access shall be controlled by the County Recorder using a role-based access control system. Textual disclaimers or verbal disclaimers alone shall not be sufficient to control access to digital electronic records and digitized electronic records under the control of an ERDS. The role-based access control system shall control all of the following characteristics:
(A) Whether or not a session may be established with an ERDS.
(B) What ERDS payloads will be displayed.
(C) Whether or not ERDS payloads may be submitted, retrieved, and, when applicable, returned.
(D) Whether Type 1 instruments or Type 2 instruments may be included within an ERDS payload.
(2) The County Recorder shall also be responsible for controlling the assignment of user accounts and identity credentials. User accounts and identity credentials shall be issued to the person, and a role shall be assigned to control transactions performed under that user account. The security system shall be capable of controlling this electronic access based on the roles authorized at the time a user successfully logs into an ERDS.
(3) Shared user accounts may not be issued. At no time shall more than one person be authorized access to an ERDS using a single ERDS user account or set of identity credentials. Each person shall be uniquely identified.
(4) If a user's status changes so that access to ERDS is no longer required, the user's ERDS account and identity credentials shall be disabled and revoked for the purposes of ERDS. ERDS user accounts and identity credentials may not be transferable.
(5) Identity credentials shall be recognized across ERDS provided that the County Recorders involved have consented, by mutual agreement, to recognize the credentials. The details of the agreements shall be at the discretion of the County Recorders; however, the agreement shall be made part of the ERDS operating procedures of all County Recorders who are party to the agreement.
(6) The security system of a Multi-County ERDS shall be capable of controlling access based on the county to which ERDS payloads are to be delivered, and, when applicable, returned.
(7) With the exception of a county data center or an outsourced county data center in which physical access is already managed by security controls, persons granted physical access to an ERDS server shall be subject to fingerprinting, but may not be assigned a login role and may not be granted access to ERDS payloads unless authorized by the County Recorder.
(8) An Authorized Submitter and Agent, if any, shall be limited to those privileges granted by the County Recorder. The Authorized Submitter and Agent are prohibited from submitting ERDS payloads on behalf of another Authorized Submitter, or Agent, unless the details of the agreement are specified in contracts with the County Recorder. Regardless of the details of the agreement, shared user accounts may not be issued.
(9) An Agent named in more than one contract shall be required to indicate which Authorized Submitter is represented in a transaction.
NOTE
Authority cited: Section 27393, Government Code. Reference: Sections 27390(b)(1), 27391 and 27393(b)(2), Government Code.
HISTORY
1. New section filed 7-31-2007; operative 8-30-2007 (Register 2007, No. 31).
§999.143. ERDS Server Security Requirements.
Note • History
(a) ERDS that employ one or more servers that serve Type 1 or Type 1 and 2 instruments shall be required to meet all of the additional server security requirements for Type 1 instruments as follows:
(1) Separate physical servers dedicated to performing ERDS server functions are not required provided that ERDS server functions can be isolated from other server functions, as evidenced by audit.
(2) ERDS shall employ an ERDS proxy server.
(3) The proxy server shall do all of the following:
(A) Establish secure Internet sessions.
(B) Authenticate user ID and password credentials.
(C) Transfer and/or relay ERDS requests received via authenticated secure Internet sessions to the ERDS server.
(D) Be physically and logically separated from the ERDS server.
(4) Proxy servers may not execute an ERDS functionality except as described above.
(5) The ERDS server shall communicate via secure sessions through the proxy server when interoperating via the Internet. As a minimum, sessions between the proxy server and the ERDS server shall be protected using a secure protocol. Direct logins from the Internet to an ERDS server shall be prohibited.
(6) The ERDS server shall run ERDS application software, store ERDS payloads, authenticate ERDS credentials, control ERDS access based on assigned roles, and log ERDS transactions.
(7) ERDS servers shall be configured to prevent unauthorized access, modification or use.
(8) At a minimum, servers shall be hardened according to the standards established by the County Recorder. The County Recorder shall ensure that all county servers used for ERDS are “hardened” according to one of the following checklists or guidelines:
(A) NIST Special Publication 800-70, Security Configuration Checklists Program for IT Products (publication date May 2005).
(B) Manufacturer's recommended guidelines for securing their products to afford the highest level of protection.
(9) All county servers used for ERDS shall have a host-based file integrity checking system configured to alert the ERDS System Administrator of an operating system file change to the ERDS server and have anti-malware software installed and operating to protect the server.
NOTE
Authority cited: Section 27393, Government Code. Reference: Sections 27393(b)(2) and 27397.5, Government Code.
HISTORY
1. New section filed 7-31-2007; operative 8-30-2007 (Register 2007, No. 31).
§999.144. ERDS Security Requirements for Network Security.
Note • History
(a) ERDS that serve Type 1 or Type 1 and 2 instruments shall be required to meet all of the additional network security requirements for Type 1 instruments as follows:
(1) ERDS transactions via a network shall be protected using encryption.
(2) Prior to beginning a login sequence, a secure connection shall be established in order to protect passwords. ERDS may not employ “Basic” or “Hypertext Transport Protocol” referred to commonly as “HTTP” authentication to transmit passwords. Secure connections shall be terminated if the authenticated user logs out or after a preset timeout limit of not more than 30 minutes, whichever occurs first.
(3) The standard for establishing secure connection is the TLS protocol as described in NIST Special Publication 800-63, Electronic Authentication (publication date April 2006 Version 1.0.2). As a minimum, 128-bit encryption shall be used to establish secure TLS sessions, as described in FIPS 197, “Advanced Encryption Standard”, (publication date, November 2001).
(4) ERDS shall employ MAC to assure the authenticity of encrypted ERDS payloads. Each MAC shall conform to the standard defined in FIPS 198, “The Keyed-Hash Message Authentication Code (HMAC)”, (publication date March 2002).
(5) The County Recorder shall ensure digital certificates are available to establish secure connections between users and the proxy server, and between the proxy server and ERDS server.
(6) Network security controls shall be implemented to prevent unauthorized network traffic from reaching ERDS components.
(7) ERDS components shall be protected from unauthorized network access. Network perimeter security controls shall be implemented to prevent unauthorized network traffic from reaching ERDS components. At a minimum, network devices shall do all of the following:
(A) Employ stateful packet inspection.
(B) Block unauthorized connections by limiting connection attempts addressed to ERDS components to those necessary for ERDS operation.
(C) Be designed and configured to fail “closed” rather than open.
(D) Detect possible intrusions and, if a possible intrusion is detected, alert the ERDS System Administrator and take action to prevent the intrusion.
NOTE
Authority cited: Section 27393, Government Code. Reference: Sections 27393(b)(2) and 27397.5, Government Code.
HISTORY
1. New section filed 7-31-2007; operative 8-30-2007 (Register 2007, No. 31).
Note • History
(a) With the exception of a county data center or an outsourced county data center in which physical access is already managed by security controls, including fingerprinting, the site housing the ERDS server shall be protected from unauthorized physical access. The server shall be locked in a manner as to prevent unauthorized physical access.
(b) All ERDS that serve either Type 1 or Type 2 instruments shall be required to meet all of the physical security requirements as follows:
(1) The County Recorder shall ensure precautions are employed to protect the ERDS server, software and data from theft, damage and/or unauthorized access or use. Precautions may be defined in the County Recorder ERDS operating procedures or may be established by mutual agreement between the County Recorder and the entity housing the ERDS server.
(2) During audits, the Computer Security Auditor shall be allowed to inspect all access requests and inventory reports that occurred within the 2-year period prior to the start of an audit.
(3) During local inspections, ERDS Program staff shall be allowed to inspect all access requests and inventory reports that occurred within the 2-year period prior to the start of a local inspection.
(c) ERDS that serve Type 1 or Type 1 and 2 instruments shall be required to meet all of the additional network security requirements for Type 1 instruments as follows:
(1) Persons who are authorized physical access to an ERDS server require fingerprinting.
(2) All requests for physical access to an ERDS server are subject to disapproval by the County Recorder. For an ERDS involving a shared, multi-purpose server, the County Recorder may not have overall authority to approve physical access; however, the County Recorder shall retain disapproval authority in an agreement involving shared multi-purpose servers.
(3) An inventory that accounts for all keys, whether physical or electronic used for locking and unlocking physical access to an ERDS server, software and/or data shall be completed at least every 90 calendar days.
NOTE
Authority cited: Section 27393, Government Code. Reference: Sections 27393(b)(2), 27393(c) and 27397.5, Government Code.
HISTORY
1. New section filed 7-31-2007; operative 8-30-2007 (Register 2007, No. 31).
§999.146. Auditable Events, Incidents and Reporting.
Note • History
(a) Auditable ERDS events shall be logged for purposes of audit, local inspection and review, incident response, and reporting. Auditable events may be logged using automated or manual processes. Logs shall be safely stored and maintained in a manner that ensures their availability for (1) a period of at least 24 months, or (2) at least 1 computer security audit, whichever occurs later.
(b) The County Recorder shall establish ERDS operating procedures for handling and responding to an incident as defined by these regulations.
(c) Incident reporting shall comply with provisions contained within these regulations.
(d) All of the following are auditable ERDS events for both Type 1 or Type 2 instruments, unless otherwise stated, that shall be logged, and, when applicable, processed only as an incident or processed as an incident and reported.
(1) For Type 1 only, login successes and failures.
(2) For Type 1 only, session starts and ends.
(3) For Type 1 only, session timeout.
(4) For Type 1 only, ERDS payload submittals, retrievals and returns, when applicable.
(5) For Type 1 only, ERDS transaction not conducted within a preset timeout limit. Criteria for setting the timeout shall be established by the County Recorder; however, the maximum preset timeout limit is 30 minutes.
(6) For Type 1 only, ERDS session is terminated within a preset timeout limit without receiving a logout command.
(7) For Type 1 only, unauthorized access attempts, including, but not limited to: unauthorized users attempting access, either physical or logical, to ERDS storage areas; or any user attempting to use ERDS software and/or interfaces in a non-ERDS manner. This is an incident and shall be reported if fraud is suspected.
(8) Use of expired or revoked credentials. This is an incident and shall be reported if fraud is suspected.
(9) For Type 1 only, privilege elevation. This is an incident and shall be reported.
(10) For Type I only, unauthorized visitor access to an ERDS server or a logged-in session. This is an incident and shall be reported if fraud is suspected.
(11) For Type 1 only, unauthorized user gaining access to an ERDS server or ERDS payload storage area by using ERDS credentials. This is an incident and shall be reported.
(12) Any user gaining access using expired or revoked credentials. This is an incident and shall be reported.
(13) Authentication failures.
(14) ERDS accounts locked out and/or disabled due to failed consecutive login attempts. This is an incident and shall be reported if intrusion is suspected.
(15) Auditable events overwrite other logged events. This is an incident and shall be reported if intrusion is suspected.
(16) Auditable events cannot be logged. This is an incident.
(17) Logs consume 95% or more of the storage space allocated for logging. This is an incident.
(18) Logs cannot be safely stored. This is an incident
(19) For Type 1 only, ERDS account creation, modification, deletion, suspension, termination or revocation, whether authorized or not. This is an incident only if not authorized and shall be reported if fraud is suspected.
(20) For Type 1 only, hardware or software configuration changes. This is an incident only if not authorized and shall be reported.
(21) Unique name of the ERDS payload. This is an incident only if out of sequence.
(22) Dates and times the ERDS payload was submitted, retrieved or, when applicable, returned. This is an incident only if the dates and times are not current.
(23) Identity of the individual, who submitted, retrieved or, when applicable, returned the ERDS payload. This is an incident only if not authorized,
(24) Name of the organization that the individual represented while submitting, retrieving or, when applicable, returning the ERDS payload. This is an incident only if not authorized.
(25) For Type 1 only, a transmission failure.
(26) For Type 1 only, a storage failure.
(27) A decryption failure. This is an incident and shall be reported if fraud is suspected.
(28) A hash failure. This is an incident and shall be reported if fraud is suspected.
(29) A validity check failure. This is an incident and shall be reported if fraud is suspected.
(30) Type 1 or Type 2 instrument submitted unencrypted. This is an incident and shall be reported.
(31) Type 1 instrument submitted as a Type 2 instrument or vice versa. This is an incident and shall be reported if fraud is suspected.
(32) Type 1 instrument submitted via an Authorized Access ERDS. This is an incident and shall be reported if fraud is suspected.
(33) For Type 1 only, unauthorized digital electronic record in a digitized electronic record, or vice versa. This is an incident and shall be reported if fraud is suspected.
(34) Unauthorized components that draw data or images from sources external to the digital electronic record or digitized electronic record. This is an incident and shall be reported if intrusion is suspected.
(35) Unauthorized transactions submitted via ERDS, including but not limited to, instruments that are neither Type 1 nor Type 2. This is an incident and shall be reported if fraud is suspected.
(36) For Type 1 only, server failures, including, but not limited to, hardware, software, and network component failures, that cause the ERDS to be unavailable or that expose the ERDS server directly to the Internet. This is an incident and shall be reported if intrusion is suspected.
(37) Events for which an ERDS System Administrator is alerted of possible or actual intrusion. This is an incident and shall be reported if intrusion is suspected.
(38) For Type 1 only, unauthorized changes to the ERDS operational configuration. This is an incident and shall be reported if fraud or intrusion is suspected.
(39) For Type 1 only, network failures that cause the ERDS to be unavailable or that expose the ERDS server directly to the Internet. This is an incident and shall be reported if intrusion is suspected.
(40) For Type 1 only, events for which an ERDS System Administrator is alerted of possible or actual intrusion. This is an incident and shall be reported if intrusion is suspected.
(41) For Type 1 only, unauthorized changes to the ERDS operational configuration. This is an incident and shall be reported.
(42) Inability to obtain and employ up-to-date anti-malware software.
(43) Inability to obtain and employ cryptography, including hashing, encryption and decryption. This is an incident and shall be reported.
(44) Use of either compromised or weak encryption algorithms. This is an incident and shall be reported.
(45) For Type 1 only, discovery of newly published vulnerability existing on a certified ERDS. This is an incident and shall be reported if intrusion is suspected.
(46) Discovery of susceptibility to newly published exploit. This is an incident and shall be reported if intrusion is suspected.
(47) Inability to obtain and employ the most up-to-date patches and hot-fixes.
(48) Unauthorized access or changes to storage media, and improper sanitization of storage media. This is an incident and shall be reported if compromise is suspected.
(49) Any other event that compromises the safety or security of an ERDS. This is an incident and shall be reported.
NOTE
Authority cited: Section 27393, Government Code. Reference: Sections 27392(b), 27393(b)(2), 27394 and 27396, Government Code.
HISTORY
1. New section filed 7-31-2007; operative 8-30-2007 (Register 2007, No. 31).
§999.147. Proprietary Software.
Note • History
(a) The Computer Security Auditor may not be required to conduct a source code review on any software identified as proprietary by the Vendor of ERDS Software unless such software affects the safety and security of ERDS.
(b) Prior to conducting a source code review, the County Recorder shall ensure all of the following:
(1) The County Recorder has agreed to allow the Vendor of ERDS Software to include proprietary source code as part of the ERDS.
(2) The Vendor of ERDS Software has identified proprietary source code as part of the ERDS.
(3) The Computer Security Auditor advises the County Recorder that the safety and security of ERDS cannot be verified without a source code review.
(4) The Computer Security Auditor shall agree to abide by confidentiality requirements of the Vendor of ERDS Software.
(5) The Vendor of ERDS Software shall agree that the Computer Security Auditor shall reveal any results of the source code review, conclusions as to the safety and security of ERDS, findings and recommendations in the audit report.
(6) The County Recorder, Computer Security Auditor and Vendor of ERDS Software shall all agree on methods for including the results, conclusions and recommendations about proprietary source code reviews made by the Computer Security Auditor in the audit report.
NOTE
Authority cited: Sections 27393, 27394(e) and 27394(f), Government Code. Reference: Sections 27393(b)(2), 27393(b)(11) and 27394(e), Government Code.
HISTORY
1. New section filed 7-31-2007; operative 8-30-2007 (Register 2007, No. 31).
§999.148. Escrow Requirements.
Note • History
(a) ERDS source code materials shall be placed into an approved escrow facility when an ERDS is developed for a County Recorder. For each submission, the materials placed in escrow shall be sufficient to maintain ERDS of every County Recorder that employs those source code materials. Source code materials include, but are not limited to, all of the following:
(1) A copy of all source code materials that implements ERDS functionality.
(2) A copy of the compiler needed to compile the ERDS source code in escrow.
(3) Instructions for installation and use of the ERDS source code compiler.
(4) Instructions that facilitate source code reviews, modification and/or recompiling the ERDS source code.
(b) A County Recorder shall select an escrow company from the current Secretary of State's list as obtained from the County's Board of Supervisors.
(c) Source code materials shall be submitted to an approved escrow company for placement in the escrow facility. The content of source code materials shall be in a form, and include the tools and documentation, to allow complete and successful restoration of an ERDS in its production/operational environment with confirmation by a verification test by qualified personnel using only this content.
NOTE
Authority cited: Sections 27393 and 27394(e), Government Code. Reference: Sections 27393(b)(5) and 27394(e), Government Code.
HISTORY
1. New section filed 7-31-2007; operative 8-30-2007 (Register 2007, No. 31).
§999.149. Deposit of Software Modification into Escrow.
Note • History
Substantive modifications shall require updates to source code materials in escrow. Prior to being used to deliver Type 1 or Type 2 instruments in an ERDS, all source code changes or modifications shall be submitted into escrow in the same manner and under the same conditions in which the source code materials were originally placed in escrow.
NOTE
Authority cited: Section 27393, Government Code. Reference: Sections 27393(b)(2), 27393(b)(5) and 27393(c), Government Code.
HISTORY
1. New section filed 7-31-2007; operative 8-30-2007 (Register 2007, No. 31).
Note • History
(a) Within a timeframe established by the County Recorder of a submission of original, changed or modified source code to an approved escrow facility, the Vendor of ERDS Software shall notify, in writing, each affected County Recorder that the source code has been placed in escrow. The letter of deposit shall include a description of submitted materials sufficient to distinguish them from all other submissions. The letter of deposit shall state all of the following:
(1) That all source code materials are included in the deposit.
(2) The name of the approved escrow company and the location of the escrow facility where the source code materials have been placed in escrow.
(3) The escrow company, its officers, and directors, may not hold or exercise a direct or indirect financial interest(s) in the Vendor of ERDS Software or the County Recorder.
NOTE
Authority cited: Section 27393, Government Code. Reference: Sections 27393(b)(2), 27393(b)(5) and 27393(c), Government Code.
HISTORY
1. New section filed 7-31-2007; operative 8-30-2007 (Register 2007, No. 31).
§999.151. Integrity of Materials.
Note • History
No person having access to ERDS source code materials shall interfere with or prevent the escrow representative from monitoring the security and integrity of the ERDS source code materials.
NOTE
Authority cited: Section 27393, Government Code. Reference: Sections 27393(b)(2), 27393(b)(5) and 27393(c), Government Code.
HISTORY
1. New section filed 7-31-2007; operative 8-30-2007 (Register 2007, No. 31).
§999.152. Retention and. Disposition of Materials.
Note • History
Records maintained by the escrow company pursuant to these regulations and other applicable law shall be retained for the term of the escrow agreement. The escrow agreement shall provide for the disposition of source code materials in the event the escrow agreement terminates.
NOTE
Authority cited: Section 27393, Government Code. Reference: Sections 27393(b)(5) and 27393(c), Government Code.
HISTORY
1. New section filed 7-31-2007; operative 8-30-2007 (Register 2007, No. 31).
§999.153. Access to Materials.
Note • History
Escrow agreements shall allow for access to ERDS source code materials by a Computer Security Auditor hired for the purpose of conducting computer security audits.
NOTE
Authority cited: Sections 27393 and 27394(e), Government Code. Reference: Sections 27393(b)(5), 27393(c) and 27394(e), Government Code.
HISTORY
1. New section filed 7-31-2007; operative 8-30-2007 (Register 2007, No. 31).
§999.154. Escrow Agreement State Non-Responsibility.
Note • History
(a) Neither the Attorney General nor the State of California shall be responsible for the fees claimed by the Vendor of ERDS Software, the County Recorder, or the escrow company to establish the escrow contract.
(b) Neither the Attorney General nor the State of California is a party to the agreement and may not incur a liability for the actions of the parties involved in the escrow agreement.
NOTE
Authority cited: Section 27393, Government Code. Reference: Sections 27393(a), 27393(b), 27393(b)(5), 27393(c), 27394(a) and 27397, Government Code.
HISTORY
1. New section filed 7-31-2007; operative 8-30-2007 (Register 2007, No. 31).
Article 6. Electronic Recording Delivery System Certification
§999.165. Establishing an ERDS.
Note • History
(a) A County Recorder may establish an ERDS upon approval by the Board of Supervisors and system certification by the ERDS Program.
(b) A County Recorder establishing an ERDS shall include in the County's ERDS a secure method for accepting for delivery, and, when applicable, return of a digital electronic record or digitized electronic record that has been defined as an instrument within these regulations.
(c) A County Recorder establishing an ERDS shall be responsible for overall safety and security of an ERDS.
(d) A County Recorder establishing an ERDS shall assign responsibility by contract or agreement to all Authorized Submitters whom shall ensure that an Agent, if any, complies with these regulations.
(e) A County Recorder shall be responsible for ensuring an ERDS meets the requirements of these regulations.
(f) A County Recorder shall enter into a contract with a Computer Security Auditor, who has a valid Computer Security Auditor Certificate issued by the ERDS Program, for the purpose of meeting the audit and oversight requirements as contained within these regulations.
(g) A County Recorder shall be required to verify, prior to entering into a contract with a Vendor of ERDS Software, if any, that the Vendor has a valid Vendor of ERDS Software Certificate issued by the ERDS Program.
(h) The County Recorder shall be responsible for administering an ERDS, and establishing and following ERDS policies and procedures that include all of the following:
(1) Define roles and responsibilities to ensure digital electronic records and digitized electronic records are correctly and securely submitted, delivered, and, when applicable, returned to the intended recipients. Textual disclaimers or verbal disclaimers alone shall not be sufficient to control access to digital electronic records and digitized electronic records under the control of an ERDS.
(2) Maintain a list of all individuals designated as having secure access and/or authorized access to operate the ERDS and informing the ERDS Program of role changes for those individuals requiring fingerprinting by submitting the Change of ERDS Role form # ERDS 0008 (February 2007) to the ERDS Program. A copy of the list of all users with secure access and/or authorized access is to be maintained for review during audits and local inspections.
(3) Ensure users with roles authorized to access and operate the ERDS understand and sign the Acknowledgement of Responsibilities form # ERDS 0012 (February 2007) and that a copy is maintained for review during audits and local inspections.
(4) The County Recorder shall establish ERDS operating procedures and/or incorporate features within the ERDS design in order to restrict the instrument type and content to meet the requirements of these regulations.
NOTE
Authority cited: Sections 27393, 27394(a) and 27394(c), Government Code. Reference: Sections 27391(a), 27391(b), 27392(a), 27394(a), 27394(c), 27394(f) and 27397.5, Government Code
HISTORY
1. New article 6 (sections 999.165-999.179) and section filed 7-31-2007; operative 8-30-2007 (Register 2007, No. 31).
§999.166. Certification Application Procedure.
Note • History
(a) A County Recorder wanting, either in his or her official capacity or by delegation of responsibility, to establish an ERDS for the delivery, and, when applicable, return of a digital electronic record or digitized electronic record shall contact the ERDS Program and request an ERDS Certification application.
(b) A County Recorder may apply for the initial certification of an ERDS as either a Single-County or Multi-County operation and shall designate as either a Type 1 or Type 2 or a Type 1 and 2 operation, and, when applicable, return function via an ERDS. An ERDS may not be implemented prior to receipt of ERDS Program's approval of the application.
(c) An ERDS may not be implemented prior to the approval of the ERDS Program and receipt of a System Certificate of Operation.
(1) A County Recorder applying for the initial certification of an ERDS operating as a Single-County ERDS shall comply with all of the following:
(A) Submit an Application for System Certification form # ERDS 0001A (February 2007) to the ERDS Program, which shall be dated and signed declaring under penalty of perjury under the laws of the State of California that all information is true and correct.
(B) Submit a copy of the County Resolution to establish an ERDS as approved by the Board of Supervisors. The resolution shall include, but not be limited to, instrument type, Single-County, Multi-County, and, when applicable, the return function via an ERDS.
(C) Submit a copy of the proof of escrow letter of deposit.
(D) Submit a copy of the Vendor of ERDS Software contract, if any. If internal county resources and/or another public entity are being used to develop an ERDS in lieu of a Vendor, it shall be stated in the County Resolution granting establishment of an ERDS.
(E) Submit a copy of the County's contract with a Computer Security Auditor.
(F) Submit a copy of the successful initial system audit report conducted by a Computer Security Auditor.
(G) Submit proof of fingerprint submission for individuals designated as having a role that requires fingerprinting and a copy of the list of all users with secure and/or authorized access.
(H) Submit a signed and dated Statement of Understanding form # ERDS 0011 (February 2007) declaring under penalty of perjury under the laws of the State of California that all information is true and correct.
(2) A County Recorder designated as the Lead County applying for the initial certification of an ERDS operating as a Multi-County ERDS shall comply with the following:
(A) Submit an Application for System Certification form # ERDS 0001A (February 2007) to the ERDS Program, which shall be dated and signed declaring under penalty of perjury under the laws of the State of California that all information is true and correct.
(B) Submit the Lead County's Resolution to establish a Multi-County ERDS as approved by the Board of Supervisors.
(C) Submit a copy of the proof of escrow letter of deposit.
(D) Submit a copy of the Vendor of ERDS Software contract, if any. If internal county resources and/or another public entity are being used to develop an ERDS in lieu of a Vendor, it shall be stated in the County Resolution granting the establishment of an ERDS.
(E) Submit a copy of the Lead County's contract with a Computer Security Auditor.
(F) Submit a copy of the successful initial system audit report conducted by a Computer Security Auditor.
(G) Submit proof of fingerprint submission for individuals designated as having a role that requires fingerprinting and a copy of the list of all users with secure and/or authorized access.
(H) Submit all Sub-County(ies) documentation as an attachment to the application.
(I) Submit a signed and dated Statement of Understanding form # ERDS 0011 (February 2007) declaring under penalty of perjury under the laws of the State of California that all information is true and correct.
(3) A County Recorder applying as a Sub-County during the initial certification of a Multi-County ERDS shall comply with all of the following:
(A) Submit an Application for Sub-County System Certification form # ERDS 0001B (February 2007) to the Lead County, which shall be dated and signed declaring under penalty of perjury under the laws of the State of California that all information is true and correct.
(B) Submit a copy of the Sub-County's Resolution to participate in a Multi-County ERDS as approved by the Board of Supervisors.
(C) Submit proof of fingerprint submission for individuals designated as having a role that requires fingerprinting and a copy of the list of all users with secure and/or authorized access.
(D) Submit a signed and dated Statement of Understanding form # ERDS 0011 (February 2007) declaring under penalty of perjury under the laws of the State of California that all information is true and correct.
NOTE
Authority cited: Sections 27393, 27394(a) and 27395(b), Government Code. Reference: Sections 27390(b)(8), 27391(a), 27392, 27393(b)(2), 27394(a) and 27395(b), Government Code.
HISTORY
1. New section filed 7-31-2007; operative 8-30-2007 (Register 2007, No. 31).
§999.167. Substantive Modification(s).
Note • History
A substantive modification occurs when a change affects the functionality of an ERDS. Substantive modifications include, but are not limited to, the following:
(1) Changes to source code that lead to new or different functional behaviors; or
(2) Changes to call signatures in source code interfaces to purchased components; or
(3) Changes of data structures or structural database objects; or
(4) Changes that require modification of deployment procedures; or
(5) A new version of a compiler that requires source code changes in order to compile existing source code error and warning free; or
(6) Changes to purchased components or components that are part of software libraries; or
(7) Relocation of an ERDS server to a different network segment; or
(8) Changing an ERDS server from a single-purpose to multi-purpose; or
(9) Changing an ERDS server from a Single-County to a Multi-County; or
(10) Hardware maintenance involving the complete replacement of an ERDS; or
(11) Software maintenance releases that correct, perfect, enhance or otherwise affect the functionality of ERDS; or
(12) When changing an instrument Type; or
(13) Changing to a return capability.
NOTE
Authority cited: Sections 27393, 27394(a) and 27395(b), Government Code. Reference: Sections 27393(b)(2) and 27393(b)(6), Government Code.
HISTORY
1. New section filed 7-31-2007; operative 8-30-2007 (Register 2007, No. 31).
§999.168. Substantive Modification(s) Application Procedure.
Note • History
(a) Following initial system certification, a Request for Approval of Substantive Modification(s) form # ERDS 0013 (February 2007), as defined within these regulations, shall require completion of a modified system audit pertaining to only the components that are proposed to be modified and/or changed in the production environment and shall be performed prior to the provisional activation of the modification and/or change in the ERDS operational environment. A brief description of the change of the functionality shall be included on the Request for Approval of Substantive Modification(s) form # ERDS 0013 (February 2007). This modified system audit shall be completed by a Computer Security Auditor and submitted to the County Recorder. Upon receipt of the successful modified system audit by the County Recorder, the County Recorder may place the substantive modification(s) in the production environment on a provisional basis. Within 15 business days of the provisional implementation, the County Recorder shall apply for approval of the substantive modification(s) in order for the ERDS Program to make a final approval determination status.
(b) Requests for approval of substantive modification(s) shall be submitted to the ERDS Program as follows:
(1) Submit a Request for Approval of Substantive Modification(s) form # ERDS 0013 (February 2007), which shall be dated and signed declaring under penalty of perjury under the laws of California that all information is true and correct.
(2) Submit a copy of the proof of escrow letter of deposit.
(3) Submit a copy of the Vendor of ERDS Software contract, if any. If internal county resources and/or another public entity are being used to develop an ERDS in lieu of a Vendor, it shall be stated in the County Resolution granting the establishment of an ERDS.
(4) Submit a copy of the County's contract with a Computer Security Auditor.
(5) Submit a copy of the successful Modified System Audit Report conducted by a Computer Security Auditor.
(c) Requests for approval of substantive modification(s) for adding a Sub-County, the Lead County shall submit to the ERDS Program as follows:
(1) Submit a Request for Approval of Substantive Modification(s) form # ERDS 0013 (February 2007), which shall be dated and signed declaring under penalty of perjury under the laws of California that all information is true and correct.
(2) A copy of the resolution to participate in the Multi-County ERDS as approved by the Board of Supervisors.
(3) Submit a copy of the proof of escrow letter of deposit.
(4) Submit a copy of the Vendor of ERDS Software contract, if any. If internal county resources and/or another public entity are being used to develop an ERDS in lieu of a Vendor, it shall be stated in the County Resolution granting the establishment of an ERDS.
(5) Submit a copy of the County's contract with a Computer Security Auditor.
(6) Submit a copy of the successful Modified System Audit Report conducted by a Computer Security Auditor.
(7) Submit the Sub-County's Application for Sub-County System Certification form # ERDS 0001B (February 2007) and required documentation as follows:
(A) Submit a copy of the Sub-County's Resolution to participate in a Multi-County ERDS as approved by the Board of Supervisors.
(B) Submit proof of fingerprint submission for individuals designated as having a role that requires fingerprinting and a copy of the list of all users with secure and/or authorized access.
(C) Submit a signed and dated Statement of Understanding form # ERDS 0011 (February 2007) declaring under penalty of perjury under the laws of California that all information is true and correct.
NOTE
Authority cited: Sections 27393, 27393(b)(6), 27394(a) and 27395(b), Government Code. Reference: Sections 27392(a), 27392(b), 27393(b)(2), 27393(b)(6), 27393(b)(10), 27394(a) and 27395(b), Government Code.
HISTORY
1. New section filed 7-31-2007; operative 8-30-2007 (Register 2007, No. 31).
§999.169. Non-Substantive Modification(s).
Note • History
Non-Substantive modifications include, but are not limited to, the following:
(1) Day-to-day administration of ERDS accounts, roles or cryptographic keys;
(2) Hardware maintenance that does not affect the functionality of an ERDS and does not involve the complete replacement of an ERDS server;
(3) The off-loading of ERDS server logs to long-term storage;
(4) Updating anti-malware software with the most up-to-date releases;
(5) Updating operating system software with the most up-to-date patches and hot-fixes;
(6) Maintaining backups for software and data; and
(7) The addition and/or deletion of roles, whether or not fingerprinting or notification to the ERDS Program is required.
NOTE
Authority cited: Section 27393, Government Code. Reference: Sections 27393(a), 27393(b), 27393(b)(6), 27393(c) and 27394(c), Government Code.
HISTORY
1. New section filed 7-31-2007; operative 8-30-2007 (Register 2007, No. 31).
§999.170. Non-Substantive Modification(s) Procedure.
Note • History
A non-substantive modification, as defined within these regulations, does not require a modified system audit; however, it shall be subject to review during audits and local inspections.
NOTE
Authority cited: Section 27393, Government Code. Reference: Sections 27393(b)(6) and 27394(c), Government Code.
HISTORY
1. New section filed 7-31-2007; operative 8-30-2007 (Register 2007, No. 31).
§999.171. Approval of Application.
Note • History
(a) If the Application for System Certification form # ERDS 0001A (February 2007) is approved, the ERDS Program shall deliver the following to the County Recorder.
(1) An Approval Letter.
(2) A System Certificate of Operation, which authorizes the County Recorder to operate the ERDS.
(b) If the Request for Approval of Substantive Modification(s) form # ERDS 0013 (February 2007) is approved, the ERDS Program shall deliver an approval letter to the County Recorder to implement the substantive modification and to remove the provisional status.
NOTE
Authority cited: Section 27393, Government Code. Reference: Sections 27392 and 27393(b)(6), Government Code.
HISTORY
1. New section filed 7-31-2007; operative 8-30-2007 (Register 2007, No. 31).
§999.172. Incomplete Application.
Note • History
(a) An incomplete Application for System Certification form # ERDS 0001A (February 2007) or Request for Approval of Substantive Modification(s) form # ERDS 0013 (February 2007) shall be returned to the County Recorder with a written explanation for the return and instruction on resubmission. Applications shall be deemed incomplete when:
(1) The application has missing or illegible data.
(2) Supporting documentation, forms, or applicable fees are not included with the application.
(3) Proof of fingerprint submission for individuals designated as having a role that requires fingerprinting is not submitted.
(b) The applicant shall have 90 days to respond, after which the application shall be considered denied. The denial may not prohibit the resubmission of an Application for System Certification form # ERDS 0001A (February 2007) or Request for Approval of Substantive Modification(s) form # ERDS 0013 (February 2007) at a later date.
NOTE
Authority cited: Section 27393, Government Code. Reference: Sections 27392, 27393(b)(6), 27394(a), 27395(b) and 27397(a), Government Code.
HISTORY
1. New section filed 7-31-2007; operative 8-30-2007 (Register 2007, No. 31).
§999.173. Denial of Application.
Note • History
(a) The Application for System Certification form # ERDS 0001A (February 2007) or Request for Approval of Substantive Modification(s) form ERDS # 0013 (February 2007) may be denied for good cause. Good cause shall be deemed to exist when the applicant does not satisfy the qualifications or system requirements of these regulations, when it is necessary to protect the public interest, protect the integrity of public records, or to protect homeowners from financial harm,
(b) Denied applications shall be returned to the County Recorder with a written explanation for the reason for denial. The denial may not prohibit the submission of an Application for System Certification form # ERDS 0001A (February 2007) or Request for Approval of Substantive Modification(s) form # ERDS 0013 (February 2007) at a later date.
NOTE
Authority cited: Section 27393, Government Code. Reference: Sections 27392, 27393(b)(6), 27393(b)(12), 27395(b) and 27397(a), Government Code.
HISTORY
1. New section filed 7-31-2007; operative 8-30-2007 (Register 2007, No. 31).
§999.174. Change of County Recorder.
Note • History
(a) The new County Recorder, either in his or her official capacity or by delegation of responsibility, shall notify the ERDS Program within 30 days of the change of a County Recorder by submitting a Statement of Understanding form # ERDS 0011 (February 2007) signed and dated declaring under penalty of perjury under the laws of the State of California that all information is true and correct.
NOTE
Authority cited: Section 27393, Government Code. Reference: Sections 27391, 27392(b) and 27393(c), Government Code.
HISTORY
1. New section filed 7-31-2007; operative 8-30-2007 (Register 2007, No. 31).
§999.175. Change of Physical and/or Mailing Address and/or Contact Information for a County Recorder.
Note • History
(a) The County Recorder, either in his or her official capacity or by delegation of responsibility, shall notify the ERDS Program within 30 days by submitting a written notification of the change of physical and/or mailing address and/or contact information.
NOTE
Authority cited: Section 27393, Government Code. Reference: Sections 27391, 27392, 27393(b)(2) and 27393(c), Government Code.
HISTORY
1. New section filed 7-31-2007; operative 8-30-2007 (Register 2007, No. 31).
§999.176. Addition or Deletion of Individuals Assigned an ERDS Role that Requires Fingerprinting.
Note • History
(a) The County Recorder shall submit to the ERDS Program a completed Change of ERDS Role form # ERDS 0008 (February 2007) indicating addition or deletion of County Recorder employees and/or contract employees, Authorized Submitter employees or Agents, and Vendor of ERDS Software employees and/or contract employees. The County Recorder shall maintain a list of those individuals and their roles which shall be subject to audit and local inspection.
NOTE
Authority cited: Section 27393, Government Code. Reference: Sections 27391, 27392, 27393(b)(9), 27394 and 27395(b), Government Code.
HISTORY
1. New section filed 7-31-2007; operative 8-30-2007 (Register 2007, No. 31).
§999.177. Expiration of Certification.
Note • History
(a) Once issued by the ERDS Program, the certification of the ERDS shall remain in effect within the County Recorder's office for which it is approved without the need for renewal for the life of the ERDS operation in the County unless one of the following occurs:
(1) A letter of suspension is issued to the County Recorder.
(2) The County Recorder withdraws from ERDS Certification.
NOTE
Authority cited: Sections 27393 and 27393(c), Government Code. Reference: Sections 27391, 27392 and 27393(c), Government Code.
HISTORY
1. New section filed 7-31-2007; operative 8-30-2007 (Register 2007, No. 31).
§999.178. Withdrawal of Certification.
Note • History
(a) A County Recorder choosing to withdraw from ERDS Certification shall submit the following:
(1) An Application for Withdrawal form # ERDS 0010 (February 2007) with a date for cease of operation/service, signed and dated declaring under penalty of perjury under the laws of the State of California that all information is true and correct.
(2) Listing of all individuals designated as having secure access and/or authorized access.
(3) Listing of all associated agencies and/or business entities designated as having secure access and/or authorized access.
(4) The withdrawal request shall render the certificate invalid. The withdrawing County Recorder shall cease all ERDS operations as of the cease of operation date noted on the withdrawal application.
(b) In the case of county(ies) withdrawing from a Multi-County ERDS, the Sub-County(ies) shall submit the Application for Withdrawal form # 0010 (February 2007) to the Lead County for submission to the ERDS Program.
(c) If, at a later date, the County Recorder wishes to participate in an ERDS, all initial steps for System Certification shall be required.
NOTE
Authority cited: Section 27393, Government Code. Reference: Sections 27392(b), 27393(b)(2) and 27397.5(d)(2), Government Code.
HISTORY
1. New section filed 7-31-2007; operative 8-30-2007 (Register 2007, No. 31).
§999.179. Request for Replacement of Certificate and/or Documents.
Note • History
(a) To request a replacement certificate or copies of a document pertaining to an application submission, a County Recorder or his or her designee may submit a Request for Replacement of Certificate and/or Documents form # ERDS 0006 (February 2007), signed and dated declaring under penalty of perjury under the laws of the State of California that the requested certificate and/or documents pertain to his or her application submission.
NOTE
Authority cited: Section 27393, Government Code. Reference: Sections 27391(a), 27392 and 27393(b)(2), Government Code.
HISTORY
1. New section filed 7-31-2007; operative 8-30-2007 (Register 2007, No. 31).
Article 7. Computer Security Auditor
§999.190. Computer Security Auditor Application Procedure.
Note • History
(a) All individuals shall be approved by the ERDS Program prior to entering into contracts with County Recorders to provide auditing services of an ERDS.
(b) An individual requesting approval as a DOJ Computer Security Auditor shall contact the ERDS Program and request the DOJ Computer Security Auditor Approval application.
(c) An individual applying for approval as a Computer Security Auditor shall comply with all of the following:
(1) Submit an Application for DOJ Computer Security Auditor Approval form # ERDS 0002 (February 2007), which shall be dated and signed declaring under penalty of perjury that under the laws of the State of California all the foregoing information, and all information submitted with the application is true, correct, and complete, and that a false or dishonest answer to any question may be grounds for denial or subsequent termination or suspension of approval. In addition, the individual shall attest to the fact that he or she is not an Authorized Submitter, Agent of an Authorized Submitter, or Vendor of ERDS Software as defined in these regulations.
(A) Check the geographical locations on the Application for DOJ Computer Security Auditor Approval form # ERDS 0002 (February 2007) that they are interested in auditing. The locations are:
(1) Northern California: Amador, Alpine, Butte, Colusa, Del Norte, El Dorado, Glenn, Humboldt, Lake, Lassen, Marhi, Mendocino, Modoc, Napa, Nevada, Placer, Plumas, Sacramento, Shasta, Sierra, Siskiyou, Solano, Sonoma, Sutter, Tehama, Trinity, Yolo, Yuba.
(2) Central California: Alameda, Calaveras, Contra Costa, Fresno, Inyo, Kern, Kings, Madera, Mariposa, Merced, Mono, Monterey, San Benito, San Francisco, San Joaquin, San Luis Obispo, San Mateo, Santa Clara, Santa Cruz, Stanislaus, Tulare, Tuolumne.
(3) Southern California: Imperial, Los Angeles, Orange, Riverside, San Bernardino, Santa Barbara, San Diego, Ventura.
(4) All.
(2) Submit documentation with the Application for DOJ Computer Security Auditor Approval form # ERDS 0002 (February 2007) as follows to demonstrate that the individual has met the significant experience criteria required for approval as a Computer Security Auditor:
(A) A copy of their Certified Internal Auditor certification from the Institute of Internal Auditors for which they are in good standing attached to the Application for DOJ Computer Security Auditor Approval form # ERDS 0002 (February 2007), or
(B) A copy of their Certified Information Systems Auditor certification from the Information Systems Audit and Control Association for which they are in good standing attached to the Application for DOJ Computer Security Auditor Approval form # ERDS 0002 (February 2007), or
(C) A copy of their Certified Fraud Examiner certification from the Association of Certified Fraud Examiners for which they are in good standing attached to the Application for DOJ Computer Security Auditor Approval form # ERDS 0002 (February 2007) and a completed Attachment to ERDS 0002 Computer Security Auditor Significant Experience Reference(s) form # ERDS 0004 (February 2007) listing reference contacts within the last 5-year period that can verify that the individual has had at least 2 years of experience in the evaluation and analysis of Internet security design, in conducting security testing procedures, and specific experience performing Internet penetration studies, or
(D) A copy of their Certified Information Systems Security Professional certification from the International Information Systems Security Certification Consortium for which they are in good standing attached to the Application for DOJ Computer Security Auditor Approval form # ERDS 0002 (February 2007) and a completed Attachment to ERDS 0002 Computer Security Auditor Significant Experience Reference(s) form # ERDS 0004 (February 2007) listing reference contacts within the last 5-year period that can verify that the individual has had at least 2 years of experience in the evaluation and analysis of Internet security design, in conducting security testing procedures, and specific experience performing Internet penetration studies, or
(E) A copy of their Global Information Assurance Certification from the SysAdmin, Audit, Networks Security Institute for which they are in good standing attached to the Application for DOJ Computer Security Auditor Approval form # ERDS 0002 (February 2007) and a completed Attachment to ERDS 0002 Computer Security Auditor Significant Experience Reference(s) form # ERDS 0004 (February 2007) listing reference contacts within the last 5-year period that can verify that the individual has had at least 2 years of experience in the evaluation and analysis of Internet security design, in conducting security testing procedures, and specific experience performing Internet penetration studies.
(3) Submit proof of fingerprint submission.
NOTE
Authority Cited: Section 27393, Government Code. Reference: Sections 27393(b)(2), 27393(b)(3), 27393(b)(9), 27394, 27395(a) and 27395(b), Government Code.
HISTORY
1. New article 7 (sections 999.190-999.197) and section filed 7-31-2007; operative 8-30-2007 (Register 2007, No. 31).
§999.191. Approval of Application.
Note • History
(a) If the application is approved, the ERDS Program shall deliver, to the individual, all of the following documentation:
(1) An Approval Letter, and
(2) An ERDS Certificate of Approval which authorizes the individual to contract with a County Recorder to perform the duties of a Computer Security Auditor. The certificate shall remain in effect for three years unless terminated based on a subsequent arrest.
(b) The Computer Security Auditor's contact information and geographical interest shall be posted on the ERDS web page.
NOTE
Authority cited: Section 27393, Government Code. Reference: Sections 27392(a) and 27394, Government Code.
HISTORY
1. New section filed 7-31-2007; operative 8-30-2007 (Register 2007, No. 31).
§999.192. Incomplete Application.
Note • History
(a) An incomplete application shall be returned to the applicant with a written explanation for the return and further instructions on resubmission. An application shall be deemed incomplete when:
(1) The application has missing or illegible data.
(2) Supporting documentation, forms, or applicable fingerprint submission fees are not included with the application.
(3) Proof of fingerprinting is not submitted.
(b) The applicant shall have 90 days to respond, after which the application shall be considered denied. The denial may not prohibit the submission of an Application for DOJ Computer Security Auditor Approval form # ERDS 0002 (February 2007) at a later date.
NOTE
Authority cited: Sections 27392(a), 27393 and 27394(b), Government Code. Reference: Sections 27393(c) and 27394, Government Code.
HISTORY
1. New section filed 7-31-2007; operative 8-30-2007 (Register 2007, No. 31).
§999.193. Denial of Application.
Note • History
(a) The Application for DOJ Computer Security Auditor Approval form # ERDS 0002 (February 2007) may be denied for good cause. Good cause shall be deemed to exist when the applicant does not satisfy the qualifications or system requirements of these regulations, it is necessary to protect the public interest, protect the integrity of records, or to protect homeowners from financial harm.
(b) Denied applications shall be returned to the individual with a written explanation for the denial. The denial may not prohibit the resubmission of an Application for DOJ Computer Security Auditor Approval form # ERDS 0002 (February 2007) at a later date.
NOTE
Authority cited: Section 27393, Government Code. Reference: Sections 27393(c), 27394 and 27395(a), Government Code.
HISTORY
1. New section filed 7-31-2007; operative 8-30-2007 (Register 2007, No. 31).
§999.194. Expiration of Approval.
Note • History
(a) Once issued by the ERDS Program, the ERDS Certificate of Approval shall remain in effect for a period of 3 years from the date of issuance unless one of the following occurs:
(1) A letter of suspension is issued to the individual.
(2) The individual withdraws their approval status as a Computer Security Auditor,
NOTE
Authority cited: Section 27393, Government Code. Reference: Sections 27393(c), 27394 and 27395, Government Code.
HISTORY
1. New section filed 7-31-2007; operative 8-30-2007 (Register 2007, No. 31).
§999.195. Renewal of Approval.
Note • History
(a) The ERDS Certificate of Approval shall be renewed prior to expiration in order to remain valid. The certificate holder shall submit an Application for DOJ Computer Security Auditor Approval form # ERDS 0002 (February 2007) indicating renewal, which shall be dated and signed declaring under penalty of perjury that under the laws of the State of California all the foregoing information, and all information submitted with the application is true, correct, and complete, and that a false or dishonest answer to any question may be grounds for denial or subsequent termination or suspension of approval. In addition, the individual shall attest to the fact that he or she is not an Authorized Submitter, Agent of an Authorized Submitter, or Vendor of ERDS Software as defined in these regulations.
(b) A copy of their Certified Internal Auditor certification from the Institute of Internal Auditors for which they are in good standing attached to the Application for DOJ Computer Security Auditor Approval form # ERDS 0002 (February 2007), or
(c) A copy of their Certified Information Systems Auditor certification from the Information Systems Audit and Control Association for which they are in good standing attached to the Application for DOJ Computer Security Auditor Approval form # ERDS 0002 (February 2007), or
(d) A copy of their Certified Fraud Examiner certification from the Association of Certified Fraud Examiners for which they are in good standing attached to the Application for DOJ Computer Security Auditor Approval form # ERDS 0002 (February 2007) and a completed Attachment to ERDS 0002 Computer Security Auditor Significant Experience Reference(s) form # ERDS 0004 (February 2007) listing reference contacts within the last 5-year period that can verify that the individual has had at least 2 years of experience in the evaluation and analysis of Internet security design, in conducting security testing procedures, and specific experience performing Internet penetration studies, or
(e) A copy of their Certified Information Systems Security Professional certification from the International Information Systems Security Certification Consortium for which they are in good standing attached to the Application for DOJ Computer Security Auditor Approval form # ERDS 0002 (February 2007) and a completed Attachment to ERDS 0002 Computer Security Auditor Significant Experience Reference(s) form # ERDS 0004 (February 2007) listing reference contacts within the last 5-year period that can verify that the individual has had at least 2 years of experience in the evaluation and analysis of Internet security design, in conducting security testing procedures, and specific experience performing Internet penetration studies, or
(f) A copy of their Global Information Assurance Certification from the SysAdmin, Audit, Networks Security Institute for which they are in good standing attached to the Application for DOJ Computer Security Auditor Approval form # ERDS 0002 (February 2007) and a completed Attachment to ERDS 0002 Computer Security Auditor Significant Experience Reference(s) form # ERDS 0004 (February 2007) listing reference contacts within the last 5-year period that can verify that the individual has had at least 2 years of experience in the evaluation and analysis of Internet security design, in conducting security testing procedures, and specific experience performing Internet penetration studies.
(g) If the certificate holder fails to comply with the renewal requirements, the certification shall expire by operation of the law at midnight on the expiration date stated on the certificate, and, render the certificate invalid and all Computer Security Auditor services shall cease. If an application for renewal is received after the expiration date, the application may not be considered a renewal and shall be returned to the individual with a cover letter outlining the process for initial approval.
(h) If approved, the ERDS Program shall issue a new ERDS Certificate of Approval.
NOTE
Authority Cited: Sections 27393 and 27394(b), Government Code. Reference: Sections 27392(a), 27393(b)(2), 27393(c) and 27394(b), Government Code.
HISTORY
1. New section filed 7-31-2007; operative 8-30-2007 (Register 2007, No. 31).
§999.196. Withdrawal of Approval.
Note • History
(a) A Computer Security Auditor choosing to withdraw their approval status shall submit an Application for Withdrawal form # ERDS 0010 (February 2007) with a date for cease of operation/service, signed and dated declaring under penalty of perjury under the laws of the State of California that all information is true and correct.
(b) Upon receipt of the Application for Withdrawal form # ERDS 0010 (February 2007), the ERDS Program shall send a written acknowledgement of the request for withdrawal and notification that the auditor's information has been removed from the listing of Computer Security Auditors posted on the ERDS web page.
(c) The withdrawal request shall render the certificate invalid. The withdrawing Computer Security Auditor shall cease all ERDS services as of the cease of operation or service date noted on the withdrawal application.
(d) If at a later date, a Computer Security Auditor wishes to have his or her approval re-instated, the individual shall complete the application process.
NOTE
Authority cited: Section 27393, Government Code. Reference: Sections 27393(b)(2), 27393(c), 27394(a) and 27394(b), Government Code.
HISTORY
1. New section filed 7-31-2007; operative 8-30-2007 (Register 2007, No. 31).
§999.197. Request for Replacement of Certificate and/or Documents.
Note • History
(a) To request a replacement certificate or copies of a document pertaining to their application submission, a Computer Security Auditor may submit a Request for Replacement of Certificate and/or Documents form # ERDS 0006 (February 2007), signed and dated declaring under penalty of perjury under the laws of the State of California that the requested certificate and/or documents pertain to his or her application submission.
NOTE
Authority cited: Section 27393, Government Code. Reference: Sections 27393(b)(2), 27393(c) and 27394(a), Government Code.
HISTORY
1. New section filed 7-31-2007; operative 8-30-2007 (Register 2007, No. 31).
Article 8. Vendor of Electronic Recording Delivery System Software
§999.203. Certification Application Procedure.
Note • History
(a) All individuals serving as Vendors of Software shall be certified by the ERDS Program prior to entering into contracts with County Recorders for the development of an ERDS.
(b) An individual requesting certification as a Vendor of ERDS Software shall contact the ERDS Program and request the Vendor of ERDS Software Certification application.
(c) An individual applying for certification as a Vendor of ERDS Software shall comply with all of the following:
(1) Submit an Application for Vendor of ERDS Software Certification form # ERDS 0003 (February 2007), which shall be dated and signed declaring under penalty of perjury that under the laws of the State of California all the foregoing information, and all information submitted with this application is true, correct, and complete, and that a false or dishonest answer to a question may be grounds for denial or subsequent termination or suspension of certification. In addition, the individual shall attest to the fact that the ERDS software, at the time of development, will meet all of the audit and testing requirements as contained within these regulations, and acknowledges that ERDS Program's issuance of the Vendor of ERDS Software Certificate shall include a “disclaimer” stating that the software is not being approved as to its ability to serve/function in an ERDS operational environment nor that it will meet all County Recorder's requirements, only that the Vendor has stated that it will meet all of the audit and testing requirements as contained within these regulations as of the date of the issued certificate.
(2) Submit documentation with the Application for Vendor of ERDS Software Certification form # ERDS 0003 (February 2007) as follows, to demonstrate that they have met the reference or service agreement required to be certified as a Vendor of ERDS Software:
(A) Provide 3 best references within the last 5 years for software products or development of equivalent technology, complexity and size of an ERDS. At least 1 reference shall be for a project using document-imaging technology. Provide this information on the Attachment to ERDS 0003 Vendor Application Form for Reference(s) form # ERDS 0009 (February 2007), or
(B) Operate as a Vendor with a valid California Multiple Award Schedule, General Services Agreement, or Master Services Agreement. A copy of the agreement(s) shall include 1 or more of the following Consulting Service categories: Application Development; Information Technology (IT) Acquisition Support; IT Project Management; IT Project Planning; IT Strategic Planning; IT System Implementation; Migration Planning; Software Development; System Analysis; System Design; System Development; and/or System Integration.
(3) Submit proof of fingerprint submission.
(4) Submit a check or money order for all fees; payable to “Department of Justice -- ERDS Program”.
(5) Certification will not be granted until fees are processed.
NOTE
Authority cited: Section 27393, Government Code. Reference: Sections 27392(b), 27393(b)(2), 27393(b)(7), 27393(c) and 27397(b), Government Code.
HISTORY
1. New article 8 (sections 999.203-999.211) and section filed 7-31-2007; operative 8-30-2007 (Register 2007, No. 31).
§999.204. Fingerprinting of Vendor Employees and/or Vendor Contract Employees.
Note • History
(a) At the time that a certified Vendor of ERDS Software enters into a contract with a County Recorder, the Vendor shall provide to the County Recorder proof of fingerprint submission of all vendor employees and/or vendor contract employees to be used in an ERDS development and/or implementation.
(1) An ERDS Acknowledgment of Responsibilities form # ERDS 0012 (February 2007) shall be signed and kept on file by the County Recorder for all vendor employees and/or vendor contract employees for review during audits and local inspections.
(2) The Vendor of ERDS Software shall notify the County Recorder of any addition or deletion of vendor employees and/or vendor contract employees. The County Recorder shall maintain a list of those individuals and their roles which shall be subject to audit and local inspection. The County Recorder shall submit to the ERDS Program a completed Change of ERDS Role form # ERDS 0008 (February 2007) indicating addition or deletion of vendor employees and/or vendor contract employees.
NOTE
Authority cited: Section 27393, Government Code. Reference: Sections 27393(b)(7), 27393(c) and 27395(b), Government Code.
HISTORY
1. New section filed 7-31-2007; operative 8-30-2007 (Register 2007, No. 31).
§999.205. Approval of Application.
Note • History
(a) If the application is approved and fees have been processed, the ERDS Program shall deliver to the individual all of the following documentation:
(1) An Approval Letter, and
(2) A Vendor of ERDS Software Certificate which authorizes the individual to contract with a County Recorder as a Vendor of ERDS Software.
NOTE
Authority Cited: Section 27393, Government Code. Reference: Sections 27392(b), 27393(b)(7) and 27397(c), Government Code.
HISTORY
1. New section filed 7-31-2007; operative 8-30-2007 (Register 2007, No. 31).
§999.206. Incomplete Application.
Note • History
(a) An incomplete Application for Vendor of ERDS Software Certification form # ERDS 0003 (February 2007) shall be returned to the applicant with a written explanation for the return and further instructions on resubmission. The application shall be deemed incomplete when:
(1) The application has missing or illegible data.
(2) Supporting documentation, forms, or applicable fees are not included with the application.
(3) Proof of fingerprinting is not submitted.
(b) The applicant shall have 90 days to respond, after which the application shall be considered denied. The denial may not prohibit the submission of an Application for Vendor of ERDS Software Certification form # ERDS 0003 (February 2007) at a later date.
NOTE
Authority cited: Section 27393, Government Code. Reference: Sections 27392(b), 27393(b)(7), 27393(c), 27395(b) and 27397(b), Government Code.
HISTORY
1. New section filed 7-31-2007; operative 8-30-2007 (Register 2007, No. 31).
§999.207. Denial of Application.
Note • History
(a) The Application for Vendor of ERDS Software Certification form # ERDS 0003 (February 2007) may be denied for good cause. Good cause shall be deemed to exist when the applicant does not satisfy the qualification or system requirements of these regulations, it is necessary to protect the public interest, protect the integrity of records, or to protect homeowners from financial harm.
(b) Denied applications shall be returned to the individual with a written explanation for the denial. The denial may not prohibit the submission of an Application for Vendor of ERDS Software Certification form # ERDS 0003 (February 2007) at a later date.
NOTE
Authority cited: Section 27393, Government Code. Reference: Sections 27392(b), 27393(b)(7), 27393(c) and 27395(b), Government Code.
HISTORY
1. New section filed 7-31-2007; operative 8-30-2007 (Register 2007, No. 31).
§999.208. Expiration of Certification.
Note • History
(a) Once issued by the ERDS Program, the Vendor of ERDS Software Certificate shall remain in effect for a period of 3 years from the date of issuance unless one of the following occurs:
(1) A letter of suspension is issued to the individual.
(2) The individual withdraws their certification as a Vendor of ERDS Software.
NOTE
Authority cited: Section 27393, Government Code. Reference: Sections 27392(b), 27393(b)(7) and 27393(c), Government Code.
HISTORY
1. New section filed 7-31-2007; operative 8-30-2007 (Register 2007, No. 31).
§999.209. Renewal of Certification.
Note • History
(a) A Vendor of ERDS Software Certificate shall be renewed prior to expiration in order to remain valid. The certificate holder shall submit:
(1) An Application for Vendor of ERDS Software Certification form # ERDS 0003 (February 2007) indicating renewal.
(2) A check or money order for the renewal fee; payable to “Department of Justice -- ERDS Program”.
(3) Submit documentation with the Application for Vendor of ERDS Software Certification form # ERDS 0003 (February 2007) as follows, to demonstrate that they have met the reference or service agreement required to be certified as a Vendor of ERDS Software:
(A) Provide 3 best references within the last 5 years for software products or development of equivalent technology, complexity and size of an ERDS. At least 1 reference shall be for a project using document-imaging technology. Provide this information on the Attachment to ERDS 0003 Vendor Application Form for Reference(s) form # ERDS 0009 (February 2007), or
(B) Operate as a Vendor with a valid California Multiple Award Schedule, General Services Agreement, or Master Services Agreement. A copy of the agreement(s) shall include 1 or more of the following Consulting Service categories: Application Development; Information Technology (IT) Acquisition Support; IT Project Management; IT Project Planning; IT Strategic Planning; IT System Implementation; Migration Planning; Software Development; System Analysis; System Design; System Development; and/or System Integration.
(b) If the certificate holder fails to comply with the renewal requirements, the certification shall expire by operation of the law at midnight on the expiration date stated on the certificate and render the certificate invalid and all services shall cease. If an application for renewal is received after the expiration date, the application may not be considered a renewal and shall be returned to the individual with a cover letter outlining the process for certification.
(c) If an application for renewal is approved and the fees have been processed, the ERDS Program shall issue a new Vendor of ERDS Software Certificate.
NOTE
Authority cited: Section 27393, Government Code. Reference: Sections 27392(b), 27393(b)(7) and 27393(c), Government Code.
HISTORY
1. New section filed 7-31-2007; operative 8-30-2007 (Register 2007, No. 31).
§999.210. Withdrawal of Certification.
Note • History
(a) A Vendor of ERDS Software choosing to withdraw their certification shall submit the following:
(1) An Application for Withdrawal form # ERDS 0010 (February 2007) with a date for cease of operation/service signed and dated declaring under penalty of perjury under the laws of the State of California that all information is true and correct. Submit to the ERDS Program.
(2) A list of all vendor employees and/or vendor contract employees designated as having a role that requires fingerprinting shall be submitted to the County Recorder and a copy attached to the Application for Withdrawal form # ERDS 0010 (February 2007).
(3) The withdrawal request shall render the certificate invalid. The withdrawing Vendor shall cease all ERDS services as of the date noted on the withdrawal application.
(b) Upon receipt of the Application for Withdrawal form # ERDS 0010 (February 2007), the ERDS Program shall send a written acknowledgement of the request for withdrawal.
(c) If, at a later date, a Vendor of ERDS Software wishes to have his or her certification re-instated, the individual shall complete the application process.
NOTE
Authority cited: Section 27393, Government Code. Reference: Sections 27392(b), 27393(b)(2), 27393(b)(7) and 27393(c), Government Code.
HISTORY
1. New section filed 7-31-2007; operative 8-30-2007 (Register 2007, No. 31).
§999.211. Request for Replacement of Certificate and/or Documents.
Note • History
(a) To request a replacement certificate or copies of a document pertaining to their application submission, a Vendor of ERDS Software may submit a Request for Replacement of Certificate and/or Documents form # ERDS 0006 (February 2007), signed and dated declaring under penalty of perjury under the laws of the State of California that the requested certificate and/or documents pertains to his or her application submission.
NOTE
Authority cited: Section 27393, Government Code. Reference: Sections 27392(b), 27393(b)(2), 27393(b)(7) and 27393(c), Government Code.
HISTORY
1. New section filed 7-31-2007; operative 8-30-2007 (Register 2007, No. 31).
Article 9. Audits and Oversight
Note • History
(a) The ERDS Program has the responsibility for oversight and regulation of an ERDS. This responsibility shall be met by the initial system audit, biennial audit, modified system audit, modified system incident audit and local inspection process.
(b) The primary process for monitoring the effectiveness of security controls shall be a computer security audit conducted by a Computer Security Auditor. A County Recorder shall contract with a Computer Security Auditor in order to meet all ERDS audit requirements. A list of Computer Security Auditors is located on the ERDS web page.
(c) A Computer Security Auditor shall conduct a security audit of an ERDS for the purpose of 1) assessing the safety of the system; 2) verifying that the system is secure from vulnerabilities and unauthorized penetration; 3) ensuring ERDS operating procedures are in place and are being followed, and 4) that ERDS have no capability to modify, manipulate, insert, or delete information in the public record.
(1) The facility(ies) of a Type 2 only Authorized Submitter is exempt from a physical security audit when the Computer Security Auditor has validated that all the requirements of these regulations have been met, including certification by the County Recorder and the ERDS Program that the method of submission allowed under the system will not permit an Authorized Submitter or its employees and agents, or any third party, to modify, manipulate, insert, or delete information in the public record, maintained by the County Recorder, or information in Type 1 documents which are submitted for electronic recording.
(2) Based on the Computer Security Auditor's findings, the ERDS Program reserves the right to conduct a physical audit of a Type 2 only Authorized Submitter's facility(ies) if intrusion, fraud, or good cause has been found.
(d) The ERDS Initial System Audit is a full system audit and is required to obtain initial system certification. “Initial” is defined as the “first time” application for a certification of an ERDS for either a Single-County or a Multi-County ERDS. This audit shall be performed prior to activating an ERDS for production and operation and shall be completed by a Computer Security Auditor. A copy of the successful initial system audit report shall be submitted to the ERDS Program as an attachment to the Application for System Certification form # ERDS 0001A (February 2007). A successful initial system audit shall be sufficient to meet the 1st year audit requirement and shall include, but is not limited to, all of the following:
(1) Description of Deposit Materials showing that the source code has been deposited in escrow with an approved escrow facility.
(2) Demonstration of the proposed system in its intended production/operational environment.
(3) The audit shall show all of the following:
(A) ERDS payloads are neither transmitted nor stored in an unencrypted format anywhere in the system.
(B) Transmissions only occur between authorized parties.
(C) Remnants of sessions, transmissions and ERDS payloads are not stored once the user initiating the session and transmitting ERDS payloads has logged out or been disconnected (either physically or logically).
(D) Authorized and unauthorized users are limited in terms of roles assigned to operate the system.
(E) Auditable events are logged correctly.
(F) Known vulnerabilities have been eliminated or mitigated.
(G) The ERDS implementation is not susceptible to published exploits.
(H) ERDS operating procedures and/or features within the ERDS design have been incorporated in order to restrict the instrument type and content to meet the requirements of these regulations.
(I) ERDS shall have no capabilities to modify, manipulate, insert or delete information in the public record.
(4) Testing and review shall include all of the following:
(A) A review of the system design that includes all servers, workstations and network devices employed for, or in support of, the proposed system.
(B) A review of source code, either selected software components or all software.
(C) An inventory of hardware, software and network devices comprising the proposed system.
(D) An inventory of all users and roles authorized to access and operate the proposed system.
(E) A mapping or diagram of the production/operational environment that identifies the servers, workstations and network devices visible from an ERDS server, and the ERDS servers visible from a non-ERDS workstation or server.
(F) A review of the ERDS operating procedures proposed by the County Recorder.
(G) A review of all security checklists proposed for auditing the ERDS.
(H) A review of contracts with Authorized Submitters.
(I) That the requirements of these regulations are met.
(e) A Biennial Audit and a local inspection are required in alternating years to meet the ongoing oversight of an existing certified Single-County ERDS or a Multi-County ERDS. The biennial audit is a full system audit and shall be performed in the production and operational environment and shall be completed by a Computer Security Auditor and submitted to the County Recorder. A local inspection shall be performed in the alternating years and shall be completed by ERDS Program staff. The County Recorder shall submit a copy of the successful biennial audit report to the ERDS Program. A biennial security audit report shall include, but is not limited to, all of the following:
(1) Description of Deposit Materials showing that the source code has been deposited in escrow with an approved escrow facility.
(2) Demonstration of the ERDS in its production/operational environment.
(3) The audit shall show all of the following:
(A) ERDS payloads are neither transmitted nor stored in an unencrypted format anywhere in the system.
(B) Transmissions only occur between authorized parties.
(C) Remnants of sessions, transmissions and ERDS payloads are not stored once the user initiating the session and transmitting ERDS payloads has logged out or been disconnected (either physically or logically).
(D) Authorized and unauthorized users are limited in terms of roles assigned to operate the system.
(E) Auditable events are logged correctly.
(F) Known vulnerabilities have been eliminated or mitigated.
(G) The ERDS is not susceptible to published exploits and that the published updates to the standards and guidelines as described in these regulations shall be implemented within two years.
(H) ERDS operating procedures and/or features within the ERDS design have been incorporated in order to restrict the instrument type and content to meet the requirements of these regulations.
(I) ERDS shall have no capabilities to modify, manipulate, insert or delete information in the public record.
(4) Testing and review shall include all of the following:
(A) A review of the system design that includes all servers, workstations and network devices employed for, or in support of, the system.
(B) A review of source code, either selected software components or all software.
(C) An inventory of hardware, software and network devices comprising the system.
(D) An inventory of all users and roles authorized to access and operate the system.
(E) A mapping or diagram of the production/operational environment that identifies the servers, workstations and network devices visible from an ERDS server, and the ERDS servers visible from a non-ERDS workstation or server.
(F) A review of the ERDS operating procedures established by the County Recorder.
(G) A review of all security checklists established for auditing the ERDS.
(H) A review of contracts with Authorized Submitters.
(I) A review of collected audit data showing auditable events are collected for audit and audit data correlates to actual activities.
(J) A review of incident reports and determination that the cause of each incident has been eliminated or mitigated.
(K) That the requirements of these regulations are met.
(f) A Modified System Audit is required to obtain approval for making a substantive modification to an existing certified Single-County ERDS or a Multi-County ERDS. A modified system audit shall pertain to only the components that are proposed to be modified and/or changed in the production environment and shall be performed prior to activating the modification and/or change in the ERDS operational environment. This modified system audit shall be completed by a Computer Security Auditor and submitted to the County Recorder. Upon receipt of the successful modified system audit by the County Recorder, the County Recorder may place the proposed substantive modification in the production environment on a provisional basis. Within 15 business days of the provisional implementation, a copy of the successful modified system audit report shall be submitted to the ERDS Program as an attachment to an Application for a Request for Approval of Substantive Modification(s) form # ERDS 0013 (February 2007). A successful modified system audit may not replace the biennial audit requirement. A modified system audit report shall include, but is not limited to, all of the following:
(1) A Description of Deposit Materials showing that modified source code has been deposited in escrow with an approved escrow facility.
(2) Demonstration of the ERDS in its intended production/operational environment.
(3) The audit shall focus on functions of the substantive modification and show all of the following:
(A) ERDS payloads are neither transmitted nor stored in an unencrypted format anywhere in the system.
(B) Transmissions only occur between authorized parties.
(C) Remnants of sessions, transmissions and ERDS payloads are not stored once the user initiating the session and transmitting ERDS payloads has logged out or been disconnected (either physically or logically).
(D) Authorized and unauthorized users are limited in terms of roles assigned to operate the system.
(E) Auditable events are logged correctly.
(F) Known vulnerabilities have been eliminated or mitigated.
(G) The ERDS implementation is not susceptible to published exploits.
(H) ERDS operating procedures and/or features within the ERDS design have been incorporated in order to restrict the instrument type and content to meet the requirements of these regulations.
(I) ERDS shall have no capabilities to modify, manipulate, insert or delete information in the public record.
(4) Testing and review shall include all of the following:
(A) A review of the system design that includes all servers, workstations and network devices employed for, or in support of, the proposed system.
(B) A review of source code, either selected software components or all software.
(C) An inventory of hardware, software and network devices comprising the proposed system.
(D) An inventory of all users and roles authorized to access and operate the system.
(E) A mapping or diagram of the production/operational environment that identifies the servers, workstations and network devices visible from an ERDS server, and the ERDS servers visible from a non-ERDS workstation or server.
(F) A review of the ERDS operating procedures established by the County Recorder.
(G) A review of all security checklists established for auditing the ERDS.
(H) A review of contracts with Authorized Submitters.
(I) A review of collected audit data showing auditable events are collected for audit and audit data correlates to actual activities.
(J) A review of incident reports and determination that the cause of each incident has been eliminated or mitigated.
(K) That the requirements of these regulations are met.
(g) A Modified System Incident Audit is required to meet the audit requirement resulting from an incident that compromises the safety or security of an ERDS. Incidents are detailed within these regulations. A modified system incident audit shall pertain to only the components that were found to compromise the production environment and shall be performed prior to activating the correction in the ERDS for production and operation, This modified system incident audit shall be completed by a Computer Security Auditor and submitted to the County Recorder. The County Recorder shall submit a copy of the successful modified system incident audit report to the ERDS Program. A successful modified system incident audit may not replace the biennial audit requirement. A modified system incident audit report shall include, but is not limited to, all of the following:
(1) Demonstration of the ERDS in its intended production/operational environment.
(2) The audit shall focus on the cause of the incident of fraud, and show all of the following:
(A) ERDS payloads are neither transmitted nor stored in an unencrypted format anywhere in the system.
(B) Transmissions only occur between authorized parties.
(C) Remnants of sessions, transmissions and ERDS payloads are not stored once the user initiating the session and transmitting ERDS payloads has logged out or been disconnected (either physically or logically).
(D) Authorized and unauthorized users are limited in terms of roles assigned to operate the system.
(E) Auditable events are logged correctly.
(F) Known vulnerabilities have been eliminated or mitigated.
(G) The ERDS is not susceptible to published exploits and that the published updates to the standards and guidelines as described in these regulations shall be implemented within two years.
(H) ERDS operating procedures and/or features within the ERDS design have been incorporated in order to restrict the instrument type and content to meet the requirements of these regulations.
(I) ERDS shall have no capabilities to modify, manipulate, insert or delete information in the public record.
(3) Testing and review shall include all of the following:
(A) A review of the system design that includes all servers, workstations and network devices employed for, or in support of, the system.
(B) A review of source code, either selected software components or all software.
(C) An inventory of hardware, software and network devices comprising the system.
(D) An inventory of all users and roles authorized to access and operate the system.
(E) A mapping or diagram of the production/operational environment that identifies the servers, workstations and network devices visible from an ERDS server, and the ERDS servers visible from a non-ERDS workstation or server.
(F) A review of the ERDS operating procedures established by the County Recorder.
(G) A review of all security checklists established for auditing the ERDS.
(H) A review of contracts with Authorized Submitters.
(I) A review of collected audit data showing auditable events are collected for audit and audit data correlates to actual activities.
(J) A review of incident reports and determination that the cause of each incident has been eliminated or mitigated.
(K) That the requirements of these regulations are met.
(4) Upon receipt of the modified system incident audit report, the ERDS Program shall:
(A) Send a written notification within 10 business days to the County Recorder acknowledging receipt of the audit report.
(B) Send a notification of the investigative results and the appropriate action to be taken, if any, to the Computer Security Auditor, County Recorder, Board of Supervisors, and District Attorney.
(C) Maintain reports for statistical purposes.
NOTE
Authority cited: Section 27393, Government Code. Reference: Sections 27390(b)(2), 27392(a), 27393(b)(2), 27393(b)(3), 27393(b)(6) and 27394(c)-(f), Government Code.
HISTORY
1. New article 9 (sections 999.217-999.223) and section filed 7-31-2007; operative 8-30-2007 (Register 2007, No. 31).
§999.218. Audit Report Format.
Note • History
(a) The format of a security audit report shall include, but is not limited to, all of the following:
(1) A summary of recommendations in a task-list format.
(2) A description of the Computer Security Auditor's methodology.
(3) A section for detailed technical observations and recommendations.
(4) A diagram depicting results, where applicable.
(5) Results of testing and reviews.
(6) Recommendations for additional precautions needed to ensure that the system is secure.
(7) A copy of the list of all users for secure and/or authorized access.
NOTE
Authority cited: Sections 27393 and 27394(c)-(f), Government Code. Reference: Sections 27393(b)(2), 27393(b)(3), 27393(b)(6), 27393(c) and 27394(c)-(f), Government Code.
HISTORY
1. New section filed 7-31-2007; operative 8-30-2007 (Register 2007, No. 31).
Note • History
(a) Counties operating and/or associated with a certified ERDS shall be subject to an ERDS local inspection by an ERDS Program representative in alternating years of the biennial audit. The purpose of this inspection is to ensure that the requirements, as set forth in the regulations, are being adhered to for the ongoing oversight of the ERDS.
(b) An ERDS Program representative shall contact the Lead County Recorder and/or Sub-County Recorder or his or her representative to schedule an on-site inspection of the ERDS and all associated processes on a mutually agreed upon date.
(c) The ERDS Program representative shall verify all of the following during the local inspection:
(1) An auditable log is being maintained for 2 years.
(2) Documentation has been maintained and distributed in cases where an incident has been reported.
(3) Access request and inventory reports are maintained.
(4) The Computer Security Auditor reports are being maintained for a period of 2 years and the following are referenced: a list of all secure access and authorized access users; ERDS operating procedures and/or features within the ERDS design have been incorporated in order to restrict the instrument type and content to meet the requirements of these regulations; safety and security of the system, including the vulnerability of an ERDS to fraud or penetration; results of testing of the system's protections against fraud or intrusion, including security testing and penetration studies; recommendations for additional precautions needed to ensure that the system is secure; that reports and response to recommendations are being transmitted to the Board of Supervisors, the County Recorder, the County District Attorney and the ERDS Program.
(5) For a Single-County ERDS, that a copy of the following is on file: the County's System Certificate of Operation; the County's Resolution; the County's Policy and Procedures; a signed Statement of Understanding form # ERDS 0011 (February 2007); a list of all secure access and authorized access users; a signed Acknowledgement of Responsibilities Form # ERDS 0012 (February 2007); a completed Change of ERDS Role form # ERDS 0008 (February 2007) for individuals that have changed an ERDS role(s); the Computer Security Auditor ERDS certificate and contract; the letter of deposit to an approved escrow facility; and the Vendor of ERDS Software certificate and their contract, if any. If internal county resources and/or another public entity are being used to develop an ERDS in lieu of a vendor, it shall be stated in the county resolution granting establishment of an ERDS.
(6) For a Multi-County ERDS, that a copy of the following is on file: the contract or agreement with other county(ies); a list of all secure access and authorized access users; a signed Acknowledgement of Responsibilities form # ERDS 0012 (February 2007); a completed Change of ERDS Role form # ERDS 0008 (February 2007) for individuals that have changed an ERDS role(s); the Sub-County(ies) resolution; the Application for Sub-County System Certification form # ERDS 0001B (February 2007); and the Sub-County(ies) Recorder's signed Statement of Understanding form # ERDS 0011 (February 2007).
(d) The ERDS Program representative shall discuss the findings of the inspection with the County Recorder or his or her representative.
(e) A completed Policy and Security Review report shall be signed and dated by both the County Recorder or his or her representative and the ERDS Program representative.
(f) A completed ERDS Program Policy and Security Review report shall be provided to the Lead County Recorder and/or the Sub-County Recorder at the completion of the local inspection. In the case of the Sub-County inspection, a copy of the Policy and Security Review report shall be forwarded to the Lead County.
(g) The ERDS Program representative shall provide an inspection result letter within 10 business days of the inspection date to the County Recorder or his or her representative.
(h) In the case of an inspection resulting in an agency deemed in compliance with all requirements, the ERDS Program representative shall prepare a letter to the County Recorder(s) notifying them of their compliance. In the case of a Multi-County ERDS, the Lead County Recorder shall receive a copy of the Sub-County(ies) letter.
(i) In the case of an inspection resulting in an agency deemed non-compliant with a requirement(s), the ERDS Program representative shall:
(1) Prepare a letter to the County Recorder(s) with notification of the non-compliance. The letter shall contain non-compliance issues requiring corrective action; and a due date shall be assigned allowing 30 days for correction and response. In the case of a Multi-County ERDS, the ERDS Program representative shall forward a copy to the Lead County Recorder.
(2) Upon receipt of the County Recorder's response to the request for corrective action, the ERDS Program representative shall review and determine that the non-compliance issue(s) has been addressed, and shall forward a compliance letter to the County Recorder and/or Sub-County Recorder.
(3) In the case of a response not satisfactorily addressing the non-compliance issue(s), the ERDS Program representative shall work with the County Recorder and/or Sub-County Recorder to resolve them.
(4) If a response to the corrective action is not received by the due date, the ERDS Program representative shall initiate a follow-up telephone call to inquire on the status of the response. If it is determined that an extension is needed, the County Recorder shall be granted an additional 2 weeks to respond.
(5) If no response is received the ERDS Program representative shall issue a letter of ERDS suspension.
NOTE
Authority cited: Section 27393, Government Code. Reference: Sections 27393(b)(2), 27393(c), 27396(a) and 27396(b)(1), Government Code.
HISTORY
1. New section filed 7-31-2007; operative 8-30-2007 (Register 2007, No. 31).
Note • History
(a) A reportable incident that compromises the safety or security of an ERDS shall be reported.
(b) The County Recorder shall establish criteria, policies and procedures for handling and responding to incidents.
(c) In the case of a Multi-County ERDS, the Sub-County(ies) shall report incidents to the Lead County Recorder within 2 business days.
(d) A Fax Transmission Cover Sheet form # ERDS 0007 (February 2007) shall be utilized to notify the ERDS Program of the reportable incident(s).
(e) After the fax notification has been made, the County Recorder, either in his or her official capacity or by delegation of the responsibility, shall prepare a detailed incident report that shall include: the date of the incident(s); the parties involved (if known); the nature and scope of the incident(s); and action(s) taken, including steps to protect against future incidents.
(f) The detailed incident report shall be forwarded to the ERDS Program, the Computer Security Auditor, District Attorney(s), and their Board of Supervisors within 10 business days of the incident(s) date. The County Recorder shall maintain the report for a period of 2 years and shall be subject to review during audits and local inspections.
(g) Upon receipt of a detailed incident report the ERDS Program shall do the following:
(1) Send a written notification within 2 business days to the reporting party acknowledging receipt of the detailed report.
(2) Send a notification of the ERDS investigative result and the appropriate action to be taken, if any, to the County Recorder, Computer Security Auditor, Board of Supervisors, and District Attorney.
(3) Maintain reports for statistical purposes.
NOTE
Authority cited: Sections 27393, 27396(a) and 27396(b), Government Code. Reference: Sections 27393(b)(2), 27393(c), 27394(f), 27396(a) and 27396(b), Government Code.
HISTORY
1. New section filed 7-31-2007; operative 8-30-2007 (Register 2007, No. 31).
§999.221. Suspension and Termination of Certification.
Note • History
(a) System certification may be suspended or terminated. Grounds for suspension or termination shall include, but are not limited to, all of the following:
(1) Unsatisfactory audit findings by a Computer Security Auditor.
(2) Failure to respond to a notice of corrective action for non-compliance issue(s) as a result of a local inspection.
(3) Failure to comply with the audit and local inspection schedule.
(4) Non-payment of a County's proportionate cost of the System Administration Fee.
(5) A reported incident that has been determined to compromise the safety or security of an ERDS.
(6) Non-compliance with the Statement of Understanding form # ERDS 0011 (February 2007).
(7) For good cause.
NOTE
Authority cited: Sections 27393, 27396(a) and 27396(b), Government Code. Reference: Sections 27392(a), 27393(b)(2), 27393(c), 27394(c)-(f), 27396(a) and 27396(b), Government Code.
HISTORY
1. New section filed 7-31-2007; operative 8-30-2007 (Register 2007, No. 31).
Note • History
(a) The ERDS Program shall issue a letter of suspension or termination, delivered by certified mail, notifying the County Recorder that the system certification is invalid and shall remain in affect until a reinstatement is granted through the reconsideration process. The County Recorder shall be instructed to immediately cease all operations of the ERDS. A copy of the letter shall be provided to the Board of Supervisors, the Attorney General, and the District Attorney.
NOTE
Authority cited: Sections 27393, 27393(c), 27394(c)-(f), 27396(a) and 27396(b), Government Code. Reference: Sections 27392(a), 27393(b)(2), 27393(c) and 27396, Government Code.
HISTORY
1. New section filed 7-31-2007; operative 8-30-2007 (Register 2007, No. 31).
Note • History
(a) A County Recorder may request a reconsideration of a suspension or termination of a system certification. The County Recorder shall submit a written request to the ERDS Program within 30 days of the notification stating justification for the reconsideration. During this time, the County Recorder may not operate the ERDS.
(b) The ERDS Program shall review the request for reconsideration and a determination shall be made in writing to the County Recorder within 30 days. A copy of the letter shall be provided to the Board of Supervisors, the Attorney General, and the District Attorney.
(c) Reinstatement of an ERDS certification that has been suspended or terminated because of vulnerabilities shall provide a Modified System Incident Audit to the ERDS Program before reinstatement of the ERDS operation. Vulnerabilities include unsatisfactory audit findings by a Computer Security Auditor and/or reported incidents that have been determined to compromise the safety or security of an ERDS.
(d) Reinstatement of an ERDS certification that has been suspended or terminated because of non-compliance to administrative requirements shall be dependant upon responding to and rectifying the reason for suspension or termination. Administrative requirements include failure to respond to a notice of corrective action for a non-compliance issue(s) as a result of local inspection, failure to comply with the audit and local inspection schedule, non-payment of a County's proportionate cost of the System Administration Fee, non-compliance with the Statement of Understanding form # ERDS 0011 (February 2007), and/or good cause.
NOTE
Authority cited: Sections 27393, 27396(a) and 27396(b)(1), Government Code. Reference: Sections 27392(a), 27393(b)(2), 27393(c) and 27396, Government Code.
HISTORY
1. New section filed 7-31-2007; operative 8-30-2007 (Register 2007, No. 31).
Division 2. Commission on Peace Officer Standards and Training
Article 1. General
Note • History
NOTE
Authority cited: Section 11422, Government Code. Reference: Section 13506, Penal Code.
HISTORY
1. Repealer of Article 1 (Sections 1000-1016, not consecutive) and new Article 1 (Sections 1000-1017, not consecutive) filed 12-29-78; effective thirtieth day thereafter (Register 78, No. 52). For prior history, see Registers 78, No. 22; 77, No. 48; 77, No. 22; 77, No. 14; 77, No. 5; 76, No. 33; 75, No. 49; 74, No. 35; 74, No. 23; 74, No. 21; 72, No. 40; 72, No. 23; 71, No. 23; 71, No. 1; 69, No. 48; 69, No. 10; 68, No. 27; 65, No. 18; 63, No. 24.
2. Repealer of Article 1 (Sections 1000-1017) filed 12-21-79 as an emergency; designated effective 1-1-80. Certificate of Compliance included (Register 79, No. 51). For prior history, see Register 79, No. 20.
3. Repealer of Section 1000 filed 2-10-83; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 83, No. 7).
Note • History
“Academy Coordinator” is an individual responsible for the coordination of instruction and the management of basic courses.
“Academy Director” is an individual responsible for the management of an academy which requires instructional planning, organization of training resources, selection and motivation of training personnel, and control and discipline of the training environment.
“Acceptable College Education” is:
(1) Courses or degrees provided by a community college, college, or university which have been accepted by a community college, college or university accredited by a recognized national or regional accrediting body.
(2) Courses or degrees provided by a community college, college, or university accredited by a recognized national or regional accrediting body.
“The Act” refers to Part 4, Title 4 of the Penal Code of California, commencing at Section 13500 and entitled, “Standards and Training of Local Law Enforcement Officers.”
“Actual Course Presentation Cost” is the total allowable direct and indirect expenses (see Regulation 1054) to conduct one presentation of a POST-certified course, less any subventions from outside sources. Subventions received from outside sources may include, but are not limited to, fees, grants, gifts, Full-Time Equivalent Student (FTES) shares from community college affiliations, and monetary equivalents of services, equipment or materials provided in support of the course.
“Agency Presenter” is a department, or departments working together under a joint powers or other agreement, eligible for POST reimbursement which presents POST-certified training course(s).
“Assistant Department Head” is an individual occupying the first position subordinate to a department head, is generally responsible for supervision of middle managers and/or supervisors, and is a position for which commensurate pay is authorized.
“Backfill Reimbursement” is the reimbursable allowance for an agency's expense of paying salary at the overtime rate to a peace officer employee who replaces another peace officer employee for his/her attendance of selected POST-certified training [reference regulation 1015(d)].
“Blended Learning” is a learning event that combines the use of two or more independent media (e.g., the Web/Internet and the classroom). In a blended learning environment, students complete part of the training via the Web as either instructor-led or self-paced training. The remainder of the training is accomplished in the classroom or other venue in the presence of instructors and other students.
“Certificate Programs” are programs in which the Commission applies specific criteria for awards of certificates as a means of recognizing achievements in education, training, and experience and for the purpose of raising the level of competence of law enforcement officers, dispatchers, and records supervisors. Requirements for professional certificates are set forth in Regulation 1011 and Procedure H-4.
“Certified Course” (see “POST-certified Course”).
“Cheating” is any act or attempt to gain or provide unethical advantage to anyone involved in a POST-certified course. Cheating includes, but is not limited to, the following acts or attempts to:
(1) Use, obtain or provide any material that gives unethical advantage to any person preparing for, or taking, any test.
(2) Plagiarize.
(3) Aid, abet, conceal or fail to report an act of cheating.
“Commission” is the Commission on Peace Officer Standards and Training.
“Commuter Trainee” is one who attends a training course and travels between his or her department or normal residence and the course site each day.
“Department or Participating Department” is any law enforcement entity or independent communications agency which has made application to and been accepted by the Commission to participate in POST programs and receive services. Eligibility and participation requirements are set forth in Regulation 1010.
“Department Head” is the chief law enforcement executive.
“Executive Position” is a position above the middle management position, up to and including department head, for which commensurate pay is authorized, and is responsible principally for command assignments and the supervision of subordinate middle management and supervisory positions. The executive position is most commonly the rank of captain or higher.
“First-level Supervisory Position” is the supervisory peace officer position between the operational level and the “middle management position”, for which commensurate pay is authorized, and is responsible principally for the direct supervision of subordinates, or is subject to assignment of such responsibilities. The first-level supervisory position does not encompass positions with limited or intermittent supervisory responsibilities, i.e., quasi-supervisory positions. The first-level supervisory position is most commonly the rank of sergeant.
“Full-time Employment” is employment as defined by a state, local, or department regulation, charter, resolution, or ordinance; wherein, the employee normally works in excess of 20 hours weekly or 87 hours monthly; is tenured or has a right to due process in personnel matters; and is entitled to workers compensation and retirement provisions as are other full-time employees of the same personnel classification in the department.
“General law enforcement duties” are duties which include the investigation of crime, patrol of a geographic area, responding to the full range of requests for police services, and performing any enforcement action on the full range of law violations.
“Guest Speaker” is an individual who is invited to speak in a POST-certified course because of his/her expertise in a specialized subject area, and who is directly overseen by the primary instructor.
“High School” is either a United States public school that meets the high school standards set by the state in which it is located, an accredited United States Department of Defense high school, or an accredited nonpublic high school. Any accrediting association shall be recognized by the Secretary of the United States Department of Education.
“Lateral Entry” refers to a hiring practice which may exempt an individual from some of the department's hiring and training procedures, as the individual's prior experience, level of responsibility, and/or training are taken into consideration for appointment.
“Legislatively mandated training” is training that may or may not be POST-certified, and shall consist of POST-specified curriculum as required by law. It may be presented as a stand-alone course, a telecourse, or as part of a POST-certified course. Minimum standards for legislatively mandated training are set forth in Regulation 1081.
“Limited Function Peace Officer” is a deputy sheriff, regularly employed and paid as such, of a county, a police officer of a city, a police officer of a district authorized by statute to maintain a police department, who is designated on or prior to June 30, 1985, to be a peace officer as described in Penal Code section 830.1(c), and is employed to perform duties other than the prevention and detection of crime and the general enforcement of the criminal laws of the state.
“Middle Management Position” is a management peace officer position between the first-level supervisory position and the department head position, for which commensurate pay is authorized, and is responsible principally for management and/or command duties. The middle management position is most commonly the rank of lieutenant or higher.
“Modular Format Coordinator” is an individual responsible for the management and presentation of Regular Basic Course -- Modular Format courses.
“Non-sworn Personnel Performing Police Tasks” are those full-time, non-peace officer employees of participating departments for whom reimbursement may be claimed, based upon actual job assignment, as determined and approved by the Commission.
“Paraprofessional” is a full time employee of a department and includes, but is not limited to, such job classifications as: community service officer, police trainee, and police cadet.
“POST Administrative Manual (PAM)” is a document containing Commission Regulations, and Procedures, guidelines, laws, and forms relating to POST programs.
“POST-certified Course” or “Certified Course” is a program of instruction authorized by the Commission for presentation that follows the requirements set forth in Regulations 1051-1058.
“Primary instructor” is an individual responsible for the coordination and instruction for a particular subject area(s). The responsibility includes oversight of subject content, logistics, and other instructors.
“Public Safety Dispatcher” is a non-peace officer who is employed full-time or part-time to perform duties which include receiving emergency calls for law enforcement service and/or dispatching law enforcement personnel.
“Quasi-supervisory Position” is a peace officer position above the operational level which is assigned limited responsibility for the supervision of subordinates, or intermittently is assigned the responsibility of first-level supervision, and is a position for which commensurate pay is authorized. The quasi-supervisory position is most commonly a rank immediately below that of sergeant.
“Records Supervisor” is a full-time, non-peace officer employee of a participating California law enforcement agency who performs law enforcement records supervising duties which include records maintenance, control, release, destruction, and security 50% or more of the time within a pay period.
“Recruit Training Officer” is a supervisory position of trainees attending a Regular Basic Course -- Standard Format, Regular Basic Course -- Modular Format or the Specialized Investigators' Basic Course.
“Regular Officer” is a sheriff, undersheriff, or deputy sheriff, regularly employed and paid as such, of a county, a police officer of a city, a police officer of a district authorized by statute to maintain a policy department, a police officer of a department or district enumerated in Penal Code Section 13507, or a peace officer member of the California Highway Patrol.
“Reimbursement” is the financial aid allocated from the Peace Officer Training Fund, as provided in Penal Code section 13523.
“Reimbursement Program” is the financial aid allocation program provided for in Penal Code section 13523 in which the Commission makes payment for POST-certified training expenses. Departments which have been approved by the Commission and which employ full-time peace officers and/or dispatchers described in Penal Code section 13510 are eligible for financial aid.
“Reimbursement Plans” are assigned to POST-certified courses. Each plan consists of a combination of training-related expenditures approved by the Commission. The various plans are set forth in Commission Procedure E-2.
“Resident Trainee” is one who, while away from his or her department or normal residence, attends a training course and takes lodging and meals at or near the course site for one or more days/nights.
“Scenario Evaluator” is an individual responsible for the observation, safety, and evaluation of basic course trainees during scenario testing.
“Scenario Manager” is an individual responsible for the management of scenario demonstrations or testing events which require organization of training resources, selection, and supervision of evaluators and role players, control and security of POST testing materials and safety of scenario testing participants.
“Specialized Law Enforcement Department” is a department or segment of a department which:
(1) has policing or law enforcement authority imposed by law and whose employees are peace officers as defined by law; and
(2) is engaged in the enforcement of regulations or laws limited in scope or nature; or
(3) is engaged in investigative or other limited law enforcement activities in the enforcement of criminal law.
“Specialized Peace Officer” is a peace officer employee of a specialized law enforcement agency.
“Three-year rule” is the rule that relates to the necessity to requalify basic training or arrest and firearms (PC 832) training. (Reference Regulations 1008 and 1080).
“Trainee” is an employee of a department who attends a POST-certified course.
“Uniformed patrol duties” are general law enforcement duties which include the detection and investigation of crime, patrol of a geographic area, responding to the full range of requests for police services, general enforcement of all state and local laws including physical arrests of suspects, and working with the community to reduce crime and address community concerns. These duties are performed by peace officers, wearing a department uniform, carrying a firearm, and utilizing a marked emergency vehicle.
“Web-Based Training (WBT)” is any training that can be accessed via the World Wide Web (Internet) or a local or wide area network. For the purposes of certification, WBT will be divided into the following two components:
(1) Instructor-led training
(2) Self-paced training which includes self-paced WBT
NOTE
Authority cited: Sections 13506 and 13510.3, Penal Code. Reference: Sections 13503, 13507, 13510, 13510.1, 13510.3, 13510.5 and 13523, Penal Code.
HISTORY
1. Amendment filed 12-3-80; effective thirtieth day thereafter (Register 80, No. 49).
2. Amendment of subsections (h), (i) and (y) filed 5-14-82; designated effective 7-1-82 (Register 82, No. 20).
3. Amendment of subsections (c), (d), (h), (k), (n), (t) and (x) filed 2-10-83; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 83, No. 7).
4. Amendment filed 1-9-86; effective thirtieth day thereafter (Register 86, No. 2).
5. Amendment filed 11-29-88; operative 12-29-88 (Register 88, No. 51).
6. Amendment of subsection (h) filed 1-5-93; operative 2-4-93 (Register 93, No. 2).
7. Amendment of subsections (a)-(a)(3) and Note filed 6-10-93; operative 7-12-93 (Register 93, No. 24).
8. New subsections (c) and (d), subsection redesignation and amendment of Note filed 12-22-93; operative 1-21-94 (Register 93, No. 52).
9. Editorial correction repositioning explanatory note to subsection (e) and restoring inadvertently deleted text to subsection (j) (Register 94, No. 35).
10. New subsections (h)-(h)(5) and subsection relettering filed 1-14-97; operative 2-13-97 (Register 97, No. 3).
11. Amendment of subsection (p) filed 4-23-97; operative 5-23-97 (Register 97, No. 17).
12. New subsection (y), subsection relettering and amendment of Note filed 1-9-98; operative 2-8-98 (Register 98, No. 2).
13. Amendment of subsection (y) filed 3-31-99; operative 4-30-99 (Register 99, No. 14).
14. Amendment filed 8-10-2000; operative 9-9-2000 (Register 2000, No. 32).
15. New subsection (aa) and subsection relettering filed 7-17-2001; operative 7-1-2002 (Register 2001, No. 29).
16. New subsection (nn) filed 10-7-2002; operative 7-1-2003 (Register 2002, No. 41).
17. Amendment of subsections (l) and (jj)(3), repealer of subsection (jj)(4) and amendment of subsection (kk) filed 12-3-2002; operative 1-2-2003 (Register 2002, No. 49).
18. New subsection (r), subsection relettering and amendment of newly designated subsection (bb) filed 7-21-2003; operative 8-20-2003 (Register 2003, No. 30).
19. Amendment of definition of “High School” filed 8-22-2005; operative 9-21-2005 (Register 2005, No. 34).
20. Amendment of subsection (f) filed 2-9-2006; operative 3-11-2006 (Register 2006, No. 6).
21. Amendment repealing subsection designators and adding new definitions of “Blended Learning” and “Web-Based Training (WBT)” filed 7-27-2006; operative 8-26-2006 (Register 2006, No. 30).
22. New definitions of “Academy Coordinator,” “Academy Director,” “Modular Format Coordinator,” “Recruit Training Officer,” “Scenario Evaluator” and “Scenario Manager” filed 12-29-2010; operative 1-1-2011 pursuant to Government Code section 11343.4 (Register 2010, No. 53).
23. Amendment of definition of “Cheating” filed 4-3-2012; operative 5-3-2012 (Register 2012, No. 14).
24. Change without regulatory effect amending definition of “Certificate Programs” filed 11-26-2012 pursuant to section 100, title 1, California Code of Regulations (Register 2012, No. 48).
§1002. Minimum Standards for Peace Officer Employment. [Repealed]
Note • History
NOTE
Authority cited: Sections 13506 and 13510, Penal Code. Reference: Sections 13503, 13510 and 13510.5, Penal Code; Sections 1029-1031 and 24103, Government Code; Section 48412, Education Code; Section 2267, Vehicle Code; Americans with Disabilities Act of 1991; Title VII of the Civil Rights Act of 1966 and Uniform Guidelines on Employee Selection Procedures.
HISTORY
1. Amendment filed 2-10-83; effective upon filing pursuant to Government Code section 11346.2(d) (Register 83, No. 7).
2. Amendment filed 11-27-84; effective thirtieth day thereafter (Register 84, No. 48).
3. Amendment of subsection (a) and section heading filed 3-5-85; effective thirtieth day thereafter (Register 85, No. 10).
4. Amendment of subsection (a)(7) filed 6-11-86; effective thirtieth day thereafter (Register 86, No. 24).
5. Amendment of subsections (a)(5), (7) and (8) filed 12-30-87; operative 1-29-88 (Register 88, No. 3).
6. Change without regulatory effect amending subsection (a)(6) filed 9-10-90 pursuant to section 100, title 1, California Code of Regulations (Register 90, No. 44).
7. Amendment of subsections (a)(3) and (a)(6)-(a)(8), amendment of Note, and amendment of Commission Procedures C-1 and C-2 (incorporated by reference) filed 4-23-97; operative 5-23-97 (Register 97, No. 17).
8. Amendment of section heading, section and Note filed 8-10-2000; operative 9-9-2000 (Register 2000, No. 32).
9. Amendment of subsection (a)(8) filed 6-26-2003; operative 7-26-2003 (Register 2003, No. 26).
10. Change without regulatory effect amending subsection (a)(8) filed 12-5-2003 pursuant to section 100, title 1, California Code of Regulations (Register 2003, No. 49).
11. Amendment of subsection (a)(6) filed 8-22-2005; operative 9-21-2005 (Register 2005, No. 34).
12. Amendment of section heading and subsections (a) and (a)(5), new subsection (b), redesignation of former subsections (a)(7)-(9) to new subsections (b)(1)-(3), subsection relettering and amendment of newly designated subsections (b)(3)-(c) filed 8-22-2005; operative 9-21-2005 (Register 2005, No. 34).
13. Change without regulatory effect amending subsection (c) filed 5-23-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 21).
14. Repealer filed 4-1-2009; operative 7-1-2009 (Register 2009, No. 14).
§1003. Employment Status Notifications.
Note • History
(a) Employment Status Notification Requirements
(1) Peace Officers, Reserve Peace Officers, Public Safety Dispatchers, and Records Supervisors.
The employing department shall submit a Notice of Appointment/Termination POST 2-114 (08/2008) form to POST within 30 days, via the POST Electronic Data Interchange (EDI) system when personnel actions listed below occur.
The Notice of Appointment/Termination (NOAT) form may be mailed to POST if the department is not registered for EDI access. The NOAT form POST 2-114 (08/2008) is hereby incorporated by reference.
(A) Appointment and Termination Actions. Appointment or termination of a:
1. Peace Officer
2. Reserve Peace Officer
3. Public Safety Dispatcher
4. Records Supervisor
(B) Name Changes Name changes as a result of a marriage, a divorce, or a legal name change.
(C) Rank/Status Changes
Actions that involve rank/status changes including promotions and demotions for:
1. Peace Officer
2. Reserve Peace Officer
3. Public Safety Dispatcher
4. Records Supervisor
(b) Employment Status Notification Changes.
(1) Incorrectly Submitted Transactions.
When a transaction is incorrectly submitted through the EDI system, an authorized department employee shall contact POST within 14 days. The correction can be made telephonically through the EDI staff. After 14 days, a NOAT form and a written justification for the correction shall be sent to POST requesting the change.
(2) Reinstatements
When the department has terminated a person, but the person has been mandatorily reinstated, the department shall notify POST in writing within 30 days of the change in personnel action. The department head shall submit a hard copy NOAT form indicating a correction to record, along with a copy of the official reinstatement documentation.
(c) Disqualification Notification Requirements
(1) Investigating Department.
Whenever a peace officer or former peace officer is adjudged guilty of a felony offense, or for any reason specified in Government Code section 1029 that disqualifies the individual from being employed as a peace officer, POST shall be notified in writing within 30 days of the final disposition.
(A) If the individual is currently employed as a peace officer, the employing department shall notify POST of the final disposition.
(B) If the individual is a former peace officer, the law enforcement department responsible for the investigation shall notify POST of the final disposition.
(2) Documentation
The written notification shall be sent on department letterhead and include:
(A) Name of the Peace Officer or Former Peace Officer
(B) Disqualification Reason Pursuant to Government Code section 1029
(C) Case Number
(D) Name of the Adjudicating Court
(E) Date of Adjudication
(F) Copy of the Official Documentation Substantiating the Disqualification (i.e., Settlement agreement, Civil Service agreement or Court Order showing the parties involved in the action, summary or action page that states the action to be taken by the agency, the page of the court order bearing the official signature(s) and the conclusion)
(G) Law Enforcement Department Responsible for the Investigation
NOTE
Authority cited: Section 13506, Penal Code. Reference: Sections 13512 and 13510.3, Penal Code.
HISTORY
1. Change without regulatory effect renumbering and amending former section 9040 to new subsections 1003(a)-(b)(2) and renumbering and amending former section 9041 to new subsections 1003(c)-(c)(1)(G) filed 11-26-2012 pursuant to section 100, title 1, California Code of Regulations (Register 2012, No. 48). For prior history, see Register 2008, No. 40.
§1004. Field Training Program.
Note • History
(a) Program Requirements: Any department which employs peace officers and/or Level I Reserve peace officers shall have a POST-approved Field Training Program. Requests for approval of a department's Field Training Program shall be submitted on POST form POST-Approved Field Training Application 2-229 (Rev. 08/08), signed by the department head attesting to the adherence of the following program requirements:
(1) The Field Training Program shall be delivered over a minimum of 10 weeks and based upon the structured learning content as specified in PAM section D-13.
(2) A trainee shall have successfully completed the Regular Basic Course before participating in the Field Training Program.
(3) The Field Training Program shall have a Field Training Supervisor/Administrator/Coordinator (SAC) who:
(A) Has been awarded or is eligible for the award of a POST Supervisory Certificate or
(B) Has been appointed by the department head (or his/her designate).
(C) Meets the training requirement specified in 1004(c) below.
(4) The Field Training Program shall have Field Training Officers (FTOs) who:
(A) Have been awarded a POST Basic Certificate (not Specialized);
(B) Have a minimum of one year general law enforcement uniformed patrol experience; and,
(C) Have been selected based upon a department-specific selection process; and,
(D) Meets the training requirements specified in 1004(d) below.
(5) Trainees shall be supervised depending upon their assignment
(A) A trainee assigned to general law enforcement uniformed patrol duties shall be under the direct and immediate supervision (physical presence) of a qualified Field Training Officer (as described in (4) above).
(B) A trainee temporarily assigned to non-enforcement, specialized function(s) for the purpose of specialized training or orientation (i.e., complaint/dispatcher, records, jail, investigations) is not required to be in the immediate presence of a qualified Field Training Officer while performing the specialized function(s).
(6) Trainee performance shall be:
(A) Documented daily through journaling, daily training notes, or Daily Observation Reports (DORs) and shall be reviewed with the trainee by the Field Training Officer; and,
(B) Monitored by a Field Training Program SAC, or designee, by review and signing of the DORs or, by completing and/or signing weekly written summaries of performance (e.g., Supervisor's Weekly Report, Coaching and Training Reports) that are reviewed with the trainee.
(7) Each Field Training Officer shall be evaluated by the trainee and a Field Training Supervisor/Administrator/Coordinator (SAC) as follows:
(A) The trainee shall complete an evaluation of each assigned Field Training Officer at the end of the Field Training Program.
(B) The Field Training Supervisor/Administrator/Coordinator (SAC) shall provide, at least annually, a detailed evaluation to each Field Training Officer on his/her performance as a Field Training Officer.
(8) Trainees shall complete an evaluation of the Field Training Program at the end of the program.
(9) The Field Training Officer's attestation of each trainee's competence and successful completion of the Field Training Program and a statement that releases the trainee from the program, along with the signed concurrence of the department head, or his/her designate, shall be retained in department records. Retention length shall be based upon department record policies.
An approved Field Training Program remains in force until modified, at which time a new approval is required.
(b) Program Exemption A department may request an exemption of the Field Training Program requirement if:
(1) The department does not provide general law enforcement uniformed patrol services; or
(2) The department hires only lateral entry officers possessing a POST Basic Certificate and who have either:
(A) Completed a POST-approved Field Training Program, or
(B) One year previous experience performing general law enforcement uniformed patrol duties.
Requests for an exemption shall be made on POST form 2-229 (Rev. 04/02), signed by the department head, along with written documentation attesting to the department's qualification(s) for an exemption. In the event that a department no longer meets the exemption criteria, a request for POST-approval of the department's Field Training Program shall be made as outlined in PAM, section D-13.
(c) Field Training Supervisor/Administrator/Coordinator (SAC) Training Requirement Every peace officer promoted, appointed, or transferred to a supervisory or management position overseeing a field training program shall successfully complete a POST-certified Field Training Supervisor/Administrator/Coordinator (SAC) Course (as set forth in PAM, section D-13) prior to or within 12 months of the initial promotion, appointment, or transfer to such a position.
(d) Field Training Officer (FTO) Training Requirements
(1) Every newly appointed FTO shall:
(A) Successfully complete a POST-certified Field Training Officer Course (as set forth in PAM, section D-13) prior to training new officers; and,
(B) Complete 24-hours of update training every three years following completion of the Field Training Officer Course. The update training shall be satisfied by:
1. Completing a POST-certified Field Training Officer Update Course (as set forth in PAM, section D-13); or,
2. Completing 24-hours of department-specific training in the field training topics contained in the Field Training Officer Update Course (as set forth in PAM, section D-13)
(2) Every reassigned FTO, after a 3 year-or-longer break in service as an FTO, shall
(A) Successfully complete a POST-certified Field Training Officer Update Course (as set forth in PAM, section D-13) prior to training new officers; and,
(B) Complete 24-hours of update training every three years. The update training shall be satisfied by:
1. Completing a POST-certified Field Training Officer Update Course (as set forth in PAM, section D-13); or,
2. Completing 24-hours of department-specific training in the field training topics contained in the Field Training Officer Update Course (as set forth in PAM, section D-13)
NOTE
Authority cited: Sections 13503, 13506, 13510 and 13510.5, Penal Code. Reference: Sections 13503, 13506, 13510 and 13510.5, Penal Code.
HISTORY
1. Repealer of subsection (b) filed 5-14-82; designated effective 7-1-82 (Register 82, No. 20).
2. Amendment of section and Note filed 8-10-2000; operative 9-9-2000 (Register 2000, No. 32).
3. Renumbering of former section 1004 to new section 1012 and new section 1004 filed 10-7-2002; operative 7-1-2003 (Register 2002, No. 41).
4. Amendment of subsection (a)(1) filed 10-7-2003; operative 11-6-2003 (Register 2003, No. 41).
5. Repealer of subsection (e) filed 12-29-2010; operative 1-1-2011 pursuant to Government Code section 11343.4 (Register 2010, No. 53).
6. Change without regulatory effect amending subsections (a) and (b) filed 11-26-2012 pursuant to section 100, title 1, California Code of Regulations (Register 2012, No. 48).
§1005. Minimum Standards for Training (Reference Regulation 1007 and Commission Procedure H for reserve peace officer training standards).
Note • History
(a) Minimum Entry-Level Training Standards (Required).
(1) Basic Course Requirement Every peace officer, except Reserve Levels II and III, those peace officers listed in Regulation 1005(a)(3) [peace officers whose primary duties are investigative], and 1005(a)(4) [coroners or deputy coroners], shall complete the Regular Basic Course before being assigned duties which include the exercise of peace officer powers. Requirements for the Regular Basic Course are set forth in PAM, section D-1-3.
(A) Field Training Program Requirement Every peace officer, except Reserve Levels II and III and those officers described in sections (B)1-5 (below), following completion of the Regular Basic Course and before being assigned to perform general law enforcement uniformed patrol duties without direct and immediate supervision, shall complete a POST-approved Field Training Program as set forth in PAM section D-13.
(B) Exemptions to the Field Training Program Requirement An officer is exempt from the Field Training Program requirement following completion of the Regular Basic Course:
1. While the officer's assignment remains custodial related, or
2. If the officer's employing department does not provide general law enforcement uniformed patrol services and the department has been granted an exemption as specified in Regulation 1004, or
3. If the officer is a lateral entry officer possessing a POST Basic Certificate and who has either:
a. Completed a POST-approved Field Training Program, or
b. One year previous experience performing general law enforcement uniformed patrol duties, or
4. If the officer was a Level I Reserve and is appointed to a full-time peace officer position within the same department and has previously completed the department's entire POST-approved Field Training Program within the last 12 months of the new appointment, or has the signed concurrence of the department head attesting to the individual's competence, based upon experience and/or other field training as a solo general law enforcement uniformed patrol officer, or
5. If the officer's employing department has obtained approval of a field training compliance extension request provided for in Regulation 1004.
More specific information regarding basic training requirements is located in Commission Procedure D-1.
(2) Every district attorney investigator or inspector (Penal Code section 830.1), regularly employed and paid as such, in addition to the Regular Basic Course training requirement set forth in Regulation 1005(a)(1) shall complete a POST-certified Investigation and Trial Preparation Course, PAM section D-14, within 12 months from the date of appointment.
(3) Every peace officer whose primary duties are investigative, except district attorney investigators or inspectors, shall complete, within 12 months from the date of appointment, the Regular Basic Course or the Specialized Investigators' Basic Course, PAM, section D-1-4, as elected by the department head. Departments in the following categories have been identified as primarily investigative and may exercise the option provided in this section: 1) state investigative agencies including the Supreme Court of California, (2) welfare investigations, 3) welfare fraud, (4) social services, 5) human assistance/services, and 6) District Attorney child support divisions or welfare fraud units (appointed under P.C. 830.35).
(4) Every coroner or deputy coroner [as defined in Penal Code section 830.35(c)], regularly employed and paid as such, shall satisfactorily complete the PC 832 Arrest and Firearms Course, PAM Section D-1-7, before the exercise of peace officer powers. In addition to the PC 832 Arrest and Firearms Course, satisfactory completion of the POST-certified Coroners' Death Investigation Course, PAM Section D-1-6, is also required within 12 months from date of appointment. The Coroners' Death Investigation Course requirement shall only apply to peace officer coroners hired on or after the agency enters the POST program.
(5) Every school police officer employed by a K-12 school district or California Community College district before July 1, 1999, in addition to the Regular Basic Course requirement set forth in Regulation 1005(a)(1), shall complete a POST-certified Campus Law Enforcement Course [(Regulation 1081(a)] no later than July 1, 2002. Every school police officer employed by a K-12 school district or California Community College district after July 1, 1999, in addition to the Regular Basic Course, shall complete a POST-certified Campus Law Enforcement Course within two years of the date of first appointment.
(6) Every airport peace officer (Penal Code section 830.33) regularly employed and paid as such, in addition to the Regular Basic Course training requirement set forth in Regulation 1005(a)(1), shall complete a POST-certified Aviation Security Course [Regulation 1081(a)], after appointment. Pursuant to Penal Code section 832.1, any airport peace officer who has not satisfactorily completed the Aviation Security Course within the prescribed time shall not continue to have the powers of a peace officer until the officer has satisfactorily completed the course.
(7) Every limited function peace officer shall satisfactorily meet the training requirements of the PC 832 Arrest and Firearms Course, PAM Section D-1-7; however training in the carrying and use of firearms shall not be required when an employing agency prohibits limited function peace officers the use of firearms.
(8) Every peace officer prior to exercising peace officer powers shall complete the requirements of Penal Code section 832, which may be part of the minimum basic training standard or a separately certified course.
(b) Supervisory Course (Required)
(1) Every peace officer promoted, appointed or transferred to a first-level supervisory position shall satisfactorily complete a certified Supervisory Course prior to promotion or within 12 months after the initial promotion, appointment or transfer to such position. An officer who will be appointed within 12 months to a first-level supervisory position or an officer assigned to a quasi-supervisory position may attend a Supervisory Course, if authorized by the department head. Requirements for the Supervisory Course are set forth in PAM, section D-3.
(2) Every department participating in the POST reimbursement program may be reimbursed for completion of the Supervisory Course by an officer as described in (b)(1) above, provided that the officer is full time and has been awarded or is eligible for the award of the Basic Certificate.
(c) Management Course (Required)
(1) Every peace officer promoted, appointed or transferred to a middle management position shall satisfactorily complete a certified Management Course prior to promotion or within 12 months after the initial promotion, appointment or transfer to such position. An officer who will be appointed within 12 months to a middle management or higher position or an officer who is assigned to a first-level supervisory position may attend a Management Course, if authorized by the department head. Completion of the Supervisory Course is a prerequisite to attending the Management Course. Requirements for the Management Course are set forth in PAM, section D-4.
(2) Every department participating in the POST reimbursement program may be reimbursed for completion of the Management Course by an officer described in (c)(1) above, provided the officer is full time and has satisfactorily completed the Supervisory Course.
(3) Every regular officer who is duly elected or appointed to the Board of Directors or Executive Board of a local Peace Officer Association or Deputy Sheriff Association may attend a certified Management Course if authorized by their department head. The officer's jurisdiction may be reimbursed following satisfactory completion of such training provided that the officer has satisfactorily completed the training requirements of the Supervisory Course.
(4) Every regular officer who is duly elected or appointed to the Board of Directors of a local Peace Officer Association or Deputy Sheriff Association and is on 100% release from their organization may attend the Management Course without prior approval of their department head.
(d) Continuing Professional Training (CPT) (Required) CPT is required for certain peace officer and dispatcher personnel who are employed by POST participating departments. The purpose of CPT is to maintain, update, expand, and/or enhance an individual's knowledge and/or skills. CPT is training that exceeds the training required to meet or requalify in entry-level minimum standards. Qualifying and non-qualifying courses are described in subsection (d)(3) below
(1) Requirement Every peace officer (other than a Level III Reserve Peace Office), every Public Safety Dispatcher, and every Public Safety Dispatch Supervisor shall satisfactorily complete the CPT requirement of 24 or more hours of POST-qualifying training during every two-year CPT cycle, based on the statewide CPT Anniversary Date as specified in subsection (d)(2) below.
Effective January 1, 2009, certain peace officers in specific duty assignments must satisfy a portion of the CPT requirement by completing Perishable Skills and Communications training as specified in (d)(4) below.
(2) Determination of Two-Year Cycle The beginning date for the two-year CPT cycle for all POST participating agencies will be January 1, 2009.
(A) CPT Cycle Start Effective January 1, 2009, the CPT Anniversary Date is used to start a peace officer's or dispatcher's CPT training cycle. The actual CPT cycle will start only after the employing department is an authorized participant in the POST Program.
1. One Time Transition Period For purposes of implementing the CPT Anniversary Date, a transition period, with no CPT requirement, is granted to all personnel appointed to any California peace officer or dispatcher position identified in (d)(1).
2. First-Time Appointments A grace period with no CPT requirements, is granted when an individual is appointed for the first time to one of the above (d)(1) positions. This grace period is the time period between the individual's appointment date and the first occurrence of the CPT Anniversary Date. It is granted to allow completion of entry-level requirements that do not count towards CPT.
3. Reappointments/Lateral Transfers A grace period, with no CPT requirement, is granted for an individual rehired into one of the above (d)(1) positions with the same department or who transfers to a different department. This grace period is the time between the date reappointed and the next cycle CPT Anniversary Date.
4. Reappointments A grace period, with no CPT requirement, is granted for an individual rehired into one of the above (d)(1) positions with the same department. This grace period is the time between the date reappointed and the next cycle CPT Anniversary Date.
(B) Status Changes As the CPT Anniversary Date is a statewide permanently assigned date, it does not change with status changes within a peace officer or dispatcher classification series (e.g., promotion, lateral transfer, probation, military leave or administrative leave, etc.)
(C) Dual Employment In some situations, an individual may have dual employment as a peace officer/peace officer, a dispatcher/dispatcher, or as a peace officer and a dispatcher.
1. Within the Same Classification The same requirement applies to a dispatcher working for two departments simultaneously. The individual holding two positions in the same classification (i.e., dispatcher/dispatcher classification) shall be held to the statewide CPT cycle.
2. Within Two Different Classifications The same requirement applies to an individual employed as a peace officer and a dispatcher whether within the same or different departments. (e.g., a peace officer who is also a dispatcher). In such cases, the CPT remains separate for the peace officer job and the dispatcher job. The CPT training must be job-related to qualify. See the examples in (C)(3) below.
3. Dual CPT Credit POST-certified training courses attended by an individual in dual employment, such as a peace officer and dispatcher, may count for CPT credit for both positions/classifications if the training course is job related for both a peace officer and a dispatcher. For example, a Tactical Shotgun course would not qualify as CPT for dispatchers. A Missing Persons course is job-related for both dispatcher and peace officer classifications and would qualify for dual CPT credit.
(D) CPT Training in Excess of 24 Hours POST-qualifying CPT training in excess of 24 hours during a two-year cycle shall not be credited toward any future or prior CPT cycles.
(3) Qualifying and Non-Qualifying Training The above CPT requirement is met by satisfactory completion of one or more POST-certified courses totaling a minimum of 24 hours, as referenced below.
(A) While recommended topics for CPT are listed in PAM Section D-2, POST-certified training courses may be used for CPT credit, with the exception of the following POST-certified courses that do not qualify for CPT:
Regular Basic Course -- Standard Format
Regular Basic Course -- Modular Format (all components)
Field Training Program
Investigation and Trial Preparation Course
Specialized Investigators' Basic Course
PC 832, Arrest and Firearms Course
Coroners' Death Investigation Course
Campus Law Enforcement Course
Aviation Security Course
Public Safety Dispatcher's Basic Course
POST Requalification Course
POST Workshops (those designed to provide input or advice to
POST)
Field Management Training
Team Building Workshops
(B) The CPT requirement may be satisfied by an alternative method of compliance as determined by the Commission, i.e., non-POST-certified courses. Reference Regulation 1060 and PAM section D-2-3.
(4) Perishable Skills/Communications Requirements for CPT Effective January 1, 2002, all peace officers (except reserve officers) below the middle management position and assigned to patrol, traffic, or investigation who routinely effect the physical arrest of criminal suspects are required to complete Perishable Skills and Communications training. In-lieu of completing the training, the requirement may be met by successfully passing a presenter-developed test that measures the approved training objectives.
(A) Perishable Skills training shall consist of a minimum of 12 hours in each two-year period. Of the total 12 hours required, a minimum of 4 hours of each of the three following topical areas shall be completed:
1. Arrest and Control
2. Driver Training/Awareness or Driving Simulator*
3. Tactical Firearms* or Force Options Simulator
*Reference Commission Procedure D-2 for minimum requirements.
(B) Communications training, either tactical or interpersonal, shall consist of a minimum of 2 hours in each two-year period as specified in Commission Procedure D-2.
It is recommended that managers and executives complete, within their two-year compliance cycle, two hours of CPT devoted to updates in the perishable skills topical areas enumerated above.
(C) Exemptions Agencies may request an exemption from all or part of the Perishable Skills and Communications training requirement. Agencies must request an exemption in writing and provide an attestation that their peace officers do not carry firearms, or they infrequently interact with or effect physical arrests of criminal suspects, or do not utilize marked emergency vehicles during normal course of business.
(e) Executive Development Course (Optional)
(1) The Executive Development Course is designed for department heads and their executive staff positions. An officer who will be appointed within 12 months to a department head or executive position may attend the Executive Development Course, provided the officer has satisfactorily completed the Management Course. Requirements for the Executive Development Course are set forth in PAM Section D-5.
(2) Every department participating in the POST reimbursement program may be reimbursed for completion of the Executive Development Course by an officer as described in (e)(1) above, provided the officer is full time and has satisfactorily completed the Management Course.
(3) The Executive Director may waive the Management Course completion prerequisite for a chief executive who has completed training comparable to a POST Management Course. The application and evaluation processes are described in PAM Section D-15, Management Course Prerequisite Waiver Process for Attending the Executive Development Course.
(f) Legislatively-Mandated Training
(1) Specific training mandated by the legislature is specified in Regulation 1081.
(g) Field Management Training (Optional)
(1) Field Management Training is designed to assist in the solution of specific management problems within individual Regular Program departments.
(2) Requirements for Field Management Training are set forth in PAM, section D-9.
(h) Records Supervisor Training (The following courses are required only for records supervisors applying for the Records Supervisor Certificate.)
(1) Public Records Act (minimum 16 hours) and
(2) Records Supervisor Course (minimum 40 hours)
PAM section D-1-1 adopted effective September 26, 1990 and amended January 14, 1994, August 7, 1996, January 1, 2001, January 1, 2004, and September 15, 2004 is herein incorporated by reference.
PAM section D-1-2 adopted effective September 26, 1990 and amended January 11, 1992, January 14, 1994, August 7, 1996, February 13, 1997, September 25, 1998, January 1, 2004, September 15, 2004, and August 26, 2006.
PAM section D-1-3 adopted effective April 15, 1982, and amended January 24, 1985, September 26, 1990, January 14, 1994, July 16, 1994, December 16, 1994, August 16, 1995, August 7, 1996, November 27, 1996, February 22, 1997, August 16, 1997, December 4, 1997, January 1, 2001, January 1, 2002, April 10, 2002, January 1, 2004, September 15, 2004, January 1, 2006, January 19, 2007, July 1, 2007, January 1, 2009, and July 21, 2012 is herein incorporated by reference.
PAM section D-1-4 adopted effective October 20, 1983, and amended September 26, 1990, October 27, 1991, January 14, 1994, May 7, 1995, July 21, 2000, January 1, 2001, July 1, 2002, September 15, 2004, January 1, 2006, January 19, 2007, July 1, 2007, January 1, 2009, and May 3, 2012 is herein incorporated by reference.
PAM Section D-1-6 adopted effective February 4, 1993 is herein incorporated by reference.
PAM section D-1-7 adopted effective January 1, 2004, and amended September 15, 2004, January 1, 2006, January 1, 2009, and May 3, 2012 is herein incorporated by reference.
PAM section D-2 adopted effective April 15, 1982, and amended January 24, 1985, July 1, 2000, September 11, 2000, November 11, 2000, January 1, 2002, September 12, 2002, May 7, 2003, August 7, 2003, January 29, 2004, September 12, 2005, August 26, 2006, and January 29, 2011, is herein incorporated by reference.
PAM section D-3 adopted effective April 15, 1982, and amended October 20, 1983, January 29, 1988, and March 8, 2003 is herein incorporated by reference.
PAM section D-4 adopted effective April 15, 1982 and amended November 2, 2000 and January 20, 2006 is herein incorporated by reference.
PAM section D-13 adopted effective June 15, 1990 and amended February 22, 1996, January 1, 1999, July 1, 2004, January 1, 2012, and January 1, 2013 is herein incorporated by reference.
PAM section D-14 adopted effective January 1, 2002, amended January 1, 2006, and January 1, 2009, is herein incorporated by reference.
PAM section D-15 adopted effective January 20, 2006 is herein incorporated by reference.
PAM section H-3 adopted effective June 15, 1990, and amended effective July 1, 1992, is herein incorporated by reference.
The document, Training Specifications for the Investigation and Trial Preparation Course, adopted effective January 1, 2002, and amended January 1, 2009, is herein incorporated by reference.
The document, Training and Testing Specifications for Peace Officer Basic Courses, adopted effective January 1, 2001, and amended effective October 1, 2001, January 1, 2002, July 1, 2002, January 1, 2003, January 1, 2004, August 15, 2004, September 15, 2004, July 1, 2005, January 1, 2006, January 19, 2007, July 1, 2007, August 8, 2007, January 1, 2008, July 1, 2008, January 1, 2009, July 1, 2009, January 1, 2010, July 1, 2010, July 1, 2011, January 1, 2012, July 1, 2012, and January 1, 2013 is herein incorporated by reference.
The document, Instructor's Guide to Learning Activities for Leadership, Ethics and Community Policing December 2005, adopted effective January 1, 2006 is herein incorporated by reference.
The document POST Basic Courses Test Management and Security Protocols 2012 adopted effective January 1, 2009, and amended May 3, 2012 is herein incorporated by reference.
The Work Sample Test Battery Proctor Manual -- 2012 adopted effective July 21, 2012 is herein incorporated by reference.
NOTE
Authority cited: Sections 832.1, 832.3, 832.6, 13503, 13506, 13510, 13510.3, 13510.5 and 13519.8, Penal Code. Reference: Sections 830.33, 832, 832.1, 832.3, 832.3(f) and (h), 832.6, 13506, 13510, 13510.3, 13510.5, 13511, 13513, 13514, 13516, 13517, 13519.8, 13520 and 13523, Penal Code.
HISTORY
1. Renumbering of former subsections (a)(5) and (a)(6) to subsections (a)(6) and (a)(7), and new subsection (a)(5) filed 12-18-89; operative 1-17-90 (Register 89, No. 51). For prior history, see Register 88, No. 3.
2. Amendment of subsection (g)(2) filed 4-26-90; operative 5-26-90 (Register 90, No. 21).
3. Amendment filed 5-16-90; operative 6-15-90 (Register 90, No. 21).
4. Amendment of subsection (a) and PAM sections D-1-3, D-1-4, D-1-5, and D-1-6 and the adoption and incorporation by reference of PAM D-1-1, D-1-2, the POST Basic Academy Physical Conditioning Manual (February 1990), and Performance Objectives for the POST Basic Course - 1989, filed 8-27-90; operative 9-26-90 (Register 90, No. 42).
5. Amendment of Performance Objectives for the POST Basic Course (1989) filed 5-30-91; operative 6-29-91 (Register 91, No. 28).
6. Amendment filed 9-27-91; operative 10-28-91 (Register 91, No. 51).
7. Amendment of subsection (j)(2) filed 12-12-91; operative 1-13-92 (Register 92, No. 9).
8. Amendment of subsection (j)(2) filed 12-23-91; operative 7-1-92 (Register 92, No. 19).
9. Amendment of subsection (j)(2) filed 9-28-92; operative 10-28-92 (Register 92, No. 40).
10. New subsection (a)(5), subsection renumbering, and adoption and incorporation by reference of PAM D-1-8 filed 1-5-93; operative 2-4-93 (Register 93, No. 2).
11. Amendment of subsection (j)(2) and adoption and incorporation by reference of document Performance Objectives for the POST Basic Course filed 3-29-93; operative 4-28-93 (Register 93, No. 14).
12. Amendment of subsection (j)(2) and incorporated by reference of Commission Procedure D-1 filed 12-15-93; operative 1-14-94 (Register 93, No. 51).
13. Amendment of subsection (j)(2) and documents PAM section D-1-3 and Training Specifications for the Regular Basic Course incorporated by reference filed 6-16-94; operative 7-16-94 (Register 94, No. 24).
14. Amendment of subsection (j)(2) and documents PAM section D-1-3 and Training Specifications for the Regular Basic Course incorporated by reference filed 11-16-94; operative 12-16-94 (Register 94, No. 46).
15. Amendment of subsection (a)(4), amendment of PAM section D-1-6 (incorporated by reference), and repealer and new document, Training Specifications for the Specialized Investigators' Basic Course -- 1995 (incorporated by reference), filed 4-7-95; operative 5-8-95 (Register 95, No. 14).
16. Amendment of subsections (d)(1)-(2) filed 4-17-95; operative 5-17-95 (Register 95, No. 16).
17. Amendment of document, Training Specifications for the Regular Basic Course (incorporated by reference) filed 7-13-95; operative 8-12-95 (Register 95, No. 28).
18. Amendment of document, Training Specifications for the Regular Basic Course (incorporated by reference) filed 7-17-95; operative 8-16-95 (Register 95, No. 29).
19. Amendment of document, Training Specification for the Regular Basic Course (incorporated by reference) filed 7-24-95; operative 8-23-95 (Register 95, No. 30).
20. Amendment of document, Training Specification for the Regular Basic Course (incorporated by reference) filed 7-25-95; operative 8-24-95 (Register 95, No. 30).
21. Amendment of document, Training Specifications for the Regular Basic Course (incorporated by reference) and Note filed 8-21-95; operative 9-20-95 (Register 95, No. 34).
22. Amendment of document, Training Specifications for the Regular Basic Course (incorporated by reference) filed 10-11-95; operative 11-10-95 (Register 95, No. 41).
23. Amendment of penultimate paragraph and amendment of document, Training Specifications for the Regular Basic Course (incorporated by reference) filed 1-18-96; operative 2-17-96 (Register 96, No. 3).
24. Amendment of subsection (d)(1), PAM section D-13 (incorporated by reference) and Note filed 1-23-96; operative 2-22-96 (Register 96, No. 4).
25. Amendment of penultimate paragraph and amendment of document, Training Specifications for the Regular Basic Course (incorporated by reference) filed 2-28-96; operative 3-29-96 (Register 96, No. 9).
26. Amendment of subsections (a)(3)-(5), repealer of PAM section D-1-5 and PAM section renumbering (incorporated by reference) and amendment of Note filed 4-2-96; operative 5-2-96 (Register 96, No. 14).
27. Amendment of penultimate paragraph and amendment of document, Training Specifications for the Regular Basic Course (incorporated by reference) filed 4-17-96; operative 5-17-96 (Register 96, No. 16).
28. Amendment of PAM sections D-1-1, D-1-2 and D-1-3 (incorporated by reference), and adoption of the Training Specifications for the Reserve Module “D” - 1995 (incorporated by reference) filed 7-8-96; operative 8-7-96 (Register 96, No. 28).
29. Amendment of PAM section D-1-3 (incorporated by reference) and amendment of Post Administrative Manual, Commission Procedure D-1, (incorporated by reference) filed 10-28-96; operative 11-27-96 (Register 96, No. 44).
30. Amendment of antepenultimate paragraph and amendment of document, Training Specification for the Regular Basic Course (incorporated by reference) filed 11-13-96; operative 12-13-96 (Register 96, No. 46).
31. Amendment of subsection (d)(2) filed 11-20-96; operative 12-20-96 (Register 96, No. 47).
32. Amendment of antepenultimate paragraph and amendment of document, Training Specifications for the Regular Basic Course (incorporated by reference) filed 1-13-97; operative 2-12-97 (Register 97, No. 3).
33. Amendment of subsection (h)(2) and PAM section D-1-2 (incorporated by reference) filed 1-14-97; operative 2-13-97 (Register 97, No. 3).
34. Amendment of subsection (j)(2), PAM section D-1-3 (incorporated by reference), and The POST Basic Academy Physical Conditioning Manual (incorporated by reference) filed 1-23-97; operative 2-22-97 (Register 97, No. 4).
35. Change without regulatory effect amending subsection (j)(2) and PAM section D-1-3 (incorporated by reference) filed 2-13-97; operative 3-15-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 7).
36. Amendment of antepenultimate paragraph and amendment of document, Training Specifications for the Regular Basic Course (incorporated by reference) filed 4-16-97; operative 5-16-97 (Register 97, No. 16).
37. Amendment of antepenultimate paragraph and amendment of document, Training Specifications for the Regular Basic Course (incorporated by reference) filed 6-5-97; operative 7-5-97 (Register 97, No. 23).
38. Amendment of subsection (j)(2) and PAM section D-1-3 (incorporated by reference) filed 7-17-97; operative 8-16-97 (Register 97, No. 29).
39. Amendment of last paragraph and amendment of the document, Training Specifications for the Reserve Training Module “D” (incorporated by reference) filed 7-25-97; operative 8-24-97 (Register 97, No. 30).
40. Amendment of subsections (j)(2) and PAM section D-1-3 (incorporated by reference) filed 11-4-97; operative 12-4-97 (Register 97, No. 45).
41. Amendment of antepenultimate paragraph and amendment of document Training Specifications for the Regular Basic Course (incorporated by reference) filed 12-15-97; operative 1-14-97 (Register 97, No. 51).
42. New subsections (k)-(k)(2) and amendment of Note filed 1-9-98; operative 2-8-98 (Register 98, No. 2).
43. Editorial correction of subsection (k)(2) (Register 98, No. 9).
44. Amendment of antepenultimate paragraph and amendment of document, Training Specifications for the Regular Basic Course (incorporated by reference) filed 3-12-98; operative 4-11-98 (Register 98, No. 11).
45. Editorial change amending History 35 (Register 98, No. 20).
46. Amendment of subsections (a)-(a)(1) and (a)(1)(C) and (D), new subsections (a)(2)-(a)(2)(D), subsection renumbering, amendment of newly designated subsections (a)(3)-(5) and (a)(9), amendment of subsection (k)(2), and amendment of Form 2-229 and PAM section D-13 (incorporated by reference) filed 7-15-98; operative 1-1-99 (Register 98, No. 29).
47. Editorial correction of History 46 (Register 98, No. 35).
48. Amendment of subsections (a)(3) and (k)(2) and PAM section D-1-4 (incorporated by reference) filed 8-25-98; operative 9-24-98 (Register 98, No. 35).
49. Amendment of last paragraph and amendment of document, Training Specifications for the Reserve Training Module “D” (incorporated by reference) filed 8-27-98; operative 9-26-98 (Register 98, No. 35).
50. Amendment of antepenultimate and last paragraphs and amendment of document, Training Specifications for the Reserve Training Module “D” (incorporated by reference) filed 10-27-98; operative 11-26-98 (Register 98, No. 44).
51. Amendment of subsections (g)-(g)(2) filed 3-22-99; operative 4-21-99 (Register 99, No. 13).
52. Amendment of subsections (d)(1)-(2), repealer of subsection (d)(3), new subsections (d)(3)-(4), subsection renumbering, repealer of subsections (f)-(f)(2) and (h)-(h)(2), subsection relettering, and amendment of PAM section D-2 (incorporated by reference) filed 8-19-99; operative 7-1-2000 (Register 99, No. 34).
53. Amendment of PAM section D-1-5 and amendment of document Training Specifications for the Specialized Investigators' Basic Course (both incorporated by reference) filed 7-21-2000; operative 7-21-2000 pursuant to Government Code section 11343.4(d) (Register 2000, No. 29).
54. Amendment of section heading, section and Note filed 8-10-2000; operative 9-9-2000 (Register 2000, No. 32).
55. Amendment of subsection (h)(2) and PAM section D-4 (incorporated by reference) filed 10-3-2000; operative 11-2-2000 (Register 2000, No. 40).
56. Amendment of subsections (d)(2) and (h)(2) and PAM section D-2 (incorporated by reference) filed 10-12-2000; operative 11-11-2000 (Register 2000, No. 41).
57. Amendment of PAM sections D-1-1, D-1-3 and D-1-5 (incorporated by reference), repealer and new antepenultimate paragraph and replacement of the document Training Specifications for the Regular Basic Course with the new document Training and Testing Specifications for Peace Officer Basic Courses (incorporated by reference) and amendment of last two paragraphs filed 12-29-2000; operative 1-1-2001 pursuant to Government Code section 11343.4(d) (Register 2000, No. 52).
58. Amendment of PAM section D-1-3 (incorporated by reference) filed 1-3-2001; operative 1-1-2002 (Register 2001, No. 1).
59. Amendment of subsection (d)(2) and amendment of PAM section D-2 (incorporated by reference) filed 5-22-2001; operative 1-1-2002 (Register 2001, No. 21).
60. New subsections (c)(3)-(4) filed 8-2-2001; operative 9-1-2001 (Register 2001, No. 31).
61. Editorial correction of document titles in penultimate and antepenultimate paragraphs (Register 2001, No. 33).
62. Amendment of antepenultimate paragraph and amendment of document Training and Testing Specifications for Peace Officer Basic Courses (incorporated by reference) filed 8-16-2001; operative 10-1-2001 (Register 2001, No. 33).
63. Editorial correction of subsection (h)(2) (Register 2001, No. 38).
64. Repealer of PAM section D-1-4, renumbering of PAM sections, new PAM section D-14 and new document Training Specifications for the Investigation and Trial Preparation Course (all incorporated by reference) filed 10-17-2001; operative 1-1-2002 (Register 2001, No. 42).
65. Amendment of PAM section D-1-3 and amendment of the document, Training and Testing Specifications for Peace Officer Basic Courses (both incorporated by reference) and amendment of the antepenultimate paragraph filed 12-5-2001; operative 1-1-2002 pursuant to Government Code section 11343.4 (Register 2001, No. 49). 66. Change without regulatory effect amending subsection (d)(2) and PAM section D-2 (incorporated by reference) filed 1-14-2002 pursuant to section 100, title 1, California Code of Regulations (Register 2002, No. 3).
66. Change without regulatory effect amending subsection (d)(2) and PAM section D-2 (incorporated by reference) filed 1-14-2002 pursuant to section 100, title 1, California Code of Regulations (Register 2002, No. 3).
67. Amendment of PAM section D-1-3 (incorporated by reference) and repealer of the document Training Specifications for the Reserve Training Module ``D”-- Modular Format (incorporated by reference) filed 3-11-2002; operative 4-10-2002 (Register 2002, No. 11).
68. Amendment of penultimate paragraph and amendment of the document, Training and Testing Specifications for Peace Officer Basic Courses (incorporated by reference) filed 4-26-2002; operative 7-1-2002 (Register 2002, No. 17).
69. Amendment of subsection (h)(2), amendment of PAM section D-1-4, amendment of the document, Training and Testing Specifications for Peace Officer Basic Courses and elimination of the document, Training Specifications for the Specialized Investigators' Basic Course (all incorporated by reference) filed 5-21-2002; operative 7-1-2002 (Register 2002, No. 21).
70. Amendment of subsection (h)(2) and amendment of Learning Domains #23 and #36 within the document, Training and Testing Specifications for Peace Officer Basic Courses (incorporated by reference) filed 5-24-2002; operative 7-1-2002 (Register 2002, No. 21).
71. Amendment of subsection (h)(2) and amendment of PAM section D-2 (incorporated by reference) filed 8-13-2002; operative 9-12-2002 (Register 2002, No. 33).
72. Amendment of subsections (a) and (a)(1)(A), redesignation and amendment of portion of subsection (a)(1)(A) and subsections (a)(1)(A)1.-4. as new subsections (a)(1)(B)-(a)(1)(B)5., amendment of PAM section D-13 (incorporated by reference) and repealer of the POST Field Training Guide (incorporated by reference) filed 10-7-2002; operative 7-1-2003 (Register 2002, No. 41).
73. Amendment of last paragraph and amendment of document Training and Testing Specifications for Peace Officer Basic Courses (incorporated by reference) filed 11-26-2002; operative 1-1-2003 (Register 2002, No. 48).
74. Amendment of PAM section D-3 (incorporated by reference) and amendment of subsection (h) filed 2-6-2003; operative 3-8-2003 (Register 2003, No. 6).
75. Amendment of subsections (d)(1)-(4) and (h)(2) and amendment of PAM section D-2 (incorporated by reference) filed 4-7-2003; operative 5-7-2003 (Register 2003, No. 15).
76. Amendment of subsection (h)(2) and amendment of PAM section D-13 (incorporated by reference) filed 5-5-2003 as an emergency; operative 5-5-2003 (Register 2003, No. 19). A Certificate of Compliance must be transmitted to OAL by 9-2-2003 or emergency language will be repealed by operation of law on the following day.
77. Amendment of subsection (d)(3) filed 7-8-2003; operative 8-7-2003 (Register 2003, No. 28).
78. Amendment of subsections (a)(4), (a)(6), (h)(2) and PAM sections D-1-1 and D-1-3, new PAM section D-1-7 (PAM sections incorporated by reference) and amendment of last paragraph filed 8-21-2003; operative 1-1-2004 (Register 2003, No. 34).
79. Editorial correction inserting inadvertently omitted text in subsection (a)(1)(B)4. and correcting History 76 (Register 2003, No. 40).
80. Certificate of Compliance as to 5-5-2003 order, including amendment of subsections (a), (a)(1)(B)1.b) and (a)(1)(B)4., transmitted to OAL 8-26-2003 and filed 10-7-2003 (Register 2003, No. 41).
81. Amendment of last paragraph and further amendment of version of document Training and Testing Specifications for Peace Officer Basic Courses effective 1-1-2004 (incorporated by reference) filed 11-13-2003; operative 1-1-2004 (Register 2003, No. 46).
82. Amendment of subsection (d)(3) and amendment of Commission Procedure D-2 (incorporated by reference) filed 12-30-2003; operative 1-29-2004 (Register 2004, No. 1).
83. Amendment of last paragraph and amendment of document Training and Testing Specifications for Peace Officer Basic Courses (incorporated by reference) filed 7-7-2004; operative 8-15-2004 (Register 2004, No. 28).
84. Amendment of PAM sections D-1-1, D-1-2, D-1-3, D-1-4 and D-1-7, amendment of last paragraph and amendment of document Training and Testing Specifications for Peace Officer Basic Courses (incorporated by reference) filed 8-26-2004; operative 9-15-2004 pursuant to Government Code section 11343.4 (Register 2004, No. 35).
85. Amendment of last paragraph and amendment of document Training and Testing Specifications for Peace Officer Basic Courses (incorporated by reference) filed 6-15-2005; operative 7-1-2005 pursuant to Government Code section 11343.4 (Register 2005, No. 24).
86. Amendment of subsections (d)-(d)(1), new subsections (d)(2)-(3)(F), subsection renumbering and amendment of newly designated subsections (d)(4)-(d)(5)(C) filed 8-1-2005; operative 8-1-2005 pursuant to Government Code section 11343.4 (Register 2005, No. 31).
87. Amendment of PAM section D-2 (incorporated by reference) and amendment of subsection (h)(2) filed 8-12-2005; operative 9-11-2005 (Register 2005, No. 32).
88. Amendment of PAM sections D-1-3, D-1-4, D-1-7 and D-14 and document Training and Testing Specifications for Peace Officer Basic Courses, new document Instructor's Guide to Learning Activities for Leadership, Ethics and Community Policing December 2005 (all incorporated by reference) and amendment of subsection (h)(2) filed 12-22-2005; operative 1-1-2006 pursuant to Government Code section 11343.4 (Register 2005, No. 51).
89. New subsection (e)(3), new PAM section D-15 (incorporated by reference) and amendment of subsection (h)(2) filed 1-19-2006; operative 1-20-2006 pursuant to Government Code section 11343.4 (Register 2006, No. 3).
90. Amendment of PAM sections D-1-2 and D-2 (incorporated by reference) and amendment of subsection (h)(2) filed 7-27-2006; operative 8-26-2006 (Register 2006, No. 30).
91. Amendment of PAM sections D-1-3 and D-1-4, and document Training and Testing Specifications for Peace Officer Basic Courses (all incorporated by reference) and amendment of subsection (h)(2) filed 1-19-2007; operative 1-19-2007 pursuant to Government Code section 11343.4(c) (Register 2007, No. 3).
92. Amendment of subsections (h) and (h)(2) filed 2-2-2007; operative 3-4-2007 (Register 2007, No. 5).
93. Amendment of PAM sections D-1-3 and D-1-4 and document Training and Testing Specifications for Peace Officer Basic Courses (all incorporated by reference) and amendment of subsection (h)(2) filed 6-1-2007; operative 7-1-2007 (Register 2007, No. 22).
94. Amendment of penultimate paragraph and document Training and Testing Specifications for Peace Officer Basic Courses (incorporated by reference) filed 8-8-2007; operative 8-8-2007 pursuant to Government Code section 11343.4 (Register 2007, No. 32).
95. Amendment of penultimate paragraph and document Training and Testing Specifications for Peace Officer Basic Courses filed 12-10-2007; operative 1-1-2008 pursuant to Government Code section 11343.4 (Register 2007, No. 50).
96. Amendment of penultimate paragraph and document Training and Testing Specifications for Peace Officer Basic Courses (incorporated by reference) filed 6-17-2008; operative 7-1-2008 pursuant to Government Code section 11343.4 (Register 2008, No. 25).
97. Amendment of PAM section D-14 and document Training Specifications for the Investigation and Trial Preparation Course (incorporated by reference) and amendment of subsection (h)(2) filed 10-14-2008; operative 11-13-2008 (Register 2008, No. 42).
98. Amendment of subsections (a)(3)-(4), (a)(6) and (h)(2) and PAM sections D-1-3, D-1-4 and D-1-7 (incorporated by reference), new document POST Basic Courses Test Administration and Security Guidelines 2009 (incorporated by reference) and new final paragraph filed 10-28-2008; operative 1-1-2009 (Register 2008, No. 44).
99. New subsection (a)(6), subsection renumbering and amendment of Note filed 11-7-2008; operative 12-7-2008 (Register 2008, No. 45).
100. Amendment of antepenultimate paragraph and document Training and Testing Specifications for Peace Officer Basic Courses (incorporated by reference) filed 12-2-2008; operative 1-1-2009 (Register 2008, No. 49).
101. Amendment of subsection (d)(1), repealer of subsections (d)(2), (d)(2)(C) and (d)(2)(F), subsection renumbering and relettering, amendment of newly designated subsections (d)(2)-(d)(2)(A)(3) and (d)(2)(C)1.-2. and new subsection (d)(2)(A)(4) filed 12-31-2008; operative 1-1-2009 pursuant to Government Code section 11343.4 (Register 2009, No. 1).
102. Amendment of antepenultimate paragraph and amendment of the document Training and Testing Specifications for Peace Officer Basic Courses (incorporated by reference) filed 5-21-2009; operative 7-1-2009 (Register 2009, No. 21).
103. Amendment of antepenultimate paragraph and amendment of document Training and Testing Specifications for Peace Officer Basic Courses (incorporated by reference) filed 11-9-2009; operative 1-1-2010 (Register 2009, No. 46).
104. Amendment establishing correct hierarchy of subsection designators within subsection (d)(2), renumbering former subsection (d)(4) to (d)(3) and renumbering former subsection (d)(5) to (d)(4) filed 6-9-2010; operative 7-1-2010 pursuant to Government Code section 11343.4 (Register 2010, No. 24).
105. Amendment of the document, Training and Testing Specifications for Peace Officer Basic Courses (incorporated by reference) and amendment of antepenultimate paragraph filed 6-9-2010; operative 7-1-2010 pursuant to Government Code section 11343.4 (Register 2010, No. 24).
106. Amendment of subsections (d)(1) and (d)(3)(A)-(B) filed 12-29-2010; operative 1-1-2011 pursuant to Government Code section 11343.4 (Register 2010, No. 53).
107. Amendment of subsections (d) and (d)(3)(B) and PAM section D-2-3 (incorporated by reference) filed 12-30-2010; operative 1-29-2011 (Register 2010, No. 53).
108. Amendment of document Training and Testing Specifications for Peace Officer Basic Courses (incorporated by reference) and amendment of antepenultimate paragraph filed 4-19-2011; operative 7-1-2011 (Register 2011, No. 16).
109. Amendment of PAM section D-13 filed 9-28-2011; operative 1-1-2012 (Register 2011, No. 39).
110. Amendment of document Training and Testing Specifications for Peace Officer Basic Courses (incorporated by reference) and amendment of antepenultimate paragraph filed 10-25-2011; operative 1-1-2012 (Register 2011, No. 43).
111. Amendment of document Training and Testing Specifications for Peace Officer Basic Courses (incorporated by reference) and amendment of antepenultimate paragraph filed 3-14-2012; operative 7-1-2012 (Register 2012, No. 11).
112. Amendment of PAM sections D-1-3, D-1-4 and D-1-7 (incorporated by reference), redesignation and amendment of document POST Basic Courses Test Administration and Security Guidelines 2009 as POST Basic Courses Test Management and Security Protocols 2012 (incorporated by reference) and amendment of final paragraph filed 4-3-2012; operative 5-3-2012 (Register 2012, No. 14).
113. Amendment of subsection (h)(2) and PAM Section D-1-3 (incorporated by reference), removal of POST Basic Academy Physical Conditioning Manual and adoption of Work Sample Test Battery Proctor Manual--2012 (incorporated by reference) filed 6-21-2012; operative 7-21-2012 (Register 2012, No. 25).
114. Amendment of document Training and Testing Specifications for Peace Officer Basic Courses (incorporated by reference) filed 6-26-2012; operative 7-1-2012 pursuant to Government Code section 11343.4 (Register 2012, No. 26).
115. Amendment of PAM section D-13 (incorporated by reference) and amendment of subsection (h)(2) filed 11-15-2012; operative 1-1-2013 (Register 2012, No. 46).
116. Amendment of document Training and Testing Specifications for Peace Officer Basic Courses (incorporated by reference) and amendment of subsection (h)(2) filed 11-15-2012; operative 1-1-2013 (Register 2012, No. 46).
117. Change without regulatory effect amending section filed 11-26-2012 pursuant to section 100, title 1, California Code of Regulations (Register 2012, No. 48).
§1006. Extension of Time Limit for Course Completion.
Note • History
(a) The Commission will grant an extension of time limit for completion of any course required by Sections 1005, 1007 or 1018 of the Regulations upon presentation of satisfactory evidence by a department that a trainee, peace officer, reserve peace officer, or dispatcher is unable to complete the required course within the time limit prescribed because of illness, injury, military service, or special duty assignment required and made in the public interest of the concerned jurisdiction, or upon presentation of evidence by a department that a trainee, peace officer, reserve peace officer, or dispatcher is unable to complete the required course within the time prescribed. Time extensions granted under this subsection shall not exceed that which is reasonable, bearing in mind each individual circumstance.
(b) In the event that a department in the Regular Program does not require an individual to complete the applicable training by the end of the extension period, such department shall not be eligible for the reimbursement of any expenses which are incurred as a result of the training when it finally occurs; in the event that an agency in the Specialized Program does not require an individual to complete the applicable training by the end of the extension period, such agency shall not be eligible for participation in the Specialized Law Enforcement Certification Program.
NOTE
Authority cited: Section 13506, Penal Code. Reference: Sections 13510 and 13510.5, Penal Code.
HISTORY
1. Amendment filed 2-10-83; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 83, No. 7).
2. Amendment of subsection (a) filed 11-29-88; operative 12-29-88 (Register 88, No. 51).
3. Amendment of subsection (a) filed 1-23-96; operative 2-22-96 (Register 96, No. 4).
4. Amendment of subsection (a) filed 12-29-2010; operative 1-1-2011 pursuant to Government Code section 11343.4 (Register 2010, No. 53).
§1007. Reserve Officer Minimum Training Standards.
Note • History
(a) Every reserve peace officer shall be trained in conformance with the following requirements:
(1) Level I Reserve Peace Officers
(A) Minimum Training Requirement Every Level I reserve peace officer [defined in PAM, section H-1-2(a)], before being assigned to duties which include the exercise of peace officer powers, shall satisfactorily complete the training requirements of the Regular Basic Course or its equivalents (PAM, section D-1-3).
(B) Exemption to Minimum Training Requirement The Regular Basic Course, or its equivalents, will not be required for a Level I reserve peace officer if:
1. The Level I reserve peace officer has previously satisfied the training requirements specified for Level I reserve peace officers in Commission Procedure H-3-2 or H-3-3(a)-(c); and
2. Is appointed to a non-designated Level I reserve peace officer position; and
3. The new appointment is within three years of the date of last service as a Level I reserve peace office.
(C) Field Training Requirement All Level I reserve officers, upon completing the Regular Basic Course or its equivalent, shall complete a POST-approved Field Training Program (PAM, section D-13) prior to working alone in a general law enforcement assignment. The Field Training Program, which shall be delivered over a minimum of 10 weeks (400 hours), shall be based upon structured learning content as recommended in the POST Field Training Program Guide or upon a locally developed field training guide which includes the minimum POST-specified topics which are listed in the POST Field Training Program Guide.
(D) Exemption to Field Training Requirement A Level I reserve peace officer is exempt from the Field Training Program requirement if the Level I reserve peace officer is reappointed to a Level I position with less than a three year break in service [see (B) above] and has successfully completed:
1. Modules A, B and C and 200 hours of structured field training; or
2. The Regular Basic Course or its equivalent and 400 hours of a POST-approved Field Training Program.
(E) Continuing Professional Training Every Level I reserve peace officer shall also satisfy the Continuing Professional Training requirement set forth in Regulation 1005(d).
(2) Level II Reserve Peace Officers
(A) Minimum Training Requirement Every Level II reserve peace officer [defined in PAM, section H-1-2(b)], before being assigned to duties which include the exercise of peace officer powers, shall satisfactorily complete the POST-certified Module III and Module II (PAM, section D-1-3).
(B) Exemption to Minimum Training Requirement Module III and the Module II will not be required for a Level II reserve peace officer if:
1. The Level II reserve peace officer has previously satisfied the training requirements specified for Level I or II reserve peace officers in PAM Section H-3-2 or H-3-3(a)-(c); and
2. The new appointment is within three years of the date of last service as a Level I or II reserve peace officer.
(C) Continuing Profession Training. Every Level II reserve peace officer shall also satisfy the Continuing Professional Training requirement set forth in Regulation 1005(d).
(3) Level III Reserve Peace Officers
(A) Minimum Training Requirement. Every Level III reserve peace officer [defined in PAM, section H-1-2(c)], before being assigned to duties which include the exercise of peace officer powers, shall satisfactorily complete the POST-certified Module III (PAM, section D-1-3).
(B) Exemption to Minimum Training Requirement. Module III will not be required for a Level III reserve peace officer if:
1. The Level III reserve peace officer has previously satisfied the training requirements specified for Level I or II reserve peace officers in Commission Procedure H-3-2 or H-3-3(a)-(c); and
2. the new appointment is within three years of the date of last service as a Level I or II reserve peace officer.
(b) Every school police reserve officer appointed by a K-12 school district on or after July 1, 2000, in addition to the entry level training requirement set forth in (b) of this section shall complete the POST-certified Campus Law Enforcement Course [Regulation 1081(a)] within two years of the date of first appointment.
(c) To be eligible for the award of the Reserve Officer Certificate, a reserve peace officer shall be currently appointed or deputized as a reserve peace officer as described in Penal Code section 830.6(a), meet the selection requirements for Level I reserve peace officer assignment as described in paragraph (a), and have completed the training and general law enforcement experience as described in paragraph (b)(1), PAM, sections H-3-2 or H-3-3(a) or (c) and Regulation 1011(a)(12).
PAM Section D-1-1 adopted effective July 1, 1999 and amended January 1, 2001, September 15, 2004, and September 21, 2005 is herein incorporated by reference.
PAM Section D-1-3 adopted effective July 1, 1999 and amended January 1, 2001, April 10, 2002, September 15, 2004, January 1, 2006, January 19, 2007, July 1, 2007, July 1, 2008, January 1, 2009, July 1, 2009, January 1, 2010, and July 21, 2012 is herein incorporated by reference.
PAM section H-1 adopted effective July 15, 1982, and amended June 15, 1990, February 22, 1996, September 12, 1998, and July 1, 1999 is herein incorporated by reference.
PAM section H-3 adopted effective July 15, 1982, and amended January 16, 1987, June 15, 1990, July 1, 1992, February 22, 1996, September 12, 1998, July 1, 1999, January 1, 2000, March 10, 2000, March 24, 2000, August 18, 2001, September 21, 2005, January 19, 2007, July 1, 2008, January 1, 2009, July 1, 2009, and January 1, 2010 is herein incorporated by reference.
PAM Section H-4 adopted effective July 15, 1982 and amended October 10, 1990, July 1, 1999, and September 21, 2005 is herein incorporated by reference.
The document, Training and Testing Specifications for Peace Officer Basic Courses, adopted effective January 1, 2001, and amended effective October 1, 2001, January 1, 2002, July 1, 2002, January 1, 2003, January 1, 2004, August 15, 2004, September 15, 2004, July 1, 2005, January 1, 2006, January 19, 2007, July 1, 2007, August 8, 2007, January 1, 2008, July 1, 2008, January 1, 2009, July 1, 2010, July 1, 2011, January 1, 2012, July 1, 2012, and January 1, 2013 is herein incorporated by reference.
The document, Instructor's Guide to Learning Activities for Leadership, Ethics and Community Policing December 2005, adopted effective January 1, 2006 is herein incorporated by reference.
The document POST Basic Courses Test Management and Security Protocols 2012 adopted effective January 1, 2009, and amended May 3, 2012 is herein incorporated by reference.
NOTE
Authority cited: Sections 832.3, 832.6, 13503, 13506 and 13510, Penal Code. Reference: Sections 832.2, 832.3, 832.6, 13503, 13506, 13510, 13510.5 and 13512, Penal Code; Section 48412, Education Code; and Section 1031(d), Government Code.
HISTORY
1. Amendment filed 10-22-82; effective thirtieth day thereafter (Register 82, No. 43).
2. Amendment filed 3-5-85; effective thirtieth day thereafter (Register 85, No. 10).
3. Amendment filed 6-12-86; effective thirtieth day thereafter (Register 86, No. 24).
4. Amendment filed 1-16-87; effective thirtieth day thereafter (Register 87, No. 3).
5. Amendment filed 5-16-90; operative 6-15-90 (Register 90, No. 21).
6. Change without regulatory effect amending subsection (a)(6) and PAM section pursuant to section 100, title 1, California Code of Regulations (Register 90, No. 44).
7. Amendment of subsection (c) filed 12-23-91; operative 7-1-92 (Register 92, No. 19).
8. Editorial correction of Reference cite (Register 95, No. 14).
9. Amendment of subsection (b)(1), new subsections (b)(2)-(b)(2)(A)4 and subsection renumbering, amendment of newly designated subsections (b)(3)-(4), PAM sections H-1 and H-3 (incorporated by reference) and Note filed 1-23-96; operative 2-22-96 (Register 96, No. 4).
10. Amendment of subsections (a)(6) and (a)(7), and amendment of Note filed 4-23-97; operative 5-23-97 (Register 97, No. 17).
11. Amendment of section heading, new subsection (d), new final paragraph, and new PAM section D-12 (incorporated by reference) filed 3-26-98; operative 4-25-98 (Register 98, No. 13).
12. Amendment of subsection (b)(2), repealer of subsections (b)(2)(A)1.-4., amendment of subsection (d), and amendment of PAM sections H-1 and H-3 (incorporated by reference) filed 8-13-98; operative 9-12-98 (Register 98, No. 33).
13. Amendment filed 4-16-99; operative 7-1-99 (Register 99, No. 16).
14. Amendment of subsection (b)(2) and amendment of PAM sections H-3 and H-5 (incorporated by reference) filed 11-8-99 as an emergency; operative 1-1-2000 (Register 99, No. 46). A Certificate of Compliance must be transmitted to OAL by 5-1-2000 or emergency language will be repealed by operation of law on the following day.
15. Amendment of subsection (d) and PAM section H-3 (incorporated by reference) filed 2-9-2000; operative 3-10-2000 (Register 2000, No. 6).
16. Certificate of Compliance as to 11-8-99 order transmitted to OAL 1-11-2000 and filed 2-23-2000 (Register 2000, No. 8).
17. New subsection (c), subsection relettering, amendment of newly designated subsection (d) and amendment of Note filed 6-12-2000; operative 6-12-2000 pursuant to Government Code section 11343.4(d) (Register 2000, No. 24).
18. Amendment of PAM sections D-1-1, D-1-3 and D-1-5 (incorporated by reference), and repealer and new last paragraph and replacement of the document Training Specifications for the Regular Basic Course with the new document Training and Testing Specifications for Peace Officer Basic Courses (incorporated by reference) filed 12-29-2000; operative 1-1-2001 pursuant to Government Code section 11343.4(d) (Register 2000, No. 52).
19. Amendment filed 7-17-2001; operative 8-16-2001 (Register 2001, No. 29).
20. Amendment of subsections (a)(1)-(8), amendment of PAM section D-1-3 (incorporated by reference) and repealer of PAM section H-5 (incorporated by reference) filed 3-11-2002; operative 4-10-2002 (Register 2002, No. 11).
21. Amendment of subsection (a)(8) filed 7-28-2003; operative 8-27-2003 (Register 2003, No. 31).
22. Amendment of last paragraph and amendment of document Training and Testing Specifications for Peace Officer Basic Courses (incorporated by reference) filed 7-7-2004; operative 8-15-2004 (Register 2004, No. 28).
23. Amendment of PAM sections D-1-1 and D-1-3, repealer of PAM sections D-1-5 and D-1-6, amendment of last paragraph and document Training and Testing Specifications for Peace Officer Basic Courses (incorporated by reference) and amendment of Note filed 8-26-2004; operative 9-15-2004 pursuant to Government Code section 11343.4 (Register 2004, No. 35).
24. Amendment of last paragraph and amendment of document Training and Testing Specifications for Peace Officer Basic Courses (incorporated by reference) filed 6-15-2005; operative 7-1-2005 pursuant to Government Code section 11343.4 (Register 2005, No. 24).
25. Amendment of subsection (a)(6) filed 8-22-2005; operative 9-21-2005 (Register 2005, No. 34).
26. Amendment of section heading, repealer of subsections (a)-(a)(8), subsection relettering, and amendment of PAM sections D-1-1, H-3 and H-4 filed 8-22-2005; operative 9-21-2005 (Register 2005, No. 34).
27. Amendment of PAM section D-1-3 and document Training and Testing Specifications for Peace Officer Basic Courses, new document Instructor's Guide to Learning Activities for Leadership, Ethics and Community Policing December 2005 (all incorporated by reference) and amendment of subsection (d) filed 12-22-2005; operative 1-1-2006 pursuant to Government Code section 11343.4 (Register 2005, No. 51).
28. Amendment of PAM sections D-1-3 and H-3, and document Training and Testing Specifications for Peace Officer Basic Courses (all incorporated by reference) and amendment of subsections (a)(2)(A), (a)(3)(A) and (d) filed 1-19-2007; operative 1-19-2007 pursuant to Government Code section 11343.4(c) (Register 2007, No. 3).
29. Amendment of PAM section D-1-3 and document Training and Testing Specifications for Peace Officer Basic Courses (both incorporated by reference) and amendment of subsection (d) filed 6-1-2007; operative 7-1-2007 (Register 2007. No. 22).
30. Amendment of penultimate paragraph and document Training and Testing Specifications for Peace Officer Basic Courses (incorporated by reference) filed 8-8-2007; operative 8-8-2007 pursuant to Government Code section 11343.4 (Register 2007, No. 32).
31. Amendment of penultimate paragraph and document Training and Testing Specifications for Peace Officer Basic Courses filed 12-10-2007; operative 1-1-2008 pursuant to Government Code section 11343.4 (Register 2007, No. 50).
32. Amendment of subsections (a)(2)(A)-(B), (a)(3)(A)-(B) and (d) and amendment of PAM sections D-1-3 and H-3 (incorporated by reference) filed 6-17-2008; operative 7-1-2008 pursuant to Government Code section 11343.4 (Register 2008, No. 25).
33. Amendment of subsection (d) and PAM section D-1-3 (incorporated by reference), new document POST Basic Courses Test Administration and Security Guidelines 2009 (incorporated by reference) and new final paragraph filed 10-28-2008; operative 1-1-2009 (Register 2008, No. 44).
34. Amendment of subsection (d) and antepenultimate paragraph and amendment of PAM sections D-1-3 and H-3 and document Training and Testing Specifications for Peace Officer Basic Courses (incorporated by reference) filed 12-2-2008; operative 1-1-2009 (Register 2008, No. 49).
35. Amendment of subsection (d) and amendment of PAM sections D-1-3 and H-3 (incorporated by reference) filed 5-21-2009; operative 7-1-2009 (Register 2009, No. 21).
36. Amendment of subsection (d) and amendment of PAM sections D-1-3 and H-3 (incorporated by reference) filed 11-9-2009; operative 1-1-2010 (Register 2009, No. 46).
37. Amendment of the document, Training and Testing Specifications for Peace Officer Basic Courses (incorporated by reference) and amendment of antepenultimate paragraph filed 6-9-2010; operative 7-1-2010 pursuant to Government Code section 11343.4 (Register 2010, No. 24).
38. Amendment of section heading and subsection (c), repealer of subsection (d) and PAM section D-12 (incorporated by reference) filed 12-29-2010; operative 1-1-2011 pursuant to Government Code section 11343.4 (Register 2010, No. 53).
39. Amendment of document Training and Testing Specifications for Peace Officer Basic Courses (incorporated by reference) and amendment of antepenultimate paragraph filed 4-19-2011; operative 7-1-2011 (Register 2011, No. 16).
40. Amendment of document Training and Testing Specifications for Peace Officer Basic Courses (incorporated by reference) and amendment of antepenultimate paragraph filed 10-25-2011; operative 1-1-2012 (Register 2011, No. 43).
41. Amendment of document Training and Testing Specifications for Peace Officer Basic Courses (incorporated by reference) and amendment of antepenultimate paragraph filed 3-14-2012; operative 7-1-2012 (Register 2012, No. 11).
42. Amendment of PAM section D-1-3 (incorporated by reference), redesignation and amendment of document POST Basic Courses Test Administration and Security Guidelines 2009 as POST Basic Courses Test Management and Security Protocols 2012 (incorporated by reference) and amendment of final paragraph filed 4-3-2012; operative 5-3-2012 (Register 2012, No. 14).
43. Amendment of subsection (c) and PAM Section D-1-3 (incorporated by reference) filed 6-21-2012; operative 7-21-2012 (Register 2012, No. 25).
44. Amendment of document Training and Testing Specifications for Peace Officer Basic Courses (incorporated by reference) filed 6-26-2012; operative 7-1-2012 pursuant to Government Code section 11343.4 (Register 2012, No. 26).
45. Amendment of document Training and Testing Specifications for Peace Officer Basic Courses (incorporated by reference) and amendment of antepenultimate paragraph filed 11-15-2012; operative 1-1-2013 (Register 2012, No. 46).
46. Change without regulatory effect amending section filed 11-26-2012 pursuant to section 100, title 1, California Code of Regulations (Register 2012, No. 48).
§1008. Basic Course Waiver and Requalification Requirement.
Note • History
(a) Basic Course Waiver
(1) An individual who has completed training comparable to a POST-certified Regular Basic Course or Specialized Investigators' Basic Course may request a waiver of the basic course training requirement specified in Regulation sections 1005(a) or 1007(a). The application, evaluation, and examination processes are described in PAM, Section D-11, Basic Course Waiver Process.
(A) A basic course waiver is valid for three years from the date it was granted. After three years, the requirements for requalification apply as specified in section (b) below.
(B) A waiver of the Regular Basic Course training requirement will also satisfy the Specialized Investigators' Basic Course training requirement. However, a waiver of the Specialized Investigators' Basic Course training requirement does not satisfy the Regular Basic Course training requirement.
(b) Requalification Requirement for the Regular Basic Course -- Standard Format and the Specialized Investigators' Basic Course
(1) Three-Year Requalification Requirement: Requalification is required for any individual who seeks appointment or reappointment to a position for which the Regular Basic Course (RBC) or the Specialized Investigators' Basic Course (SIBC) is required as the minimum training standard [reference Regulation sections 1005(a) or 1007(a)] when the individual:
(A) Has previously served in a California peace officer/Level I reserve officer position with qualifying service* and has:
1. Successfully completed a POST-certified Regular Basic Course or Specialized Investigators' Basic Course, or
2. Been awarded a POST Basic Certificate or Specialized Basic Certificate, or
3. Been granted a waiver of the Regular Basic Course or Specialized Investigators' Basic Course in accordance with Regulation 1008(a), but subsequently has a three-year or longer break from the last date of qualifying service*.
OR
(B) Has NOT previously served in a California peace officer/Level I reserve officer position with qualifying service* and has:
1. Successfully completed a POST-certified Regular Basic Course or Specialized Investigators' Basic Course, or
2. Been granted a waiver of the Regular Basic Course or Specialized Investigators' Basic Course in accordance with Regulation 1008(a),
but subsequently has a three-year-or-longer break from the last date of successful completion of the Regular Basic Course or Specialized Investigators' Basic Course, or from the date the basic course waiver was granted, whichever is most recent. For the Six-Year Exception, see (b)(2)(B)(1) below.
*Qualifying service is defined as serving in a California peace officer/Level I reserve officer position for which a POST-certified Regular Basic Course or Specialized Investigators' Basic Course was required by law. Service as a Level I reserve officer will be considered only for a Level I reserve who serves an average monthly minimum of 16 hours.
(2) Requalification Methods When requalification is required, as determined above, it must be achieved before an individual may exercise peace officer powers. Upon successful requalification the individual is eligible, for up to three years, to be appointed or reappointed as a California peace officer/Level I reserve officer. The provisions and means for requalification are as follows:
(A) Repeating and successfully completing the appropriate basic course (RBC or SIBC) or
(B) Successfully completing the POST-certified Requalification Course, (PAM, section D-10-2).
1. Six-Year Exception An individual who successfully completed a Regular Basic Course, Specialized Investigators' Basic Course or the Basic Course Waiver Process on or after July 1, 1999 but who never served in a California peace officer/Level I reserve officer position for which a Regular or Specialized Investigators' Basic Course is required, may requalify by successfully completing a POST-certified Requalification Course one time within six years from the date of basic course or waiver process completion. After six years, an individual must successfully complete the appropriate basic course (RBC or SIBC) to requalify, regardless of when the Requalification Course was completed.
(C) Successfully completing a POST-approved alternative job-related requalification procedure conducted by a presenter of a POST-certified Regular Basic Course. The individual 1) must have previously satisfied the Regular Basic Course training requirement; 2) is for the first time obtaining law enforcement employment after a three-year-or-longer break since successful completion of the Regular Basic Course; and 3) the individual's department has obtained prior written approval from POST for the use of an alternative procedure and verifies that the individual is currently proficient and meets or exceeds minimum performance standards established by the Commission.
(3) Exemptions An exemption of the requalification requirement may be granted by the Executive Director or the Commission as follows:
(A) The Executive Director may grant an exemption to an individual who possesses a POST Basic Certificate and is returning to law enforcement after a three-year-or-longer break in service; and
1. Is re-entering a middle management or executive rank and will function at the second-level of supervision or above; or
2. Has been, with no longer than a 60-day break in service between law enforcement employers as a regular peace officer, employed continuously in another state as a full-time regular peace officer; or
3. Has served, with no longer than a 60-day break in service between law enforcement employers, continuously as a Level I reserve officer in California and the individual's agency chief executive attests in writing that the individual is currently proficient; or
4. The individual's employment, training, and education during the break in service provides assurance, as determined by POST, that the individual is currently proficient; or
5. Is re-entering law enforcement in a permanent or light duty assignment not involving general law enforcement duties if attested to in writing by the agency chief executive.
An individual seeking an exemption from completion of the requalification requirement shall submit a letter to the Executive Director, outlining the following criteria: 1) reason for the request; 2) description of the law enforcement position the applicant is seeking; and 3) documentation of prior employment, training and education, and the dates completed as it applies to the criteria outlined in (3)(A)(1.-5.) above.
(B) The Commission may, in response to a written request or on its own motion, upon a showing of good cause and based upon an individual's employment, proficiency, training, and education, exempt an individual from completion of the basic course requalification requirement. The individual shall: 1) have satisfied the Regular Basic Course training requirement; 2) become re-employed as a peace office after a three-year-or-longer break in service; and 3) not be described or included in (3)(A)(1.-5.) above.
(c) Requalification Requirement for the Regular Basic Course -- Modular Format, Module III
(1) Three-Year Requalification Requirement: Requalification is required for any individual who seeks appointment or reappointment to a position for which Module III of the Regular Basic Course -- Modular Format is required as the minimum training standard [reference Regulation section 1007(a)] when the individual:
(A) Has previously served in a California Level III reserve peace officer position and has:
1. Successfully completed a POST-certified Module III*, but subsequently has a three-year or longer break from the last date of service.
OR
(B) Has NOT previously served in a California Level III reserve peace officer position and has:
1. Successfully completed a POST-certified Module III*, but subsequently has a three-year-or-longer break from the last date of successful completion of Module III.
* Prior successful completion of the Two-Part Level III Module or the single component Level III Module meets the requirements of Module III.
(2) Requalification Methods When requalification is required, as determined above, it must be achieved before an individual may exercise peace officer powers. Upon successful requalification the individual is eligible, for up to three years, to be appointed or reappointed as a California Level III reserve peace officer. The provisions and means for requalification are as follows:
(A) Repeating and successfully completing Module III or
(B) Demonstrating continued mastery of Module III training material by passing the POST-Constructed Comprehensive Module III End-of-Course Proficiency Test, the PC 832 Course Arrest Methods Skills Test and the PC 832 Firearms Skills Test. This can be accomplished through the completion of the Module III Requalification Examination Process [for eligibility refer to 1008(c)(3)].
1. Six-Year Exception: An individual who successfully completed Module III on or after July 1, 2008 but who never served in a California Level III reserve peace officer position, may requalify by successfully completing the Module III Requalification Examination Process one time within six years from the date of completion of Module III. After six years, an individual must successfully complete Module III to requalify, regardless of when the Requalification Examination Process was completed.
(3) Eligibility for the Module III Requalification Examination Process Only individuals who have previously completed a POST-certified Module III are eligible to participate in the Module III Requalification Examination Process.
(A) Individuals seeking to be tested shall receive written notification from the presenter regarding eligibility to be tested within 30 days of receipt by the presenter of all documentation required in subsections 1008(c)(4)(A) below.
(B) Individuals receiving notification that they are ineligible to be tested shall be given an explanation for ineligibility. An individual may submit a new request with the additional documentation, which will be processed according to subsection 1008(c)(4)(A) below. POST shall have final approval or disapproval of the eligibility of any individual seeking admission to any part of the testing process. All applicable examination fees will be returned, with the notification, to those individuals who are determined, either by the presenter or by POST, to be ineligible for testing.
(4) Module III Requalification Examination Process
(A) Application An individual seeking to requalify Module III training through the examination process shall submit a written request to a POST-approved Module III Requalification Examination Presenter that includes:
1. The individual's full name, mailing address, daytime phone number, and POST identification number;
2. A copy of the individual's Module III course completion certificate or other verifiable documentation showing prior successful completion of Module III. This documentation shall include the individual's name, the name of the presenting institution, the number of hours completed, and the ending date of the training;
3. A certified check or money order payable to the presenter (see (c)(4)(B) below for fees);
4. A criminal history clearance from the Department of Justice.*
*All requests to test for the firearms component from applicants who are not sponsored by a local or other law enforcement agency, or who are not peace officers employed by a state or local agency, department or district, shall include a criminal history clearance in compliance with PC 13511.5 prior to admission to firearms testing. No firearms testing shall be administered to any applicant prior to receipt of the Department of Justice criminal history clearance form.
(B) Examination Fees POST-approved Module III Requalification Examination presenters are authorized to charge fees for the administration of the POST-Constructed Comprehensive Module III End-of-Course Proficiency Test, the PC 832 Arrest Methods Skills Test, and the PC 832 Firearms Skills Test. In addition to the initial examination fees, the presenter may charge fees for retesting. Failure to appear for requalification testing or retesting may result in forfeiture of examination fee(s). Fees may vary by presenter. Examination fees shall not exceed actual test administration costs and are subject to POST audit.
(C) Requirements for Administering the Requalification Exams Only POST-approved/authorized course presenters who have received training in the administration of the Requalification Exams and who agree to abide by the terms of a formal POST test use and security agreement shall administer and score the examinations. All examinations shall be administered and scored in accordance with the specified procedures listed below using POST minimum passing scores.
1. All requalification applicants shall be tested at a POST-approved location within 90 days of notification of eligibility to take the requalification exam.
2. At least 30 days in advance of the test, eligible requalification applicants shall be notified as to the specific date, time and location of testing.
3. Individuals desiring to be tested after failure to appear for a scheduled requalification exam must reestablish eligibility to be tested by completing the requirements described in Regulation 1008(c)(4)(A).
4. All examination results shall be mailed to POST by the examination administrator, postmarked within five working days of the date of testing.
5. The presenter shall notify all examinees in writing as to examination results, postmarked within five working days of requalification examination completion. The presenter shall also issue a completion certificate within five working days showing that the individual successfully completed the Module III Requalification Examination.
6. The presenter shall maintain, as a matter of record, all documents submitted by an individual who participates in the Module III Requalification Examination.
(D) Requalification Examination Retesting One requalification exam retest shall be permitted for any test failed, contingent upon advance payment of applicable examination fees [see (c)(4)(B) above]. Such retesting must occur within 90 days of the requalification examination. For firearms and arrest skills tests, individuals will have the option of either retesting immediately or within 90 days. All required examinations must be passed to complete the Module III Requalification Examination Process.
1. Individuals who fail to achieve a passing score upon requalification exam retesting, or who fail to appear for requalification exam retesting, shall be required to successfully complete Module III training in order to meet the Module III requalification requirements.
(d) Requalification Requirement for the Regular Basic Course -- Modular Format, Module II
(1) Three-Year Requalification Requirement Requalification is required for any individual who seeks appointment or reappointment to a position for which Module II of the Regular Basic Course -- Modular Format is required as the minimum training standard [reference Regulation section 1007(a)] when the individual:
(A) Has previously served in a California Level II reserve peace officer position and has:
1. Successfully completed a POST-certified Module III and Module II, but subsequently has a three-year or longer break from the last date of service.
OR
(B) Has NOT previously served in a California Level II reserve peace officer position and has:
1. Successfully completed a POST-certified Module III and Module II, but subsequently has a three-year-or-longer break from the last date of successful completion of Module II.
(2) Requalification Methods When requalification is required, as determined above, it must be achieved before an individual may exercise peace officer powers. Upon successful requalification the individual is eligible, for up to three years, to be appointed or reappointed as a California Level II reserve peace officer. The provisions and means for requalification are as follows:
(A) Repeating and successfully completing Module II or
(B) Demonstrating continued mastery of Module II training material by passing the POST-Constructed Comprehensive Module II End-of-Course Proficiency Test, the PC 832 Course Arrest Methods Skills Test and the PC 832 Firearms Skills Test. This can be accomplished through the completion of the Module II Requalification Examination Process [for eligibility refer to 1008(d)(3)].
1. Six-Year Exception An individual who successfully completed Module II on or after July 1, 2008 but who never served in a California Level II reserve peace officer position, may requalify by successfully completing the Module II Requalification Examination Process one time within six years from the date of completion of Module II. After six years, an individual must successfully complete Module II to requalify, regardless of when the Requalification Examination Process was completed.
(3) Eligibility for the Module II Requalification Examination Process Only individuals who have previously completed POST-certified Modules III and II are eligible to participate in the Module II Requalification Examination Process.
(A) Individuals seeking to be tested shall receive written notification from the presenter regarding eligibility to be tested within 30 days of receipt by the presenter of all documentation required in subsections 1008(d)(4)(A) below.
(B) Individuals receiving notification that they are ineligible to be tested shall be given an explanation for ineligibility. An individual may submit a new request with the additional documentation, which will be processed according to subsection 1008(d)(4)(A) below. POST shall have final approval or disapproval of the eligibility of any individual seeking admission to any part of the testing process. All applicable examination fees will be returned, with the notification, to those individuals who are determined, either by the presenter or by POST, to be ineligible for testing.
(4) Module II Requalification Examination Process
(A) Application An individual seeking to requalify Module II training through the examination process shall submit a written request to a POST-approved Module II Requalification Examination Presenter that includes:
1. The individual's full name, mailing address, daytime phone number, and POST identification number;
2. A copy of the individual's Module III and Module II Course completion certificates or other verifiable documentation showing prior successful completion of Module III and Module II. This documentation shall include the individual's name, the name of the presenting institution, the number of hours completed, and the ending date of the training;
3. A certified check or money order payable to the presenter (see (d)(4)(B) below for fees);
4. A criminal history clearance from the Department of Justice.*
*All requests to test for the firearms component from applicants who are not sponsored by a local or other law enforcement agency, or who are not peace officers employed by a state or local agency, department or district, shall include a criminal history clearance in compliance with PC 13511.5 prior to admission to firearms testing. No firearms testing shall be administered to any applicant prior to receipt of the Department of Justice criminal history clearance form.
(B) Examination Fees POST-approved Module II Requalification Examination presenters are authorized to charge fees for the administration of the POST-Constructed Comprehensive Module II End-of-Course Proficiency Test, the PC 832 Arrest Methods Skills Test, and the PC 832 Firearms Skills Test. In addition to the initial examination fees, the presenter may charge fees for retesting. Failure to appear for requalification testing or retesting may result in forfeiture of examination fee(s). Fees may vary by presenter. Examination fees shall not exceed actual test administration costs and are subject to POST audit.
(C) Requirements for Administering the Requalification Exams Only POST-approved/authorized course presenters who have received training in the administration of the Requalification Exams and who agree to abide by the terms of a formal POST test use and security agreement shall administer and score the examinations. All examinations shall be administered and scored in accordance with the specified procedures listed below using POST minimum passing scores.
1. All requalification applicants shall be tested at a POST-approved location within 90 days of notification of eligibility to take the requalification exam.
2. At least 30 days in advance of the test, eligible requalification applicants shall be notified as to the specific date, time and location of testing.
3. Individuals desiring to be tested after failure to appear for a scheduled requalification exam must reestablish eligibility to be tested by completing the requirements described in Regulation 1008(d)(4)(A).
4. All examination results shall be mailed to POST by the examination administrator, postmarked within five working days of the date of testing.
5. The presenter shall notify all examinees in writing as to examination results, postmarked within five working days of requalification examination completion. The presenter shall also issue a completion certificate within five working days showing that the individual successfully completed the Module II Requalification Examination.
6. The presenter shall maintain, as a matter of record, all documents submitted by an individual who participates in the Module II Requalification Examination.
(D) Requalification Examination Retesting One requalification exam retest shall be permitted for any test failed, contingent upon advance payment of applicable examination fees [see (d)(4)(B) above]. Such retesting must occur within 90 days of the requalification examination. For firearms and arrest skills tests, individuals will have the option of either retesting immediately or within 90 days. All required examinations must be passed to complete the Module II Requalification Examination Process.
1. Individuals who fail to achieve a passing score upon requalification exam retesting, or who fail to appear for requalification exam retesting, shall he required to successfully complete Module II training in order to meet the Module II requalification requirements.
(e) Requalification Requirement for the Regular Basic Course -- Modular Format, Module I
(1) Individuals who have successfully competed Modules III, II and I, have met the requirements of the Regular Basic Course. The requalification requirements specified for the Regular Basic Course [reference Regulation section 1008(b)] also apply to Module I.
PAM Section D-10 adopted June 16, 1999, and amended July 1, 2002, September 15, 2004, January 1, 2006, August 26, 2006, January 1, 2009, and May 3, 2012 is herein incorporated by reference.
PAM Section D-11 adopted effective January 28, 1982, and amended August 17, 1986, November 2, 1986, January 29, 1988, February 22, 1996, June 16, 1999, July 1, 2002, September 21, 2005, and January 1, 2012 is herein incorporated by reference.
The document, Training and Testing Specifications for Peace Officer Basic Courses, adopted effective January 1, 2001 and amended effective October 1, 2001, January 1, 2002, April 26, 2002, September 15, 2004, July 1, 2005, January 1, 2006, July 1, 2007, August 8, 2007, January 1, 2008, July 1, 2008, January 1, 2009, July 1, 2009, January 1, 2010, July 1, 2010, July 1, 2011, January 1, 2012, July 1, 2012, and January 1, 2013 is herein incorporated by reference.
The document, Instructor's Guide to Learning Activities for Leadership, Ethics and Community Policing December 2005, adopted effective January 1, 2006 is herein incorporated by reference.
The document POST Basic Courses Test Management and Security Protocols 2012 adopted effective January 1, 2009, and amended May 3, 2012 is herein incorporated by reference.
NOTE
Authority cited: Sections 832.3, 13503, 13506 and 13510, Penal Code. Reference: Sections 832.3, 13505, 13506, 13510, 13510.5 and 13511, Penal Code.
HISTORY
1. Repealer and new section filed 5-14-82; designated effective 7-1-82 (Register 82, No. 20).
2. Amendment of NOTE filed 2-10-83; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 83, No. 7).
3. Amendment filed 1-9-86; effective thirtieth day thereafter (Register 86, No. 2).
4. Amendment filed 7-18-86; effective thirtieth day thereafter (Register 86, No. 29).
5. Amendment filed 10-3-86; effective thirtieth day thereafter (Register 86, No. 40).
6. Amendment filed 12-30-87; operative 1-29-88(Register 88, No.3).
7. Amendment (including amendment of PAM D-11, incorporated by reference) filed 1-23-96; operative 2-22-96 (Register 96, No. 4).
8. Amendment of section heading and section, amendment of PAM section D-11 (incorporated by reference), and new PAM section D-10 (incorporated by reference) filed 5-17-99; operative 6-16-99 (Register 99, No. 21).
9. Amendment of section heading and section and amendment of PAM section D-10, PAM section D-11 and the document, Training and Testing Specifications for Peace Officer Basic Courses (incorporated by reference) filed 4-26-2002; operative 7-1-2002 (Register 2002, No. 17).
10. Amendment of PAM sections D-11 and D-12, amendment of last paragraph and document Training and Testing Specifications for Peace Officer Basic Courses (incorporated by reference) and amendment of Note filed 8-26-2004; operative 9-15-2004 pursuant to Government Code section 11343.4 (Register 2004, No. 35).
11. Editorial correction amending Note (Register 2005, No. 8).
12. Amendment of last paragraph and amendment of document Training and Testing Specifications for Peace Officer Basic Courses (incorporated by reference) filed 6-15-2005; operative 7-1-2005 pursuant to Government Code section 11343.4 (Register 2005, No. 24).
13. Amendment of subsections (a)(1) and (b)(1) and amendment of PAM section D-11 filed 8-22-2005; operative 9-21-2005 (Register 2005, No. 34).
14. Amendment of PAM section D-10 and document Training and Testing Specifications for Peace Officer Basic Courses, new document Instructor's Guide to Learning Activities for Leadership, Ethics and Community Policing December 2005 (all incorporated by reference) and amendment of subsection (b)(3)(B) filed 12-22-2005; operative 1-1-2006 pursuant to Government Code section 11343.4 (Register 2005, No. 51).
15. Amendment of PAM section D-10 (incorporated by reference) and amendment of subsection (b)(3)(B) filed 7-27-2006; operative 8-26-2006 (Register 2006, No. 30).
16. Amendment of document Training and Testing Specifications for Peace Officer Basic Courses (incorporated by reference) and amendment of subsection (b)(3)(B) filed 6-1-2007; operative 7-1-2007 (Register 2007. No. 22).
17. Amendment of penultimate paragraph and document Training and Testing Specifications for Peace Officer Basic Courses (incorporated by reference) filed 8-8-2007; operative 8-8-2007 pursuant to Government Code section 11343.4 (Register 2007, No. 32).
18. Amendment of penultimate paragraph and document Training and Testing Specifications for Peace Officer Basic Courses filed 12-10-2007; operative 1-1-2008 pursuant to Government Code section 11343.4 (Register 2007, No. 50).
19. Amendment of subsection (b), new subsections (c)-(e)(1) and amendment of penultimate paragraph and document Training and Testing Specifications for Peace Officer Basic Courses (incorporated by reference) filed 6-17-2008; operative 7-1-2008 pursuant to Government Code section 11343.4 (Register 2008, No. 25).
20. Amendment of subsection (e)(1) and PAM section D-10 (incorporated by reference), new document POST Basic Courses Test Administration and Security Guidelines 2009 (incorporated by reference) and new final paragraph filed 10-28-2008; operative 1-1-2009 (Register 2008, No. 44).
21. Amendment of antepenultimate paragraph and document Training and Testing Specifications for Peace Officer Basic Courses (incorporated by reference) filed 12-2-2008; operative 1-1-2009 (Register 2008, No. 49).
22. Amendment of antepenultimate paragraph and amendment of the document Training and Testing Specifications for Peace Officer Basic Courses (incorporated by reference) filed 5-21-2009; operative 7-1-2009 (Register 2009, No. 21).
23. Amendment of antepenultimate paragraph and amendment of document Training and Testing Specifications for Peace Officer Basic Courses (incorporated by reference) filed 11-9-2009; operative 1-1-2010 (Register 2009, No. 46).
24. Amendment of the document, Training and Testing Specifications for Peace Officer Basic Courses (incorporated by reference) and amendment of antepenultimate paragraph filed 6-9-2010; operative 7-1-2010 pursuant to Government Code section 11343.4 (Register 2010, No. 24).
25. Amendment of footnotes to subsections (c)(4)(A)4. and (d)(4)(A)4. filed 12-29-2010; operative 1-1-2011 pursuant to Government Code section 11343.4 (Register 2010, No. 53).
26. Amendment of document Training and Testing Specifications for Peace Officer Basic Courses (incorporated by reference) and amendment of antepenultimate paragraph filed 4-19-2011; operative 7-1-2011 (Register 2011, No. 16).
27. Amendment of document Training and Testing Specifications for Peace Officer Basic Courses (incorporated by reference) and amendment of antepenultimate paragraph filed 10-25-2011; operative 1-1-2012 (Register 2011, No. 43).
28. Amendment of subsection (e)(1) and PAM section D-11 (incorporated by reference) filed 11-14-2011; operative 12-1-2012 (Register 2011, No. 46).
29. Amendment of document Training and Testing Specifications for Peace Officer Basic Courses (incorporated by reference) and amendment of antepenultimate paragraph filed 3-14-2012; operative 7-1-2012 (Register 2012, No. 11).
30. Amendment of PAM section D-10 (incorporated by reference), redesignation and amendment of document POST Basic Courses Test Administration and Security Guidelines 2009 as POST Basic Courses Test Management and Security Protocols 2012 (incorporated by reference) and amendment of final paragraph filed 4-3-2012; operative 5-3-2012 (Register 2012, No. 14).
31. Amendment of document Training and Testing Specifications for Peace Officer Basic Courses (incorporated by reference) filed 6-26-2012; operative 7-1-2012 pursuant to Government Code section 11343.4 (Register 2012, No. 26).
32. Amendment of document Training and Testing Specifications for Peace Officer Basic Courses (incorporated by reference) and amendment of antepenultimate paragraph filed 11-15-2012; operative 1-1-2013 (Register 2012, No. 46).
33. Change without regulatory effect amending section filed 11-26-2012 pursuant to section 100, title 1, California Code of Regulations (Register 2012, No. 48).
§1009. Academy Instructor Certificate Program (AICP).
Note • History
(a) The Academy Instructor Certificate Program The AICP is designed to promote general instructional excellence in instructors who teach Regular Basic Course curriculum.
(1) There are three AICP components
(A) Academy Instructor Certification Course
(B) POST Academy Instructor Certificate
(C) Triennial Academy Instructor Certificate re-certification requirement.
(2) Effective March 1, 2008, each Regular Basic Course academy shall participate in the AICP program by following the requirements specified in this regulation. A participating academy shall require certification of all Regular Basic Course instructional staff. A participating academy that employs instructors who fail to become certificated within the required time-period is subject to removal from the AICP, and decertification as basic course presenter pursuant to Regulation 1057.
(3) Effective January 1, 2011, each Regular Basic Course -- Modular Format presenter, that is not an academy, shall participate in the AICP program by following the requirements specified in this regulation. A participating presenter shall require certification of all Regular Basic Course instructional staff. A participating presenter that employs instructors who fail to become certificated within the required time-period is subject to removal from the AICP, and decertification as a basic course presenter pursuant to Regulation 1057.
(4) Regular Basic Course instructors who are employed by an academy prior to March 1, 2008 shall possess the Academy Instructor Certificate within three years of March 1, 2008. Prior to instructing any component of the Regular Basic Course, any individual who is appointed on or after March 1, 2008 to an Academy, a Module I, or a Module II, instructor position shall:
(A) Complete the Academy Instructor Certification Course (AICC), Regulation 1082, or pass the AICC Equivalency Process, Regulation 1009(c)(4), and
(B) Possess the Academy Instructor Certificate.
(5) Regular Basic Course -- Modular Format instructors who are employed by an academy prior to March 1, 2008 shall possess the Academy Instructor Certificate within three years of March 1, 2008. Prior to instructing any component of the Regular Basic Course, any individual who is appointed on or after March 1, 2008 to an Academy, a Module I, or a Module II, instructor position shall:
(A) Complete the Academy Instructor Certification Course (AICC), Regulation 1082, or pass the AICC Equivalency Process, Regulation 1009(c)(4), and
(B) Possess the Academy Instructor Certificate.
(6) Regular Basic Course -- Modular Format instructors who are employed by an academy, or other presenter, prior to January 1, 2011 shall possess the Academy Instructor Certificate within three years of January 1, 2011. Prior to instructing any component of the Regular Basic Course, any individual who is appointed on or after January 1, 2011 to a Module III instructor position shall:
(A) Complete the Academy Instructor Certification Course (AICC), Regulation 1082, or pass the AICC Equivalency Process, Regulation 1009(c)(4), and
(B) Posses the Academy Instructor Certificate.
(7) Regular Basic Course instructors who teach certain specialized subjects must satisfy additional requirements, as specified in Regulation 1070. Regular Basic Course instructors who also perform the duties of Academy Director, Academy Coordinator, or Academy Recruit Training Officer must satisfy additional requirements, as specified in Regulation 1071.
(b) Academy Instructor Certification Course The Academy Instructor Certification Course is designed to develop Regular Basic Course instructors' training delivery, adult learning techniques, planning, presentation, and facilitation skills. When the subject is taught in the Regular Basic Course, successful completion of this course is a prerequisite to teaching a specialized subject specified in Regulation 1070.
(1) General Requirements for Academy Instructor Certification Course
(A) The course shall be POST-certified in accordance with the requirements specified in Regulations 1052-1056.
(B) The instructor must be an experienced instructor development trainer skilled in competencies emphasized in Academy Instructor Certification Course curriculum (Regulation 1082).
(C) The Academy Instructor Certification Course minimum course content as specified in Regulation 1082 shall be followed. Guidelines for an expanded course outline are provided in the publication Academy Instructor Certificate Program Guidelines and Curriculum.
(D) Priority for enrollment shall be accorded to an academy's current Regular Basic Course instructors or Regular Basic Course instructor applicants.
(E) Student re-evaluations shall be limited to one re-evaluation, to be completed within 180 days.
(F) An experienced instructor development trainer who is skilled in the competencies emphasized in the Academy Instructor Certification Course curriculum shall complete and sign all competency verifications.
(2) The Academy Director/designee or Modular Format Coordinator shall:
(A) Complete and sign a Competency Verification Checklist, POST form 2-123, for each student enrolled in the Academy Instructor Certification Course.
(B) Provide remediation for students not successful in completing the Academy Instructor Certification Course.
(C) Issue the Academy Instructor Certificate awards as specified in subsection 1009(e) below.
(D) Notify POST of all Academy Instructor Certificate awards within 15 days of issuance.
(E) Maintain all required documentation as specified in subsections 1009(c), (d), and (e) below for each individual participating in those components. The documents are subject to a POST audit of the AICP upon request.
(F) Provide one re-evaluation to any candidate who requests a re-evaluation.
(G) Provide each individual awarded the Academy Instructor Certificate with information on re-certification requirements as specified in subsection 1009(f) below.
(c) POST Academy Instructor Certificate Requirements The Academy Instructor Certificate shall be awarded to individuals who have met the following criteria:
(1) Successful completion of a POST-certified Academy Instructor Certification Course, and
(2) Successful demonstration* of all competencies listed on the Competency Verification Checklist, POST 2-123, as verified by the Academy Director/designee through one or a combination of the following:
(A) Observation of individual within the Academy Instructor Certification Course classroom via a presentation made to classroom peers, or
(B) Observation of individual within a Regular Basic Course academy class.
* Any competencies not demonstrated via methods described in (2)(A) and (B) above may be demonstrated by oral examination.
(3) Approval by the Academy Director/designee or Modular Format Coordinator on the Competency Verification Checklist, POST 2-123,
OR
(4) Completion of an equivalency process for an Academy Instructor Certificate, which includes:
(A) Successful completion of a minimum of 24 hours of a general instructor development course(s) as documented by a certificate of course completion or an expanded course outline;
(B) Completion of a self-study program on “adult learning and the Basic Course instructional system” as outlined in the POST-provided tutorial package; and
(C) Successful demonstration* of competencies listed on the Competency Verification Checklist, POST 2-123, performed by teaching in an Academy Instructor Certification Course, a Regular Basic Course, or to academy staff. The Competency Verification Checklist shall be assessed and approved by an experienced instructor-development trainer skilled in competencies emphasized in the Academy Instructor Certification Course curriculum.
* Any competencies not demonstrated via the methods described in (4)(C) above may be demonstrated by oral examination.
(d) Re-evaluations of Competency Any individual who receives an unsatisfactory evaluation on the “Competency Verification Checklist” may be re-evaluated as follows:
(1) The candidate shall submit a written request to the Academy Director or Modular Format Coordinator for a re-evaluation within 10 days of receiving the unsatisfactory evaluation.
(2) The Academy Director/designee or Modular Format Coordinator shall provide appropriate remediation.
(3) The Academy Director/designee or Modular Format Coordinator shall provide one opportunity for re-evaluation.
(4) The re-evaluation shall be scheduled at a mutually agreeable date, time, and place, but must occur within 180 days of the candidate's date of completion of the Academy Instructor Certification Course or completion of the tutorial package for those following the equivalency process.
(5) A new Competency Verification Checklist shall be completed in accordance with Regulation 1009(b)(1)(F).
(6) The teaching demonstration for the competency verification may be performed in an Academy Instructor Certification Course, Regular Basic Course, or to academy staff.
(e) Academy Issuance of the Academy Instructor Certificate Requirements for an academy's issuance of the Academy Instructor Certificate shall be as follows:
(1) The Academy Director/designee or Modular Format Coordinator shall issue the Academy Instructor Certificate within 30 days to an individual who has satisfied the certificate requirements in Regulation 1009(c) above.
(2) The Academy Director/designee or Modular Format Coordinator shall provide the following information to POST within 15 days of certificate issuance, via the POST electronic AICP System:
(A) Date of Issuance/Award
(B) Name of Individual
(C) Social Security Number
(D) Individual's Employing Academy
(E) Individual's Subject(s) of Instruction in the Regular Basic Course
(f) Triennial Re-certification Requirement The Academy Instructor Certificate shall be renewed every three years. Individuals seeking re-certification shall provide documentation that supports compliance with the requirements set forth in subsections (1) and (2) below.
(1) Re-certification shall be granted to an individual who, prior to the three-year renewal date, meets the following requirements as approved by the Academy Director/designee or Modular Format Coordinator:
(A) Delivery of a minimum of 24 hours of teaching/presentations (which exercise or expand instructor core competencies), and
(B) Completion of a minimum of 8 hours of “professional development” training through a course, conference, symposium, self-directed study, or any other training experience approved by the Academy Director/designee. The professional development training shall cover general instructor development or specialized training development which exercises or expands instructor core competencies.
(2) Documentation shall be provided via the POST electronic AICP System. An individual must provide personal log-in information and either a POST course control number along with hours and subject(s) taught or the location(s), date(s), subject(s), subject description(s), and hour(s) for the training, conference, symposium, etc. as described in subsections (f)(1)(A) and (B) above. The Academy Director/designee or Modular Format Coordinator may require additional documentation for evaluation purposes.
(3) The Academy Director/designee or Modular Format Coordinator, upon approval of a re-certification, shall notify POST within 15 days of the renewal date.
(4) The triennial recertification period begins on January 1, 2011 for all instructors on academy rosters as instructors on that date. Instructors added after January 1, 2011 will be required to renew their certification in the next triennial re-certification period. Notifications shall be provided via the POST electronic AICP System.
(g) POST-Certified Academy Instructor Designation An individual who possesses a valid and unexpired Academy Instructor Certificate shall be recognized as a “POST-Certified Academy Instructor.”
NOTE
Authority cited: Sections 13503, 13506, 13510 and 13510.5, Penal Code. Reference: Sections 13503, 13506, 13510 and 13510.5, Penal Code.
HISTORY
1. New section filed 7-21-2003; operative 8-20-2003 (Register 2003, No. 30). For prior history, see Register 2002, No. 49.
2. Amendment filed 2-29-2008; operative 3-1-2008 pursuant to Government Code section 11343.4 (Register 2008, No. 9).
3. Amendment filed 12-29-2010; operative 1-1-2011 pursuant to Government Code section 11343.4 (Register 2010, No. 53).
4. Amendment of subsection (f)(3) and new subsection (f)(4) filed 11-1-2011; operative 12-1-2011 (Register 2011, No. 44).
5. Change without regulatory effect amending section filed 11-26-2012 pursuant to section 100, title 1, California Code of Regulations (Register 2012, No. 48).
Note • History
(a) POST Program Participation
(1) Eligibility
To be eligible for participation in the POST Program, a department shall agree to comply with and continue to adhere to minimum selection and training standards and all Commission Regulations.
(2) Requests to Participate in POST Program
Participation in the POST Program is voluntary. A department desiring to participate in the POST Program shall present the Commission with a letter of request to participate, and if eligible, a request to receive aid. If the department also desires its public safety dispatchers to participate in the Public Safety Dispatcher Program, this shall also be included in the letter of request. The letter shall be accompanied by a certified copy of an ordinance, or in instances where an ordinance is not appropriate, a resolution or letter of intent adopted by the governing body of the requesting department. The document, e.g., ordinance, shall state that while participating in the POST Program, the department will adhere to minimum selection and training standards and Commission Regulations.
(3) Inspection of Records
Participation in the POST program requires that the department/dispatch center allow the Commission to make inquiries and inspect records as may be necessary to verify claims for reimbursement or to confirm whether the department or dispatch center is adhering to Commission Regulations.
(4) Mergers Occurring After Initial Request to Participate
If a group of peace officers becomes a part of a department via a merger or through legislation, e.g., coroners merging with a sheriff's department, and this group of officers was not included in the initial request to participate, an additional request and accompanying documents shall be required as described in section 1010(a)(2) above.
(5) Initial Compliance
When a department has notified the Commission of its intent to participate, POST staff will work with the department to ensure officers are compliant. Incumbent officers' records are reviewed to determine compliance with minimum selection and training standards specified in the Penal, Government, or Vehicle Codes that were applicable at the time of each officer's appointment. Officers hired on or after the date an agency enters the POST Program shall be required to meet Commission Regulations, which may be the same or higher standards than the standards in the aforementioned codes.
(6) Basic Certificate Compliance
A participating department shall require every peace officer, appointed on or after the department's entry into the POST Program, to acquire the POST Basic Certificate as specified in Regulation 1011(a)(5).
(7) Commission Confirmation
When the department is in full compliance as described in section 1010(a)(5) above, participation of the department will be confirmed by the Executive Director and an effective date of entry established. Approval of a department's participation in the POST Reimbursement Program will also be confirmed.
(8) Noncompliance and Ineligibility to Receive Services and Benefits
(A) Failure to Adhere to Commission Regulations
If the Commission determines that a department has failed to adhere to Commission Regulations, including but not limited to the inspection of records, the Commission shall notify the department of its concern and of the department's possible removal from the Program(s). The Commission shall request that the department correct the problems causing non-compliance with the Regulations.
(B) Appeal Process
In the event that the department disagrees with the Commission's findings of non-compliance, the Commission shall afford the affected department the opportunity to appear before the Commission and present appropriate evidence or testimony.
(C) Denial of Services/Benefits
If the Commission finds that the Regulations have not been adhered to, it shall, beginning with a date determined by the Commission, reject all of the department's requests for services and benefits (reference Penal Code section 13523). A department may be reinstated in the program and again become eligible for services and benefits, when the department has demonstrated, to the satisfaction of the Commission, that it will adhere to the prescribed Regulations. The period during which the department shall remain ineligible for services and benefits shall be determined by the Commission.
(b) POST Public Safety Dispatcher Program Participation
(1) Eligibility
A dispatch center of a local law enforcement department or an independent communication service agency [i.e. an agency that employs dispatchers who primarily provide services to both police and fire and/or fire and emergency medical services (EMS) and which is not a part of a local law enforcement department] may apply to participate in the POST Public Safety Dispatcher Program. To be eligible for participation in the POST Public Safety Dispatcher Program, the dispatch center of a local law enforcement department or an independent communication service agency (as described above) shall agree to comply with and continue to adhere to minimum selection and training standards and other applicable Commission Regulations for its public safety dispatchers.
(2) Requests to Participate in Public Safety Dispatcher Program
Participation in the POST Public Safety Dispatcher Program is voluntary. A department or independent dispatch center desiring to participate in the POST Public Safety Dispatcher Program shall present the Commission with a letter of request to participate, and if eligible, a request to receive aid. The letter shall be accompanied by a certified copy of an ordinance; or in instances where an ordinance is not appropriate, a resolution or letter of intent adopted by the governing body of the requesting department. The document, e.g., ordinance, shall state that while participating in the POST Public Safety Dispatcher Program, the department/agency will adhere to the minimum selection and training standards and other Commission requirements specified for public safety dispatchers.
(3) Inspection of Records
Reference Regulation 1010(a)(3).
(4) Initial Compliance
Incumbent public safety dispatchers will not be required to meet selection and entry-level training standards. Dispatchers hired after the agency enters the Public Safety Dispatcher Program shall meet the requirements applicable to dispatchers as specified in Commission Regulations. Any incumbent dispatcher who transfers to another participating department will be considered a new hire and shall be required to meet selection and training standards.
(5) Commission Confirmation
Participation of the dispatch center of a local law enforcement department or an independent communication service agency will be confirmed by the Executive Director and an effective date of entry established. Approval of a dispatch center's participation in the POST Reimbursement Program will also be confirmed.
(6) Noncompliance and Ineligibility to Receive Services and Benefits
Reference Regulation 1010(8)(A)-(C).
NOTE
Authority cited: Sections 13503 and 13506, Penal Code. Reference: Sections 13503, 13522, 13523, 13524, 13525, 13526, 13526.1 and 13526.2, Penal Code.
HISTORY
1. Change without regulatory effect renumbering and amending former section 9030 to new subsections 1010(a)-(a)(8)(C) and renumbering and amending former section 9031 to new subsections 1010(b)-(b)(6) filed 11-26-2012 pursuant to section 100, title 1, California Code of Regulations (Register 2012, No. 48). For prior history, see Register 2007, No. 23.
Note • History
(a) Professional Certificates -- Peace Officers
(1) Professional Certificates -- Overview
POST Professional Certificates are awarded to peace officers who achieve increasingly higher levels of education, training, and experience in their pursuit of professional excellence.
(A) The Commission-awarded certificate is a “professional” certificate pursuant to Penal Code section 13510.1, and is distinguished from a “certificate of completion” which is awarded by a training presenter when an individual successfully completes a course.
(B) Attainment of the POST Basic Certificate is required [reference Regulation section 1011(a)(5)].
(C) Attainment of other professional certificates is voluntary.
(2) Certificate Categories and Levels
Professional certificates for full-time peace officers are awarded by category and level.
(A) Categories
There are three categories of certificates:
1. General Certificates
2. Specialized Certificates
3. Coroners Certificates
The certificate category is based on the basic training standard completed by the individual, i.e., completion of a Regular Basic Course constitutes “General Certificates,” completion of the Specialized Investigators' Basic Course constitutes “Specialized Certificates,” and completion of both the PC 832 Course Arrest and Firearms and the Coroners' Death Investigation Course constitutes “Coroner's Certificates”. For example, if the individual works for a specialized law enforcement agency and has completed a Regular Basic Course, as well as, the other required certificate award criteria, the individual is awarded a “General” category certificate.
(B) Levels
There are six certificate levels in each category (above):
1. Basic Certificate
2. Intermediate Certificate
3. Advanced Certificate
4. Supervisory Certificate
5. Management Certificate
6. Executive Certificate
(C) Reserve Peace Officer Certificates
Professional certificates for reserve peace officers are awarded in one category and one level. Requirements for the Reserve Peace Officer Certificate are specified in Regulation 1011(a)(12).
(3) Certificate Terminology and Policy
Except as noted, the following terms and policies apply to all certificate categories and levels:
(A) College Degree or College Unit Criteria
Accreditation shall be by a national or regional accrediting body that is recognized by the Secretary of the United States Department of Education. For the award of a certificate, all degrees or units:
1. Shall be issued by and recorded on the transcript of an accredited community college, college or university, or
2. When issued by a non-accredited community college, college, or university, the degree or units shall have been accepted and recorded on the transcript of an accredited community college, college or university.
(B) Education Points
For purposes of certificate qualifications:
1. One college semester unit equals one education point, or
2. One college quarter unit equals two-thirds of an education point.
(C) Training Points
For purposes of certificate qualifications:
1. Twenty (20) hours of law enforcement training are equal to one training point. Only completed courses with verifiable hours are accepted.
2. The Commission shall determine acceptable law enforcement training.
(D) Education Point Conversions
When education points exceed the number needed to qualify for a certificate, the excess education points may be converted to training points to meet training point requirements. One education point shall equal one training point. POST will make the conversion when it is to the advantage of the applicant.
(E) Law Enforcement Experience
Law enforcement experience described in 1. below is accepted if it is recorded on the POST Profile in the POST database. POST may accept the experience described in 2.-4. below. Proof of the law enforcement experience described in 2.-4. shall be documented on: 1) the employing department's/agency's letterhead, 2) signed by the department head, 3) include an attestation that the applicable requirements stated in experience categories 2., 3., or 4. below have been met, and 4) state the type of appointment, time base, dates of service, and types of duties performed.
1. Full-time peace officer experience that is/was with a California POST-participating department.
2, Full-time peace officer experience with a California law enforcement department that is/was not a POST-participating department, and during the time of the appointment, the law required completion of the Regular Basic Course or Specialized Investigator's Basic Course for the position held.
3. Full-time peace officer experience with an out-of-state law enforcement department that participates in its state's “POST type” program, and the “POST-type” program awarded the individual a Basic Certificate or license. The maximum credit allowed for this experience category is five years. “POST-type” means any department/agency that is a member of the International Association of Directors of Law Enforcement Standards and Training.
4. Full-time law enforcement experience with a federal law enforcement agency and the individual satisfactorily completed a basic law enforcement academy presented by the Federal Law Enforcement Training Center (FLETC) or the Federal Bureau of Investigation (FBI) academy. The maximum credit allowed for this experience category is five years.
(F) Multiple Certificates at Same Level
Peace officers who qualify may be awarded a certificate in more than one category and at the same level, e.g., a General Basic Certificate and a Specialized Basic Certificate.
(4) Certificate Award Requirements -- All Levels
Each certificate applicant, except the applicant for a Reserve Peace Officer Certificate, shall satisfy the following requirements:
(A) Employment Requirement
At the time of application, an applicant shall be employed as a full-time peace officer by a POST-participating department.
Exception: When a POST Basic Certificate is required to continue to exercise peace officer powers pursuant to Penal Code section 832.4, employment with a participating department is not required at the time of application.
(B) Basic Course Training Requirement
When applying for any level of certificate, an applicant shall have satisfied the basic course training requirement, as specified in Regulation 1005, for the applicant's current appointment.
(C) Requalification Requirement
1. Applicants for general or specialized category certificates must possess basic training that has not expired as specified in Regulation 1008(b), Basic Course Requalification Requirement.
2. Applicants for coroner's category certificates must possess Penal Code (PC) 832 Arrest and Firearms training that has not expired, as specified in Regulation 1080, PC 832 Arrest and Firearms Course Requalification.
(D) Application Requirements
An applicant (or an applicant's employing department) shall submit a completed Certificate Application form, POST 2-116 (Rev. 10/2010), along with supporting documents as follows:
1. Documentation that supports the required education and experience, i.e., official transcripts, diplomas, certificates of course completion, and proof of law enforcement experience.
2. When the units of credit are transferred from one educational institution to another, supporting documentation from all educational institutions is required.
3. Supporting documents are not required if the education and/or experience information needed to support the current certificate request is already reflected on the applicant's POST Profile. Any education or experience that is not reflected on the POST Profile must be supported as described in (D)1. and/or 2. above.
(5) Basic Certificate Possession Requirement
The Basic Certificate is required for:
(A) Specified Peace Officers
Pursuant to Penal Code section 832.4(b), every peace officer listed in Penal Code section 830.1(a) [except a sheriff, an elected marshal, or a custodial deputy appointed pursuant to Penal Code (PC) §830.1(c)] shall obtain the POST Basic Certificate in order to continue to exercise peace officer powers. PC §832.4 requires possession upon completion of probation, but in no case later than 24 months after appointment. However, if the department's probation period is 24 months, an additional 3 months is authorized.
(B) Police Chiefs/Persons in Charge
Pursuant to Penal Code section 832.4(c), as a condition of continued employment, each police chief, or any other person in charge of a local law enforcement agency, who is appointed on or after January 1, 1999, shall possess the POST Basic Certificate within two years of appointment.
(C) Peace Officers Employed by a Participating Department
Every peace officer appointed by a department participating in the POST Program shall possess the appropriate Basic Certificate within the time limits described in (A) above, unless an exception in (D) below pertains to the officer.
(D) Exception to Basic Certificate Requirement
There are three exceptions to the Basic Certificate possession requirements specified in (A)-(C) above:
1. Peace officers appointed prior to the employing department's entry date into the POST Program and who are not required to possess a POST Basic Certificate pursuant to the requirements of Penal Code section 832.4, and
2. Custodial peace officers appointed pursuant to Penal Code section 830.l(c), and
3. Peace officers first appointed prior to January 1, 1974 and who have not changed departments since that date and who are not included in exceptions (1) or (2) above.
(6) Basic Certificate Award Requirements
Applicants for the award of a Basic Certificate shall:
(A) Satisfy the requirements specified in Regulation 1011(a)(4).
(B) Complete the current employing department's probationary period of not less than 12 months.
(C) Satisfy the minimum entry-level basic course training standard for the applicant's current position, i.e., one of the following: 1) Regular Basic Course, 2) Specialized Investigator's Basic Course, or 3) a PC 832 Course and Coroner's Death Investigation Course.
(7) Intermediate Certificate Award Requirements
Applicants for the award of an Intermediate Certificate shall:
(A) Satisfy the requirements specified in Regulation 1011(a)(4).
(B) Possess or be eligible to possess the Basic Certificate for the current position.
(C) Satisfy one of the following eligibility combinations:
Degree or Education Law Enforcement
Points Experience Training Points
Bachelor Degree and 2 years plus 0
Associate Degree and 4 years plus 0
45 Education Points and 4 years plus 45
30 Education Points and 6 years plus 30
15 Education Points and 8 years plus 15
Excess education points may be applied towards training points on a point-for-point basis [reference Regulation 1011(a)(3)(D).].
(8) Advanced Certificate Award Requirements
Applicants for the award of an Advanced Certificate shall:
(A) Satisfy the requirements specified in Regulation 1011(a)(4).
(B) Possess or be eligible to possess the Intermediate Certificate.
(C) Satisfy one of the following eligibility combinations:
Degree or Education Law Enforcement
Points* Experience Training Points
Master Degree and 4 years plus 0
Bachelor Degree and 6 years plus 0
Associate Degree and 9 years plus 0
45 Education Points and 9 years plus 45
30 Education Points and 12 years plus 30
*Excess education points may be applied towards training points on a point-for-point basis [reference Regulation 1011(a)(3)(D).].
(9) Supervisory Certificate Award Requirements
Applicants for the award of a Supervisory Certificate shall:
(A) Satisfy the requirements specified in Regulation 1011(a)(4).
(B) Possess or be eligible to possess an Intermediate Certificate.
(C) Complete a minimum of 60 semester units.
(D) Successfully complete a POST-certified Supervisory Course.
(E) Possess a minimum of two years law enforcement experience as a permanent first-level supervisor or higher.
(10) Management Certificate Award Requirements
Applicants for the award of a Management Certificate shall:
(A) Satisfy the requirements specified in Regulation 1011(a)(4).
(B) Possess or be eligible to possess an Advanced Certificate.
(C) Complete a minimum of 60 semester units.
(D) Successfully complete a POST-certified Management Course.
(E) Possess a minimum of two years law enforcement experience as a permanent middle manager or higher.
(F) In order to be awarded both the Supervisory and Management Certificates, possess two years of law enforcement experience as a permanent first-level supervisor or higher, plus two years of law enforcement experience as a permanent middle manager or higher.
(11) Executive Certificate Award Requirements
Applicants for the award of an Executive Certificate shall:
(A) Satisfy the requirements specified in Regulation 1011(a)(4).
(B) Possess or be eligible to possess an Advanced Certificate.
(C) Complete a minimum of 60 semester units.
(D) Successfully complete a POST-certified Executive Development Course.
(E) Possess a minimum of two years law enforcement experience as a permanent department head with the current employing agency
(F) In order to be awarded three certificates, Supervisory, Management, and Executive, or any combination of two, possess a minimum of two years experience at the levels stated in Regulations 1011(a)(9)(E), 1011(a)(10)(E), and 1011(a)(11)(E) respectively, as appropriate for the award.
(12) Reserve Peace Officer Certificate Requirements
(A) Requirements
Applicants for the award of a Reserve Peace Officer Certificate shall:
1. Be currently employed as a (designated or non-designated) Level I Reserve Officer with a department participating in the POST program.
2. Have been selected in accordance with the minimum selection standards specified in Commission regulations for reserve officers.
3. Have completed a POST-certified Regular Basic Course in any delivery format.
4. Have satisfactorily completed a minimum of 200 hours of general law enforcement experience.
5. If appointed on or after January 1, 1999 but prior to June 30, 1999, shall have completed 200 hours of field training. If appointed on or after July 1, 1999 shall have completed 400 hours of field training.
(B) Application
The certificate application -- reserve peace officer shall be submitted on an Application for Award of POST Reserve Officer Certificate POST 2-256 (Rev 10/2010) form. If the training required in 3. above is not reflected on the applicant's POST Profile, the application shall include supporting documentation that verifies the training has been completed, i.e., a certificate of completion.
(13) Peace Officer Disqualification and Certificate Records
Reference Regulation 1011(b).
(14) Certificate Replacement
Reference Regulation 1011(f).
(15) Certificate Cancellations
Reference Regulation 1011(g).
(b) Peace Officer Disqualification and Certificate Records
(1) Disqualification from Peace Officer Employment
Except as provided in subdivision (2), (3), or (4), Government Code section 1029(a) summarily states that a person is disqualified from holding office as, or being employed as, a peace officer of the state, if the person is:
(A) Convicted of a felony.
(B) Convicted in any other jurisdiction of an offense that would have been a felony if committed in California.
(C) After January 1, 2004, been convicted of a crime based upon a verdict or finding of guilt of a felony by the trier of fact, or upon the entry of a plea of guilty or nolo contendere to a felony. This paragraph shall apply regardless of whether, pursuant to subdivision Penal Code section 17(b), the court declares the offense to be a misdemeanor or the offense becomes a misdemeanor by operation of law. [Note: when this subsection applies, also review text in Government Code section 1029(b).]
(D) Charged with a felony and adjudged to be mentally incompetent by a superior court.
(E) Found not guilty of a felony by reason of insanity.
(F) Determined to be a mentally disordered sex offender pursuant to Article 1 (commencing with Section 6300) of Chapter 2, Part 2 of Division 6 of the Welfare and Institutions Code.
(G) Convicted of addiction or in danger of becoming addicted to narcotics and committed to a state institution, pursuant to Section 3051 of the Welfare and Institutions Code.
(2) Employing Agency Responsibility
When department personnel have knowledge that a peace officer employee has been disqualified from holding office or being employed as a peace officer of the state pursuant to Government Code section 1029, the person with knowledge shall notify POST immediately. The notification shall be in writing and include as attachments copies of official documents that substantiate the disqualification.
(3) Disqualification Recorded
When a peace officer or former peace officer has been determined to be disqualified from holding office or being employed as a peace officer pursuant to Government Code section 1029, POST shall record the following admonition on the individual's POST Profile:
“THIS PERSON IS INELIGIBLE TO BE A PEACE OFFICER IN CALIFORNIA PURSUANT TO GOVERNMENT CODE SECTION 1029(a).”
If that same individual possesses a POST Basic Certificate, the Commission shall also note on the individual's POST Profile record in the “certificate section” of the record:
“THE BASIC CERTIFICATE IS NULL AND VOID.”
(4) Notification to Employing Law Enforcement Department
When POST has been officially notified through receipt of official court documents that a currently employed peace officer is ineligible to be a peace officer pursuant to Government Code section 1029(a), the Commission shall notify the law enforcement agency that employs the officer.
(5) Overturned or Reversed Convictions and Peace Officer Profile Records
An individual whose felony conviction is overturned or reversed is personally responsible for requesting an amendment of POST records. The individual desiring that his/her POST record be corrected shall:
(A) Provide POST with a written request to remove the statement(s) regarding ineligibility to be a peace officer and/or the voided Basic Certificate.
(B) Provide POST with certified court documentation that proves the felony conviction has been overturned or reversed.
(c) Professional Certificates -- Public Safety Dispatcher
(1) Dispatcher Certificates
Dispatcher Certificates are professional certificates awarded in recognition of meeting specified training and service requirements. Possession of these certificates is voluntary, and is not required to perform dispatcher duties.
(2) Application Requirements
An applicant shall submit a completed Certificate Application -- Public Safety Dispatcher form, POST 2-289 (Rev 10/2010). The application's attestation must be signed by the department head. If the training required in subsection (4) below is not reflected on the applicant's POST Profile, the application shall include supporting documentation that verifies the training has been completed, i.e., a certificate of completion.
(3) Dispatcher Basic Certificate Award Requirements
Each certificate applicant shall satisfy the requirements specified below:
(A) Be employed with a department participating in the POST Dispatcher Program.
(B) Be appointed as a full-time public safety dispatcher.
(C) Have been selected in accordance with the minimum selection requirements specified in Regulation 1018.
Exception: This requirement does not apply, if the dispatcher was appointed prior to the department's participation in the POST program.
(D) Have successfully completed a POST-certified Public Safety Dispatcher's Basic Course of no less than 80 hours.
(E) Have satisfactorily completed the current department's probationary period of at least 12 months.
Exception: Upon entry into the program, departments with a probation period of less than 12 months, when established by ordinance, charter, or memorandum of understanding, shall be granted a waiver of this requirement until a 12-month probation period can be established.
(4) Dispatcher Intermediate Certificate Award Requirements
Applicants for the award of a Dispatcher Intermediate Certificate shall:
(A) Satisfy the requirements specified in Regulation 1011(c)(3) for all certificates.
(B) Possess or be eligible to possess the Dispatcher Basic Certificate for the current position.
(C) Satisfy one of the following eligibility combinations:
Degree or Education Law Enforcement Training
Points* Experience Points
Bachelor Degree and 3 years plus 0
Associate Degree and 5 years plus 0
45 Education Points and 5 years plus 12
30 Education Points and 7 years plus 11
15 Education Points and 9 years plus 10
*Excess education points may be applied towards training points on a point-for-point basis [reference Regulation 1011(a)(3)(D).].
(5) Dispatcher Advanced Certificate Award Requirements
Applicants for the award of an Advanced Certificate shall:
(A) Satisfy the requirements specified in Regulation 1011(c)(3) for all certificates.
(B) Possess or be eligible to possess the Dispatcher Intermediate Certificate.
(C) Satisfy one of the following eligibility combinations:
Degree or Education Law Enforcement Training
Points* Experience Points
Master Degree and 5 years plus 0
Bachelor Degree and 7 years plus 0
Associate Degree and 9 years plus 0
45 Education Points and 9 years plus 12
30 Education Points and 11 years plus 11
*Excess education points may be applied towards training points on a point-for-point basis [reference Regulation 1011(a)(3)(D).].
(6) Certificate Replacement
Reference Regulation 1011(f).
(7) Certificate Cancellations
Reference Regulation 1011(g).
(d) Professional Certificate -- Records Supervisor
(1) Records Supervisor Certificate
The Records Supervisor Certificate is a professional certificate awarded to a records supervisor in recognition of meeting specified training and service requirements. Possession of this certificate is voluntary, and is not required to perform record supervisor duties.
(2) Prior to submitting an application for a POST Records Supervisor Certificate, POST shall have been notified of the records supervisor's appointment pursuant to the requirements in Regulation 1003(a)(1)(A)4.
(3) Application Requirements
An applicant shall submit a completed Certificate Application -- Records Supervisor form, POST 2-117 (Rev 10/2010). The application's attestation must be signed by the department head. If the training required in subsection (d) below is not reflected on the applicant's POST Profile, the application shall include supporting documentation that verifies the training has been completed, i.e., a certificate of completion.
(4) Records Supervisor Certificate Award Requirements
Each certificate applicant shall satisfy the requirements specified below:
(A) Be currently employed with a department participating in the POST Program.
(B) Be appointed as a records supervisor as defined in Regulation 1001.
(C) Have satisfactorily completed the current department's probationary period for a records supervisor.
(D) Have completed a minimum of two years satisfactory service with the current department as a records supervisor.
(E) Be a high school graduate or have successfully passed the General Education Development (GED) test for high school graduation.
(F) Have satisfactorily completed the Public Records Act course (minimum 16 hours) and the Records Supervisor Course (minimum 40 hours).
(5) Certificate Replacement
Reference Regulation 1011(f).
(6) Certificate Cancellations
Reference Regulation 1011(g).
(e) Certificates of Course Completion
(1) These certificates are awarded by training presenters to students who successfully complete a POST-certified course. The issuance of these types of certificates by training presenters are highly recommended but are not required except as specified in subsection (3) below. The certificate of course completion alone does not grant or bestow any powers on any individual who is the bearer of such a certificate.
(2) Peace Officer Powers
The combination of an appointment to a peace officer position by a law enforcement agency authorized to appoint peace officers, and the possession of a Certificate of Course Completion for certain basic courses, e.g., the PC 832 Arrest and Firearms Course, may bestow peace officer powers to an individual (reference Penal Code section 832).
(3) Certificate Issuance Requirement for Specified Courses
Any presenter of a POST-certified instructor development course listed in Regulation 1070 or presenters of the Academy Director/Coordinator Workshop or Recruit Training Officer Workshop shall issue a certificate of completion to all students who successfully complete the training.
(4) Certificate Content Requirement
A Certificate of Completion issued by the training institution shall include the following on the certificate:
(A) Name of Training Institution
(B) POST Title of the Course
(C) Ending Date of the Course
(D) Number of Hours Completed by the Individual
(E) POST Course Control Number
(f) Certificate Replacement
(1) Requests for Certificate Replacement
Individuals who have lost or misplaced a professional certificate or who possess a damaged professional certificate may request a replacement. The request must be submitted by completing a Request for Reissuance of POST Certificate form, POST 2-250 (Rev 10/2010), and mailing it to the POST Certificates Unit.
(g) Certificate Cancellation
(1) Cancellation Reasons
POST shall cancel a professional certificate(s) for the following reasons:
(A) The certificate was obtained through misrepresentation, fraud, or
(B) The certificate was issued as a result of administrative error on the part of POST or the employing agency.
(2) Notification Requirement
Department personnel who possess information that a certificate was obtained through misrepresentation, fraud, or administrative error shall notify the Commission immediately.
(3) Investigation of Circumstances
The Executive Director may initiate an investigation of the circumstances under which the certificate was issued. The Executive Director has the authority to approve or deny certificate cancellation.
(4) Cancellation Appeal
An individual whose certificate has been cancelled may appeal the cancellation to the Commission.
At the Commission's discretion, a hearing shall be held either before the Commission or before a qualified hearing officer. The hearing officer shall prepare a proposed decision in such form that it may be adopted as the decision in the case. All hearings shall be conducted in conformance with the Administrative Procedures Act (Government Code.C. section 11340 et seq.). At the conclusion of the appeal hearing, the Commission shall render a decision to uphold or overturn the decision to cancel the certificate.
(5) Cancellation Recorded
When the decision to cancel is upheld through the appeal process, the POST Profile record shall indicate the appropriate reason for the cancellation.
(6) Return of Certificate
Upon notification of cancellation, the individual to whom a cancelled certificate was issued shall return the certificate to POST.
NOTE
Authority cited: Sections 1029, Government Code; Sections 13503, 13506. 13510(c), 13510.1, 13510.1(e), 13510.2, 13510.7 and 13510(c), Penal Code. Reference: Sections 1031, Government Code; and Sections 832.4, 13503, 13506, 13510(c), 113510.1, 13510.1(e), 13510.3 and 13510.7(a)-(b), Penal Code.
HISTORY
1. Change without regulatory effect renumbering and amending former section 9070 to new subsections 1011(a)-(a)(15), renumbering and amending former section 9071 to new subsections 1011(b)-(b)(5)(B), renumbering and amending former section 9072 to new subsections 1011(c)-(c)(7), renumbering and amending former section 9073 to new subsections 1011(d)-(d)(6), renumbering and amending former section 9076 to new subsections 1011(e)-(e)(4), renumbering and amending former section 9077 to new subsections 1011(f)-(f)(1) and renumbering and amending former section 9078 to new subsections 1011(g)-(g)(6) filed 11-26-2012 pursuant to section 100, title 1, California Code of Regulations (Register 2012, No. 48). For prior history, see Register 2007, No. 5.
§1012. Conditions for Continuing Employment.
Note • History
(a) Every full-time peace officer employed by a participating department shall be required to serve in a probationary status for not less than 12 months from the date appointed to a full-time peace officer position.
(b) In order to continue to exercise peace officer powers, any individual appointed to a full-time peace officer position pursuant to Penal Code section 830.1(a) must obtain a Basic Certificate as set forth in Penal Code section 832.4.
NOTE
Authority cited: Section 11422, Government Code; and Section 832.4, Penal Code. Reference: Sections 832.4 and 13506, Penal Code.
HISTORY
1. Renumbering of former section 1004 to new section 1012, including amendment of section heading and Note, filed 10-7-2002; operative 7-1-2003 (Register 2002, No. 41). For prior history of section 1012, see Register 91, No. 16.
Note • History
The Law Enforcement Code of Ethics, as stated in PAM, section C-3, shall be administered to all peace officer trainees during the basic course and to all other persons at the time of appointment.
NOTE
Authority cited: Section 13506, Penal Code. Reference: Section 13503, Penal Code.
HISTORY
1. Amendment filed 2-10-83; effective upon filing pursuant to Government Code section 11346.2(d) (Register, No. 7).
2. Amendment filed 8-27-90; operative 9-26-90 (Register 90, No. 42).
§1014. Training for Non-Sworn and Paraprofessional Personnel.
Note • History
(a) Reimbursement shall be provided to Regular Program agencies for the training of non-sworn personnel performing police tasks and paraprofessional personnel, as provided for by Regulation 1015 and POST Administrative Manual Section E-1-4a.
(b) Request for Approval
(1) Non-Sworn or Paraprofessional Personnel Whenever it is necessary for the employing jurisdiction to obtain prior written approval from the Commission for non-sworn or paraprofessional personnel to attend reimbursable training, the agency shall include in the approval request the following information regarding each individual. (See PAM, section E-1-4a.)
(A) The Trainee's Name and Job Title.
(B) Job Description.
(C) Course Title, Location and Dates of Presentation.
(2) Request for approval must reach the Commission 30 days prior to the starting date of the course.
(c) Reimbursement Reimbursement for non-sworn and paraprofessional personnel is computed in the same manner (except as noted below) as for sworn personnel according to the reimbursement plan for each course appropriate for the employee's classification as set forth in the POST Administrative Manual, Section E-1-4a. No reimbursement is provided for the training of non-sworn personnel for expenses associated with courses enumerated in Regulation 1005(a)(b)(c)(d)(e), except as provided in PAM, section E-1-4a (3), (4), and (5). PAM section E-1-4a adopted effective April 15, 1982, and amended 5-1-87 is herein incorporated by reference.
PAM section E-1-4(a) adopted effected April 15, 1982 and amended May 31, 1987, October 10, 1990, January 21, 1994, August 1, 2005, and August 26, 2006 is herein incorporated by reference.
NOTE
Authority cited: Sections 13503, 13506 and 13510, Penal Code. Reference: Sections 13503, 13506 and 13523, Penal Code.
HISTORY
1. Amendment filed 2-10-83; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 83, No. 7).
2. Amendment filed 6-15-83; effective thirtieth day thereafter (Register 83, No. 25).
3. Amendment filed 8-12-83; effective thirtieth day thereafter (Register 83, No. 33).
4. Amendment filed 5-1-87; operative 5-31-87 (Register 87, No. 19).
5. Change without regulatory effect amending of PAM section E-1-4 pursuant to section 100, title 1, California Code of Regulations (Register 90, No. 44).
6. Amendment of last paragraph filed 12-22-93; operative 1-21-94 (Register 93, No. 52).
7. Amendment of last paragraph filed 8-1-2005; operative 8-1-2005 pursuant to Government Code section 11343.4 (Register 2005, No. 31).
8. Amendment of PAM section E-1-4 (incorporated by reference) and amendment of subsection (c) filed 7-27-2006; operative 8-26-2006 (Register 2006, No. 30).
9. Change without regulatory effect amending subsections (b)(1)(A)-(C) and (c) filed 11-26-2012 pursuant to section 100, title 1, California Code of Regulations (Register 2012, No. 48).
Note • History
(a) Proportionate Reimbursement Reimbursements to cities, counties, and districts shall be granted by the Commission in accordance with section 13523 Penal Code.
(1) Marshals' and district attorneys' departments are included in the Regular Program for reimbursement even though individual officers employed by the agencies have retained specialized peace officer classification.
(2) A jurisdiction that employs limited function peace officers may be reimbursed for allowable expenses of these officers that are related to attendance of POST-certified courses.
(b) Reimbursement for Travel, Subsistence, Commuter Lunch, Tuition and Back-fill Salary
(1) Requests for Reimbursement
Each request for reimbursement must be submitted on a form provided by the Commission and submitted to the training institution at the beginning of a POST-certified training course. No further action is required by the participating jurisdiction to receive reimbursement except for those courses requiring a report to POST as a condition of successful completion, such as Field Management Training and Team Building Workshops. Upon completion of the training, reimbursement will be automatically computed and paid to the jurisdiction.
(2) Training Expenses May Be Claimed Only Once When a trainee has attended a course certified by the Commission for which reimbursement has been legally requested and paid, an employing jurisdiction may not receive reimbursement for subsequent attendance by the same trainee of the same course except where attendance of the course is authorized to be repeated periodically, such as for Seminars, Advanced Officer Courses, and selected Technical Courses which deal with laws, court decisions, procedures, techniques and equipment which are subject to rapid development or change. Exceptions or special circumstances must be approved by the Executive Director prior to beginning the training course.
(3) Reimbursement is provided only for expenses related to attendance of POST certified courses.
(4) Reimbursement may be provided only for satisfactorily completed training acquired by full-time employees in an on-duty status. See the POST Administrative Manual, section E-1-4(c) and (e), (adopted effective April 15, 1982), herein incorporated by reference.
(5) Reimbursement may be made to a jurisdiction which terminates a basic course trainee, allows a trainee to resign prior to completion of a certified basic course, or if the trainee is unable to complete a certified basic course due to illness, injury, or other physical or academic deficiency, provided the background investigation requirements of Regulation 1953 and 1959 or Regulation 1018(c), respectively, (based on the applicability of the regulation to the classification of the trainee) have been completed prior to the date the trainee was appointed and the date the course began. The remaining reimbursement entitlement for a trainee eligible to be re-enrolled may be applied to attendance of any certified basic course which is subsequently attended by the trainee.
(6) Reimbursement may be paid to a jurisdiction when a peace officer trainee fails a certified Basic Course only because of not passing a locally required training subject(s), but the trainee otherwise satisfactorily completes the course.
(7) When a peace officer trainee has attended a POST-certified basic course for which reimbursement has been provided, an employing jurisdiction may receive reimbursement for subsequent attendance of a POST-certified basic training course by the same trainee who has a three-year or longer break in service as a peace officer and must be retrained (section 1008(b)).
(8) Reimbursement for partial completion of a certified Motorcycle Training Course or instructor training courses may be provided if the trainee fails to complete the course due to an inability to perform the skills required for successful completion.
(9) A Drug Asset Forfeiture Account is established for all money accruing to the Peace Officers' Training Fund from drug asset forfeitures. Funds within the Drug Asset Forfeiture Account will be distributed to ci-- ties, counties, and districts participating in the POST program under Penal Code section 13522, and to State agencies, as partial reimbursement of costs incurred by full-time peace officers who complete drug training courses. Annual reimbursement from this account will be made for completion of any POST-certified narcotics and dangerous drug course. Excluded are courses not specifically certified as drug courses and for which POST is unable to track attendance by course content.
(10) Reimbursement is authorized for California law enforcement agencies in counties bordering states contiguous to California, and whose officers attend POST-certified training courses in those states (Oregon, Nevada and Arizona). Agencies in other than contiguous counties may be reimbursed only if the Executive Director or his designee grants prior approval. Prior approval will be granted only upon showing a special need.
(c) Reimbursement for Training Presentation.
(1) With the exception of tuition-based courses, contract courses, and Web-Based Training, an agency presenter may receive reimbursement for up to the actual course presentation costs [refer to Regulation 1001] for expenses incurred in training full-time employees from agencies eligible for POST reimbursement.
(2) Training presentation reimbursement shall be paid at a uniform rate per student hour.
(3) Training presentation reimbursement shall only be provided for the total number of POST-approved reimbursement training hours attended by eligible trainees as described in Regulation 1015(c)(1).
(d) Back-fill (replacement)/Days-Off Reimbursement
(1) The Commission will reimburse any eligible agency, Section 13523 Penal Code, for the agency's expense of paying salary at the overtime rate: (1) to a peace officer, who replaces another peace officer for his/her attendance at selected POST-certified training, or (2) to a peace officer who is assigned to training on his/her days off, or, (3) to a public safety dispatcher or dispatch supervisor who replaces another public safety dispatcher, or dispatch supervisor for his/her attendance at selected POST-certified training, or (4) to a public safety dispatcher, or dispatch supervisor who is assigned to training on his/her days off.
(2) Reimbursement claims may be made only for attendance at POST-certified training courses identified by the Commission. Training courses that qualify for reimbursement are restricted to: (a) courses developed and presented with Federal funds allocated by Federal law, STOP violence against women, (b) courses designed to address high-priority, in-service training needs of entry-level peace officers, and (c) courses designed to address high-priority, in-service training needs of public safety dispatchers and dispatch supervisors. As such courses are certified, there will be a notation of eligibility for reimbursement.
(3) Reimbursement shall be paid at 100% of actual salary cost (at the time and one-half overtime rate) incurred to keep a position filled while the incumbent attends training. Payment is subject to availability of funds.
PAM Section E-1-4c adopted effective April 15, 1982 and amended January 21, 1994, is herein incorporated by reference.
PAM Section E-1-4e adopted effective April 15, 1982 is herein incorporated by reference.
Note: Refer to PAM, Section E, Reimbursements, for detailed information on reimbursement procedures.
NOTE
Authority cited: Sections 13503, 13506, 13510 and 13520, Penal Code. Reference: Sections 13510, 13511, 13512, 13518, 13520, 13522, 13523, 13524 and 13525, Penal Code; Section 11489, Health and Safety Code; and Statutes 1997, Chapter 9, Section 2, (Senate Bill 350).
HISTORY
1. New subsection (a)(1) filed 5-14-82; designated effective 7-1-82 (Register 82, No. 20).
2. Amendment filed 2-10-83; effective upon filing pursuant to Government Code section 11346.2(d) (Register 83, No. 7).
3. Amendment filed 6-15-83; effective thirtieth day thereafter (Register 83, No. 25).
4. Amendment of subsection (f) filed 3-5-85; effective thirtieth day thereafter (Register 85, No. 10).
5. New subsection (a)(2) filed 1-9-86; effective thirtieth day thereafter (Register 86, No. 2).
6. Relettering of former subsection (h) to subsection (i) and new subsection (h) filed 2-3-86; effective thirtieth day thereafter (Register 86, No. 6).
7. Amendment of subsections (a), (c) and (f)-(h) filed 11-29-88; operative 12-29-88 (Register 88, No. 51).
8. New subsection (j) filed 6-13-91; operative 7-13-91 (Register 91, No. 35).
9. Amendment of subsection (b), new subsection (c), subsection relettering, and amendment of Note filed 2-1-93; operative 2-1-93 (Register 93, No. 6). A Certificate of Compliance must be transmitted to OAL 6-1-93 or emergency language will be repealed by operation of law on the following day.
10. Certificate of Compliance as to 2-1-93 order transmitted to OAL 5-24-93 and filed 7-6-93 (Register 93, No. 28).
11. New subsections (c) and (d)(1)-(3), subsection redesignation and amendment of Note filed 12-22-93; operative 1-21-94 (Register 93, No. 52).
12. Amendment of subsection (c), new subsections (e)-(e)(3), and amendment of Note filed 2-26-98; operative 3-1-98 pursuant to Government Code section 11343.4(d) (Register 98, No. 9).
13. Amendment of subsection (e)(3) filed 8-20-98 as an emergency; operative 8-20-98 (Register 98, No. 34). A Certificate of Compliance must be transmitted to OAL by 12-18-98 or emergency language will be repealed by operation of law on the following day.
14. Certificate of Compliance as to 8-20-98 order transmitted to OAL 10-27-98 and filed 12-7-98 (Register 98, No. 50).
15. Amendment of subsections (e)-(e)(3) filed 4-1-99; operative 5-1-99 (Register 99, No. 14).
16. New subsection (c)(10) filed 1-7-2000; operative 2-6-2000 (Register 2000, No. 1).
17. Amendment of subsections (e)(1) and (e)(2) filed 4-11-2001; operative 7-1-2001 (Register 2001, No. 15).
18. Amendment of subsection (c)(5) filed 8-22-2005; operative 9-21-2005 (Register 2005, No. 34).
19. Repealer of subsection (b), subsection relettering and amendment of newly designated subsections (b)(1), (c)(3) and (d) filed 2-9-2006; operative 3-11-2006 (Register 2006, No. 6).
20. Amendment of subsection (c)(1) filed 7-27-2006; operative 8-26-2006 (Register 2006, No. 30).
21. Change without regulatory effect amending subsections (a), (b)-(b)(2), (b)(4)-(5) and (c) filed 11-26-2012 pursuant to section 100, title 1, California Code of Regulations (Register 2012, No. 48).
§1016. Services Provided by the Commission.
Note • History
Counseling services are provided only to a local jurisdiction, and only upon request for the purpose of improving its administration, management, and operations. Aid may also be given to such agencies in implementing recommended procedures or practices. See PAM, Section G.
NOTE
Authority cited: Section 13506, Penal Code. Reference: Sections 13503 and 13513, Penal Code.
HISTORY
1. Amendment filed 2-10-83; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 83, No. 7).
2. Amendment filed 6-15-83; effective thirtieth day thereafter (Register 83, No. 25).
§1017. Standards for Approved Courses. [Repealed]
Note • History
NOTE
Authority cited: Section 11422, Government Code. Reference: Section 13506, Penal Code.
HISTORY
1. Repealer filed 2-10-83; effective upon filing pursuant to Government Code Section 11346.2(d) (Register 83, No. 7).
§1018. Public Safety Dispatcher Programs.
Note • History
(a) The Commission shall establish a Public Safety Dispatcher Program for the purpose of raising the level of competence of public safety dispatchers having primary responsibility for providing dispatching services for local law enforcement agencies listed in subsection (a) of Penal Code section 13510.
Public Safety Dispatcher is defined in regulation 1001. Consistent with that definition, selection and training requirements set forth below apply to all persons employed, full-time or part-time, by the participating agency to duties including receiving emergency calls for law enforcement service and/or the dispatching of law enforcement personnel. The selection and training requirements do not apply to persons employed as peace officers assigned to the above described duties.
(b) Specialized Public Safety Dispatcher Program. Any public jurisdiction or agency, other than those described in Penal Code section 13510(a), which employs public safety dispatchers whose primary responsibility is providing dispatch services for law enforcement personnel, may participate in the Specialized Public Safety Dispatcher Program. Such participants shall not be eligible for reimbursement. All rules and procedures, except reimbursement provisions, that apply to the Public Safety Dispatcher Program shall also apply to the Specialized Public Safety Dispatcher Program.
(c) Minimum Training Standards for Public Safety Dispatchers
(1) Every public safety dispatcher shall satisfactorily complete the POST-certified Public Safety Dispatchers' Basic Course as set forth in PAM, section D-1-5 before or within 12 months after the date of appointment, promotion, reclassification, or transfer to a public safety dispatcher position; or possess the Public Safety Dispatcher Certificate.
(2) Every public safety dispatcher, and public safety dispatch supervisor, shall also satisfactorily complete the Continuing Professional Training requirement set forth in Regulation 1005.(d).
(d) Probation Period Every full-time employed public safety dispatcher after hire shall demonstrate competence in the performance of the duties of a public safety dispatcher by satisfactory completion of a probationary period of at least 12 months. Upon entry into the program, departments with a probation period of less than 12 months, when established by ordinance, charter, or memorandum of understanding, shall be granted a waiver of this requirement until a 12-month probation period can be established.
(e) The Commission shall award public Safety Dispatcher Certificates to dispatchers who qualify as provided in PAM, Section B, 1011(c), for the purpose of fostering professionalization.
PAM Section D-1-5 adopted effective December 29, 1988 and amended December 19, 1994, July 1, 2002, and September 15, 2004, January 1, 2006, and August 26, 2006 is herein incorporated by reference.
The document, Training Specifications for the Public Safety Dispatchers' Basic Course adopted effective December 19, 1994 and amended April 23, 1999, July 1, 2002, July 1, 2010, and July 1, 2011 is herein incorporated by reference.
NOTE
Authority cited: Sections 832.3, 13503, 13506 and 13510, Penal Code. Reference: Sections 832.3 and 13510, Penal Code.
HISTORY
1. New section filed 11-29-88; operative 12-29-88 (Register 88, No. 51).
2. Amendment filed 5-6-91; operative 6-5-91 (Register 91, No. 21).
3. Amendment of subsections (d) and (f) filed 12-19-94; operative 1-18-95 (Register 94, No. 51).
4. New subsections (c)(4)-(c)(4)(B) filed 2-29-96; operative 7-1-97 (Register 96, No. 9).
5. Amendment of subsection (d) and PAM section D-1-6 reference filed 4-2-96; operative 5-2-96 (Register 96, No. 14).
6. Editorial correction of History 4 (Register 97, No. 3).
7. Amendment of penultimate paragraph and document Training Specifications for the Public Safety Dispatchers' Basic Course, incorporated by reference, filed 7-8-97; operative 1-1-98 (Register 97, No. 28).
8. Amendment of subsection (a) filed 11-4-97; operative 12-4-97 (Register 97, No. 45).
9. Amendment of last paragraph and amendment of the document, Training Specifications for the Public Safety Dispatchers' Basic Course (incorporated by reference) filed 3-24-99; operative 4-23-99 (Register 99, No. 13).
10. Amendment reorganizing subsection (d) into subsections (d)-(d)(1) and new subsection (d)(2) filed 8-19-99; operative 7-1-2000 (Register 99, No. 34).
11. Amendment of antepenultimate paragraph filed 10-17-2001; operative 1-1-2002 (Register 2001, No. 42).
12. Amendment of subsection (f) and amendment of PAM section D-1-5 and the document, Training Specifications for the Public Safety Dispatchers' Basic Course (incorporated by reference) filed 3-7-2002; operative 7-1-2002 (Register 2002, No. 10).
13. Amendment of PAM section D-1-5 and amendment of Note filed 8-26-2004; operative 9-15-2004 pursuant to Government Code section 11343.4 (Register 2004, No. 35).
14. Amendment of subsections (c)(1)-(2) filed 8-22-2005; operative 9-21-2005 (Register 2005, No. 34).
15. Amendment of PAM section D-1-5 and subsections (a) and (f) filed 7-27-2006; operative 8-26-2006 (Register 2006, No. 30).
16. Amendment of subsection (f) filed 2-2-2007; operative 3-4-2007 (Register 2007, No. 5).
17. Repeal of PAM section C-1, repealer of subsections (c)-(c)(4)(B) and subsection relettering filed 4-1-2009; operative 7-1-2009 (Register 2009, No. 14).
18. Amendment of the document, Training Specifications for the Public Safety Dispatcher Basic Course (incorporated by reference) and amendment of subsections (c)(1) and (e) filed 6-9-2010; operative 7-1-2010 pursuant to Government Code section 11343.4 (Register 2010, No. 24).
19. Amendment of document Training Specifications for Public Safety Dispatchers' Basic Course (incorporated by reference) and amendment of subsections (c)(1) and (e) filed 4-19-2011; operative 7-1-2011 (Register 2011, No. 16).
20. Change without regulatory effect amending subsections (b), (c)-(c)(2), (d) and (e) filed 11-26-2012 pursuant to section 100, title 1, California Code of Regulations (Register 2012, No. 48).
§1019. Peace Officer Feasibility Study Requirements.
Note • History
(a) Feasibility Study Requirement
Pursuant to Penal Code section 13540, any person(s) desiring peace officer status or a change in peace officer designation or status shall request the Commission on POST to undertake a feasibility study regarding such change.
(b) Feasibility Study Request
(1) Written Request
A written request for a feasibility study shall be made by the following:
(A) Any person(s) not currently a peace officer, desiring peace officer status under Chapter 4.5 (commencing with Penal Code section 830), or
(B) Any person(s) designated as a peace officer(s) under Chapter 4.5 (commencing with Penal Code section 830), desiring a change in peace officer designation or status.
(2) Content of Request
The written request for the study shall include a statement that the person(s) or entity making the request acknowledges that a fee shall apply for conducting the study and will provide POST with the necessary information to conduct the study.
(3) Study Fee
POST shall charge a fee to conduct the feasibility study based upon actual direct costs for completing the study and indirect costs determined in accordance with State Administrative Manual sections 8752 and 8752.1. Upon payment of the study fee by the requestor(s), the completed feasibility study and its recommendations shall be released to the requestor(s). A copy of that study and the recommendation by POST shall also be submitted to the Legislature.
(4) Employing Jurisdiction Acknowledgement of Request
The department head of the jurisdiction employing the person(s) requesting the feasibility study shall acknowledge the request in writing.
(c) Feasibility Study Scope of Work
(1) The Commission shall conduct all feasibility studies within the scope specified in Penal Code section 13541.
(2) The scope of a study shall include, but not be limited to, the current and proposed duties and responsibilities and the field law enforcement duties and responsibilities of the study's requestor(s).
(3) A study involving a change in peace officer designation shall consider the extent to which the requestor's current duties and responsibilities require additional peace officer powers and authority. The study shall include on-site visitations to verify these duties and responsibilities.
(A) Solicitation of Comments
During the conduct of a study, written comments will be solicited from the employing jurisdiction's chief administrator, the concerned department head, and other interested parties.
(B) Commencement of Work on the Study
The study shall commence after the mutual acceptance of a contract between the requesting person(s) or their representing entity and the Commission.
(d) Study Recommendations
Any study recommendations in support of peace officer status or a change in peace officer designation or status shall be made in accordance with Penal Code Section 13542 and shall minimally include the following:
(1) New Peace Officer Designation
(A) Supervisory Structure
The person or persons desiring the designation change shall be employed by a department with a supervisory structure that includes a chief law enforcement officer.
(B) Training Requirements
The employing department shall agree to comply with the training requirements set forth in Penal Code section 832.
(C) Funding Restriction
The employing department shall be subject to the funding restriction set forth in Penal Code section 13526.
(2) Change in Peace Officer Designation or Status
(A) POST Program Participation
The person(s) desiring the change in peace officer designation or status shall be employed by a department currently participating in the POST program.
(B) Certificate Requirement
If the designation change is moving the person(s) into Penal Code section 830.1, the person(s) shall obtain the POST Basic Certificate as set forth in Penal Code section 832.4.
(e) Time Limits for Completion of the Study
(1) New Peace Officer Designation
The study and its recommendations shall be issued to the requesting person(s) or entity within 18 months of the mutual acceptance of a contract between the requestor(s) and the Commission. A copy of the study and recommendations shall also be submitted to the Legislature via the Legislative Counsel.
(2) Change in Peace Officer Designation or Status
The study and its recommendations shall be issued to the requesting person(s) or entity within 12 months of the mutual acceptance of a contract between the requestor(s) and the Commission, or as soon as possible thereafter if the Commission determines the need for an extension of the 12-month time period. A copy of the study and recommendations shall also be submitted to the Legislature via the Legislative Counsel.
(f) Appeals
(1) Procedures for Appeal of Findings
If there is disagreement with the study recommendations, the person(s) or entity requesting the feasibility study, or the employing jurisdiction, may appeal in writing to the Commission.
(2) Written Acknowledgement
Requests for appeals will be acknowledged in writing.
(3) Time Limits
Initial appeals will be heard within four months after the date the request for appeal is received by the Commission, and a decision on the appeal shall be rendered within six months of receipt of the appeal.
NOTE
Authority cited: Sections 13503, 13506 and 13540, Penal Code. Reference: Sections 13540, 13541, 13542 and 13543, Penal Code.
HISTORY
1. Renumbering and amendment of former section 9020 to section 1019 filed 5-9-2012; operative 6-8-2012. For prior history of section 1019, see Register 2007, No. 23. (Register 2012, No. 19).
2. Change without regulatory effect amending subsections (b)(1)(A)-(B) filed 11-26-2012 pursuant to section 100, title 1, California Code of Regulations (Register 2012, No. 48).
§1020. Reimbursement for Purchase of Satellite Antenna. [Repealed]
Note • History
NOTE
Authority cited: Sections 13503, 13506 and 13520, Penal Code. Reference: Section 13523, Penal Code.
HISTORY
1. New section filed 2-1-93 as an emergency; operative 2-1-93 (Register 93, No. 6). A Certificate of Compliance must be transmitted to OAL 6-1-93 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 2-1-93 order transmitted to OAL 5-24-93 and filed 7-6-93 (Register 93, No. 28).
3. Amendment of subsections (a), (b)(1), (b)(3), (c)(1)-(c)(2)(A) and (e) filed 6-10-98; operative 7-10-98 (Register 98, No. 24).
4. Amendment of subsections (a), (b)(3) and (c)(2) filed 1-22-2001; operative 2-21-2001 (Register 2001, No. 4).
5. Repealer filed 2-9-2006; operative 3-11-2006 (Register 2006, No. 6).
§1021. Reimbursement for Purchase of Interactive Multimedia Training Delivery System. [Repealed]
Note • History
NOTE
Authority cited: Sections 13503, 13506 and 13520, Penal Code. Reference: Section 13523, Penal Code.
HISTORY
1. New section filed 2-1-93 as an emergency; operative 2-1-93 (Register 93, No. 6). A Certificate of Compliance must be transmitted to OAL 6-1-93 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 2-1-93 order transmitted to OAL 5-24-93 and filed 7-6-93 (Register 93, No. 28).
3. Amendment of section heading and section filed 8-17-98; operative 9-16-98 (Register 98, No. 34).
4. Amendment of subsection (a) filed 1-22-2001; operative 2-21-2001 (Register 2001, No. 4).
5. Repealer filed 2-9-2006; operative 3-11-2006 (Register 2006, No. 6).
Article 2. Commission on Peace Officer Standards and Training--Conflict of Interest Code
NOTE: It having been found, pursuant to Government Code Section 11409(a), that the printing of the regulations constituting the Conflict of Interest Code is impractical and these regulations being of limited and particular application, these regulations are not published in full in the California Code of Regulations. The regulations are available to the public for review or purchase at cost at the following locations:
COMMISSION ON PEACE OFFICER
STANDARDS AND TRAINING
1601 ALHAMBRA BLVD.
SACRAMENTO, CA 95816
FAIR POLITICAL PRACTICES COMMISSION
428 “J” STREET
SACRAMENTO, CA 95814
ARCHIVES
SECRETARY OF STATE
1020 “O” STREET
SACRAMENTO, CA 95814
The Conflict of Interest Code is designated as Article 2 of Division 2 of Title 11 of the California Code of Regulations, and consists of sections numbered and titled as follows:
Article 2. Conflict of Interest Code
Section
1045. General Provisions
Appendix
NOTE
Authority cited: Sections 87300 and 87304, Government Code. Reference: Section 87300, et seq., Government Code.
HISTORY
1. New Article 2 (Sections 1020-1056) filed 11-28-77; effective thirtieth day thereafter. Approved by Fair Political Practices Commission 6-8-77 (Register 77, No. 48).
2. Repealer of Article 2 (Sections 1020-1056) and new Article 2 (Section 1020 and Appendix) filed 2-26-81; effective thirtieth day thereafter. Approved by Fair Political Practices Commission 4-1-80 (Register 81, No. 9).
3. Change without regulatory effect renumbering former section 1020 to section 1045, and amendment of agency street addresses filed 2-24-93 pursuant to section 100, title 1, California Code of Regulations (Register 93, No. 9).
4. Amendment of section and appendix filed 12-6-95; operative 1-5-96. Approved by Fair Political Practices Commission 10-20-95. Submitted to OAL for printing only (Register 95, No. 49).
Article 3. Regulatory Procedures
§1051. Course Certification Program.
Note • History
(a) The Commission administers the Course Certification Program to provide needed and quality training to law enforcement personnel. References to a course being “POST-certified” means that the Commission has approved presentation of the course in accordance with Regulations 1052-1056.
NOTE
Authority cited: Sections 13503 and 13506, Penal Code. Reference: Section 13503(e), Penal Code.
HISTORY
1. New section filed 3-25-91; operative 4-24-91 (Register 91, No. 16).
2. Amendment of section filed 1-22-2001; operative 2-21-2001 (Register 2001, No. 4).
3. Change without regulatory effect amending subsection (a) filed 11-26-2012 pursuant to section 100, title 1, California Code of Regulations (Register 2012, No. 48).
§1052. Requirements for Course Certification.
Note • History
(a) Instructor-Led Training
Each instructor-led training (Web-based, classroom, or other) course certification request shall be evaluated in accordance with the following factors:
(1) Need and Justification for Course
(2) Course Content
(3) Hours of Instruction
(4) Qualifications of Instructors, Coordinators, and/or Academy Staff (Reference Regulations 1070 and 1071 for minimum training standards)
(5) Potential Clientele and Volume of Trainees
(6) Physical Facilities Appropriate for the Training
(7) Methods of Course Presentation
(8) Availability of Staff to Administer the Course
(9) Course Evaluation Processes
(10) Cost of Course
(11) Instructor/Trainee Ratios
(12) Provisions for Student Safety
(b) Self-paced training (e.g., CD-ROM or Web-based Training).
Each self-paced training course certification request shall be evaluated in accordance with the following factors:
(1) Need and Justification for Course
(2) Course Content
(3) Proposed Continuing Professional Training Hours
(4) Estimated Completion Time for a Course
(5) Estimated Completion Times for Individual Learning Activities and Evaluations
(6) Qualification of Course Developers (reference Regulations 1070 and 1071 for minimum training standards)
(7) Potential Clientele and Volume of Trainees
(8) Course Objectives
(9) Learning Activities that Support the Course Objectives
(10) Evaluation Activities that Determine if the Course Objectives Were Met
(c) In addition to the criteria specified in Regulation 1052(a) or (b), each request for certification of a Regular Basic Course presented by an academy [as defined in Commission Procedure D-1-3(a)(6)], or a Modular Format presenter that is not an academy, shall be evaluated in accordance with the following criteria:
(1) Each academy shall designate an academy director whose qualifications, based upon education, experience, and training shall include a demonstrated ability to manage an academy.
(A) Academy management responsibilities shall include:
1. Integrating and sequencing instruction;
2. Managing instructional methods, testing, and remediation;
3. Hiring, assigning, and evaluating performance of the instructor(s), coordinator(s), training officer(s), and staff;
4. Coordinating, budgeting, and controlling academy resources; and
5. Maintaining academy discipline.
(2) Each academy shall designate an academy coordinator whose qualifications, based upon knowledge, experience, and training, shall include a demonstrated ability to coordinate the instruction and management of the Regular Basic Course instructional system.
(A) Regular Basic Course instructional system coordination responsibilities shall include:
1. Developing sequenced instructional schedules;
2. Overseeing and evaluating instructional, technological, testing, and remediation methods;
3. Participating in the hiring process of instructor(s), training officer(s) and staff, and making recommendations for their selection and assignment; and evaluating instructor(s') and training officer(s') performance; and
4. Delivering course curriculum in accordance with the Training and Testing Specifications.
(3) Each Modular Format presenter, that is not an academy, shall designate a coordinator whose qualifications, based upon knowledge, experience, and training, shall include a demonstrated ability to coordinate the instruction and management of the Regular Basic Course instructional system.
(A) Regular Basic Course instructional system coordination responsibilities shall include:
1. Developing sequenced instructional schedules;
2. Overseeing and evaluating instructional, technological, testing, and remediation methods;
3. Participating in the hiring process of instructor(s), training officer(s) and staff, and making recommendations for their selection and assignment;
4. Evaluating instructor(s') and training officer(s') performance;
5. Approving student enrollment based on verification of completion of course prerequisites; and
6. Delivering course curriculum in accordance with the Training and Testing Specifications.
(4) Each academy shall be supervised at all times by an academy director or coordinator when instruction is being conducted.
(5) Each Modular Format course shall be supervised at all times by a coordinator when instruction is being conducted.
(6) Each Modular Format presenter, that is not an academy, shall comply with the minimum training standards for coordinators as prescribed in Regulation 1071.
(7) Each academy shall designate recruit training officers whose qualifications, based upon knowledge, experience, and training, shall include a demonstrated ability to supervise trainees attending a Regular Basic Course -- Standard Format, Module I or the Specialized Investigator's Basic Course.
(A) Recruit training officer responsibilities shall include:
1. Monitoring that instruction meets state legislative mandates and Commission regulations and procedures;
2. Providing day-to-day first line supervision of trainees;
3. Supporting, motivating, evaluating and advising trainees;
4. Performing Operational risk management and enforcing the student safety policy; and
5. Ensuring compliance with all local, state, and federal laws and administrative procedures associated with the educational and workplace environment.
(8) Each academy shall designate a scenario manager.
(A) Scenario Manager responsibilities shall include:
1. Performing role player and evaluator selection, training and scheduling;
2. Supervising scenario demonstration and testing;
3. Providing scenario briefings, logistics and protocols;
4. Ensuring the security of scenario test events and documents; and
5. Designating the safety officer(s).
(9) Each academy shall designate scenario evaluators.
(A) Scenario evaluator's responsibilities shall include:
1. Performing scenario scene management;
2. Ensuring security of scenario test events and documents;
3. Ensuring scene safety; and
4. Evaluating and documenting trainee performance.
(10) Each college academy shall institute an advisory committee of law enforcement officials to assist in providing logistical support and validation of the training.
(11) Each academy/presenter shall comply with the minimum training standards for directors, coordinators, recruit training officers, scenario managers, and scenario evaluators as prescribed in Regulation 1071.
(12) Each academy/presenter shall comply with the Test-Use and Security Agreement as defined in Commission Procedure D-1-3(a)(9).
(13) Each academy shall establish and comply with the Test Administration and Security Policy, as specified in the POST Basic Courses Test Management and Security Protocols 2012.
(d) Only those courses for which there is a identifiable and unmet need shall be certified.
(e) Courses for which POST has established minimum curriculum and/or hourly requirements must comply with those requirements at the time of the certification request and any subsequent presentations. (See Regulation(s) 1081, 1082 and any training specifications referenced in PAM, section D-1, which have been incorporated into regulation by reference.) An exception would be a course pilot presentation that is later determined to meet newly adopted or amended curriculum and hourly requirements, in which case, retroactive POST certification and presentation approval may be granted. In addition to meeting the curriculum and hourly requirements, a pilot presentation must meet the requirements set forth in Regulations 1052-1057. Any trainee who has successfully completed a retroactively POST-certified pilot presentation shall receive credit for the training (thus satisfying the training mandate) even though the training occurred prior to the adoption of training mandate or required curriculum/hours.
(f) Training presented in conjunction with association meetings or conferences may be certified subject to the requirements set forth in Regulations 1051-1058, along with the following conditions:
(1) Training shall not be certified as POST reimbursable
(2) Training presented by an association or in conjunction with an association meeting or conference shall not be certified if attendance is restricted to association members.
(g) The Commission shall only endorse or co-sponsor courses, seminars, or conferences when POST has assisted in planning the event, developing the subject matter or program, and selecting instructors or speakers.
(h) No course shall be certified which restricts attendance to a single agency, unless the purpose of the course is to improve that agency and attendance by non-agency personnel would jeopardize the success of the course.
(i) The presenter of a POST-certified course shall review all audio-visual training materials prior to use as a training resource. The review of audio-visual training material shall emphasize the avoidance of materials that depict situations, tactics, and procedures that could lead a trainee to take inappropriate actions on the job. The review shall also include careful examination of depictions of law enforcement work to assure consistency with existing law and accepted practices. (For reference, see “POST Guidelines for Reviewing Audio-Visual Training Materials”.)
(1) For the purposes of this regulation, “audio-visual training materials” are defined as audio tapes, CD-ROM discs, computer animations, digitized audio and video files, DVD discs, films, slides, videotapes, and other similar media. Classroom hand-out materials are not included.
(2) Regulation of 1052(h) shall be effective July 14, 1993 and shall apply to all audio-visual training materials being considered for use in POST-certified courses commencing after that date. The regulation shall apply to materials previously used by the course presenters only as they are considered for re-use in POST-certified courses.
(3) Audio-visual materials cataloged on the “POST-Approved Media List,” maintained by the Commission on Peace Officer Standards and Training, need not be subjected to the review process described in this section.
(4) Publicly available broadcast material pertinent to current training topics need not be subjected to the review process described in this section.
The document POST Basic Courses Test Management and Security Protocols 2012 adopted effective January 1, 2009, and amended May 3, 2012 is herein incorporated by reference.
NOTE
Authority cited: Sections 13503 and 13506, Penal Code. Reference: Section 13503(e), Penal Code.
HISTORY
1. New section filed 3-25-91; operative 4-24-91 (Register 91, No. 16).
2. New subsections (g)-(g)(4) filed 7-14-93; operative 7-14-93 pursuant to Government Code section 11346.2(d) (Register 93, No. 29).
3. Amendment of subsection (d) and new subsections (d)(1)-(2) filed 5-12-94; operative 5-29-94 (Register 94, No. 19).
4. New subsections (b)-(b)(4) and subsection relettering filed 10-28-96; operative 11-27-96 (Register 96, No. 44).
5. Amendment of subsections (d), (g), (h)(2) and (h)(3) filed 1-22-2001; operative 2-21-2001 (Register 2001, No. 4).
6. Amendment of subsections (a)(1) and (a)(2), new subsection (b)(5) and amendment of subsection (d) filed 7-17-2001; operative 7-1-2002 (Register 2001, No. 29).
7. Amendment of subsection (d) filed 4-7-2003; operative 5-7-2003 (Register 2003, No. 15).
8. Amendment filed 7-27-2006; operative 8-26-2006 (Register 2006, No. 30).
9. New subsections (c)(6)-(7), new document POST Basic Courses Test Administration and Security Guidelines 2009 (incorporated by reference) and new final paragraph filed 10-28-2008; operative 1-1-2009 (Register 2008, No. 44).
10. Amendment of subsection (c) and subsections thereof filed 12-29-2010; operative 1-1-2011 pursuant to Government Code section 11343.4 (Register 2010, No. 53).
11. Amendment of subsections (c)(12)-(13), redesignation and amendment of document POST Basic Courses Test Administration and Security Guidelines 2009 as POST Basic Courses Test Management and Security Protocols 2012 (incorporated by reference) and amendment of final paragraph filed 4-3-2012; operative 5-3-2012 (Register 2012, No. 14).
12. Change without regulatory effect amending subsections (a)-(b)(10), (c)(9) and (i) filed 11-26-2012 pursuant to section 100, title 1, California Code of Regulations (Register 2012, No. 48).
§1053. Course Certification Request and Review Process.
Note • History
Course Certification Request Any person or organization desiring to have a course certified shall first telephonically contact a POST regional consultant for an evaluation of the factors described in Regulation 1052(a) or (b). If the evaluation is favorable, a complete course certification request shall be submitted to POST via the Electronic Data Interchange (EDI) System.
(a) Instructor-led Training The following information, provided via the EDI, shall constitute a complete course certification request for instructor-led training and for the instructor-led portion of a blended learning course:
(1) Course Administration Information collected via EDI shall consist of the following:
(A) Agency Submitting Request
(B) Course Title
(C) College Affiliation
(D) Plan Requested
(E) Course Length -- Hours
(F) Format: Hours Per Day, Days Per Week, Weeks
(G) Presentations Per Year
(H) Units Granted: Semester or Quarter
(I) Participating Law Enforcement Agencies and Estimated Number of Yearly Trainees from Each Agency
(J) Enrollment Restrictions
(K) Maximum Number of Students
(L) Address of Course Site
(M) Facilities -- Number and Size of Classrooms
(N) Course Objectives and Narrative Description of Course
(O) Method of Presentation -- All Techniques Used: Lecture, Demonstration, Simulation, Role Playing, Conference, Other
(P) Number of Instructors
(Q) Training Aids Used
(R) Required Project
(S) Method of Evaluating Stated Objectives
(T) Name and Title of Person Requesting Course Certification
(U) Contact Number
(V) Date of Request
(W) Secondary Course Title
(X) Fiscal Year
(Y) Variable/Fixed Format
(Z) Course Is Specific to Dispatchers: Yes or No
(AA) Publish in POST Course Catalog: Yes or No
(BB) Categories
(CC) Course Is a Legislative Mandate: Yes or No
(DD) Course Is in Response to POST Regulatory Training Requirements: Yes or No
(EE) Course Requires Standardized Curriculum: Yes or No
(FF) Revisit Content Prior to Course
(GG) Course Is Highly Dynamic: Yes or No
(HH) Course Requires a Safety Guideline: Yes or No
(II) Subventions
(JJ) Pre-requisites Required: Yes or No
(KK) Proposed Presentation Dates
(LL) On-site/Off-site Presentations
(MM) Material Agency Fees
(NN) E-mail Address
(2) Course Instructor Résumé, completed by the course presenter for each instructor assigned to instruct in any POST certified/approved course. The presenter Attestation/Evaluation section of the résumé form shall be completed for each instructor of a “Specialized Training Sub-- ject” listed in Regulation 1070 who has been evaluated and found to meet the instructor training requirements of Regulations 1070 and 1082. The Course Instructor Resume information collected via EDI shall consist of the following:
(A) Instructor's Name (first, middle, last)
(B) Current Occupation
(C) Current Employer (primary)
(D) Business Address (street city state zip)
(E) Business Phone Number
(F) Business Email
(G) Course Assigned to Instruct
(H) Training Presenter
(I) POST Presenter Number
(J) Course Number if Known
(K) Subject(s) Assigned to Instruct (e.g., firearms, legal update)
(L) Highest Degree
(M) Year Obtained
(N) Major
(O) Education/Teaching Credential
(P) College/University (include city and state)
(Q) Types of General Law Enforcement Experience Relative to This Instructional Assignment (e.g., patrol, swat, traffic), Number of Years
(R) Other Law Enforcement-related Experience Relative to This Instructional Assignment (e.g., college instructor, attorney), Number of Years
(S) Instructor Development Training (general instructor skills: adult learning, assessment, presentation skills, testing): Course Titles -- POST-certified, Course Control Number, Total Hours, Completion Date
(T) Instructor Development Training (general instructor skills: adult learning, assessment, presentation skills, testing): Course Titles -- non POST-certified, Presenter, Total Hours, Completion Date
(U) Instructor Training Specific to this Course -- Initial Training and any Update Training (e.g., driver instructor course, driver instructor update course): Course Titles -- POST-certified, Course Control Number, Total hours, Completion Date
(V) Instructor Training Specific to this Course -- Initial Training and any Update Training (e.g., driver instructor course, driver instructor update course): Course Titles -- non POST-certified, Presenter, Total hours, Completion Date
(W) Professional License Certificates Relevant to this Course (e.g., EMT, NAUI, R.N.)
(X) The Name of the Specialized Subject the Instructor is Assigned to Teach and the Required Instructor Training Course Title as Listed In Regulation 1082 (e.g., firearms instructor)
(Y) Completion of POST-certified Instructor Course -- Regulation 1070(b): Course Titles -- POST-certified, Course Control Number, Hours
(Z) Equivalency Evaluation for Instructor Course -- Regulation 1070(c): Course Titles/Subject Areas, Course Control Number if Known, Hours, Date, Presenter
(AA) Attestation for (Y) or (Z) Above: Presenter/Designee, Position Title, Date
(BB) Titles of Directly Related Courses/Subjects Taught
(CC) Other Teaching Experience (course titles/subjects)
(DD) Presenter/Designee Authorized to Approve Instructor
(EE) Presenter's Contact Information: Office Number, Cell Number, Fax Number, Email Address
(3) Course Budget if the proposed course will require a tuition. (Reference Regulation 1054, Requirements for Course Budget.) Course Budget information collected via EDI shall consist of the following:
(A) Agency Presenting the Course
(B) Course Category
(C) Course Title
(D) Direct Costs -- Services: Instruction, Coordination, Clerical, Printing/Reproduction
(E) Direct Costs -- Supplies: Books/Pamphlets/Handouts, Certificates, Notebooks, Paper/Office Supplies
(F) Direct Costs -- Equipment
(G) Direct Costs -- Travel: Coordinator, Instructors
(H) Direct Costs -- Miscellaneous
(I) Indirect Costs
(J) Subventions
(K) Name of Person Submitting Budget and Date
(L) Services -- Instruction: Name, Number of Instructor Hours, Hourly Rate
(M) Services -- Coordination: Name, Number of Coordinator Hours, Hourly Rate
(N) Services -- Clerical: Name, Number of Hours, Hourly Rate
(O) Services -- Printing/Reproduction: Item, Cost
(P) Supplies -- Books/Pamphlets/Handouts: Item, Quantity, Cost
(Q) Supplies -- Certificates: Item, Quantity, Cost
(R) Supplies -- Notebooks: Item, Quantity, Cost
(S) Supplies -- Office Supplies: Item, Quantity, Cost
(T) Equipment: Item, Specific Cost
(U) Travel: Coordinator's Name, Origin & Destination, Mode of Transportation, Specific Costs (e.g., transportation, per diem, etc.)
(V) Miscellaneous: Item, Cost
(W) Subventions: Source of Subventions, Type of Subventions (cash, equipment, services, etc.), Cash Value of Subvention
(X) General Coordination
(Y) Presentation Coordination
(Z) Site Indicator
(AA) Course Facilities Cost
(4) Expanded course outline that minimally includes subject topics to the third level of detail, to sufficiently indicate the technical information in the subject areas. A generic outline example is as follows:
Course Name or Title
I. Introduction
A. Instructors
B. Course Description
C. Administration
II. Topic 1 or Section 1
A. First Subtopic/Section Content
1. Content Breakdown
B. Second Subtopic/Section Content
1. Content Breakdown
(5) Hourly distribution schedule indicating, by day of the week, the instructors and topics scheduled during each course hour. (Example formats are available from POST.)
(6) Course safety policies and procedures for courses that include manipulative skills training. (Reference POST Guidelines for Safety in Certified Courses for clarification and sample policies). The policies and procedures must minimally address:
(A) Rules of Safety and Conduct,
(B) Reporting and Handling Injuries,
(C) Ratios of Instructional Staff to Students.
(b) Self-paced training (e.g., CD-ROM or Web-based training.) The following forms and related materials shall constitute a complete package for self-paced training, including the self-paced portion of a blended learning course:
(1) Self-Paced Training Course Certification Request (POST 2-124, 8/06)
(2) Course Developer Résumé (POST 2-215, 8/06) The course presenter shall complete a résumé for each course developer assigned to create any POST certified/approved self-paced course. The presenter Attestation/Evaluation section of the résumé form shall be completed for at least one developer of a “Specialized Training Subject” listed in Regulation 1070 who has been evaluated and found to meet the instructor training requirements of Regulation 1070 and 1082.
(3) Access to the WBT For review purposes, the presenter shall provide POST with the Uniform Resource Locator (URL) or other access resources (e.g., CD-ROM or DVD disc), log-on requirements, and any other information or media that would be supplied to a student taking the WBT.
(4) An expanded course outline which minimally includes topics to the fourth level of detail to sufficiently indicate the technical information in the subject areas. The outline shall also show the connection between course content and objectives, learning activities, and evaluations. A generic outline example is as follows:
Course Name or Title
I. Introduction
A. Course Description
B. How to access and complete the on-line Training
1. Uniform Resource Locator (URL) and log-on requirements
2. Completion requirements
II. Topic 1 or Section 1
A. First Subtopic/Section content
1. Content breakdown
(a) Learning Activities, Related Objectives, and Estimated Times of Completion
2. Student Evaluations, Related Objectives, and Estimated Times of Completion (if done at the topic/section level) A typical evaluation might include written, audio, and/or video scenarios depicting a situation the student must successfully identify or analyze by answering multiple-choice, true/false, or matching questions.
B. Second Subtopic/Section Content
1. Content breakdown
(a) Learning Activities, Related Objectives, and Estimated Times of Completion
2. Student evaluations, Related Objectives, and Estimated Times of Completion (if done at the topic/section level) A typical evaluation might include written, audio, and/or video scenarios depicting a situation the student must successfully identify or analyze by answering multiple choice, true/false, or matching questions.
III. Course Evaluation
A. Student evaluations, Related Objectives, and Estimated Times of Completion (if done at the course level)
(5) Proposed Continuing Professional Training (CPT) Hours
(6) An Estimation of the Total Time Required to Complete the Course
(7) The Presenter's Attestation of course developer approval and commitment to adhere to the POST-Approved Expanded Course Outline, and Conditions of Certification presentation. Any modifications to objectives, content, evaluations, total hours, etc., in a POST-certified course must be submitted to POST for approval before presentation.
(c) Course Certification Review
(1) Within 14 calendar days of receiving a course certification request, POST shall review the request and notify the requestor,via the Electronic Data Interchange (EDI) System, of the status of the request. If the request is incomplete, POST will identify the areas needing completion and shall return the request via the EDI System before further action will be taken to consider certification of the course.
(2) The Commission shall review each complete request for course certification and base its decision on evaluation of those factors enumerated in Regulation 1052. Within 60 calendar days of receiving the course certification request, POST will notify the requestor of the Commission's decision to approve or disapprove certification of the course.
(3) Any requestor not satisfied with a certification action may submit an appeal to the Commission in accordance with Regulation 1058.
(d) Changes to Course Certification After a course is certified by the Commission under the conditions specified in the Course Certification Request, the course shall not be changed or modified, as described below, without POST approval. Course presenters must report any change(s) to conditions of course certification or to the elements of the course: budget, course content, hours of presentation, instructors, location, number of presentations, hourly schedule, and scheduled times.
(1) Modifications are changes to a Course Presentation Request submitted to POST and approved by POST prior to the course presentation.
(2) Corrections are changes to a Course Presentation Request submitted to POST and approved by POST after the course presentation.
NOTE
Authority cited: Sections 13503 and 13506, Penal Code. Reference: Section 13503(e), Penal Code.
HISTORY
1. New section filed 3-25-91; operative 4-24-91 (Register 91, No. 16).
2. Amendment of subsection (a)(3) filed 12-22-93; operative 1-21-94 (Register 93, No. 52).
3. Change without regulatory effect amending subsection (a)(1) filed 6-2-2000 pursuant to section 100, title 1, California Code of Regulations (Register 2000, No. 22).
4. Amendment filed 1-22-2001; operative 2-21-2001 (Register 2001, No. 4).
5. Amendment of subsection (a)(2) filed 7-17-2001; operative 7-1-2002 (Register 2001, No. 29).
6. Amendment of subsections (a)(2), (a)(4) and (a)(6) and redesignation and amendment of former subsection (a)(6)(D) as (a)(7) filed 6-6-2003; operative 7-6-2003 (Register 2003, No. 23).
7. Amendment of subsections (a)(1)-(7) and (b)(1) and new subsections (c)-(c)(9) filed 6-15-2005; operative 7-1-2005 pursuant to Government Code section 11343.4(c) (Register 2005, No. 24).
8. Amendment filed 7-27-2006; operative 8-26-2006 (Register 2006, No. 30).
9. Amendment filed 10-15-2007; operative 11-14-2007 (Register 2007, No. 42).
10. Repealer of subsection (d)(2)-(d)(2)(I) and subsection renumbering filed 12-29-2010; operative 1-1-2011 pursuant to Government Code section 11343.4 (Register 2010, No. 53).
11. Change without regulatory effect amending section filed 11-26-2012 pursuant to section 100, title 1, California Code of Regulations (Register 2012, No. 48).
§1054. Requirements for Course Budget.
Note • History
Course coordinators presenting, or planning to present, a POST-certified tuition-based course are to use the following tuition and budget requirements and limits when submitting the Course Administration Information and Course Budget via the EDI System. Budgets are not required if the certification request is for a conference. Allowable per presentation costs for establishing tuition and course budgets are as follows:
(a) Instructional Costs Up to $35 per hour, except as noted below, for each hour of instruction, per instructor, may be claimed. Fringe benefits and instructor preparation shall be included in this amount. Up to $90 per instructional hour may be approved in instances of special need for particular expertise, based upon written justification from the presenter. On those limited occasions where it may be necessary to obtain special expertise to provide training, the maximum of $90 per instructional hour may be exceeded upon prior approval of the Executive Director. Charges for instructors cannot be claimed if they are providing instruction while on duty for their agency.
(b) Development Costs for Tuition-Based Courses When POST has specifically requested development of a new course or revision of an existing course, presenter development costs may be negotiated with POST. When approved by the Executive Director, such costs shall be prorated as a portion of tuition for an agreed-upon number of presentations.
(c) Coordination Coordination costs may be requested based on the type of services performed. Coordination is categorized as:
(1) General Coordination, and
(2) Presentation Coordination.
General Coordination General Coordination is the performance of tasks associated with the development, pre-planning, and maintenance of any certified course. Maintenance includes: scheduling, selecting instructors, eliminating duplicative subject matter, providing alternate instructors/instruction as necessary, allocating instructional time to each subject, evaluating instructors, selecting training sites, supervising support staff, and administrative reporting. General Coordination costs may be charged at the rate of $55 per 8 hours of instruction but may not exceed $440 per presentation.
Presentation Coordination Presentation Coordination is the performance of tasks related to course quality control, i.e., observing and evaluating instructors at the instructional site; identifying the need and arranging for the appearance of alternate instructors when assigned instructors are not available; and being responsible for the development of a positive learning environment. It is required that the Presentation Coordinator be in the classroom, or its immediate vicinity, to resolve problems that may arise relating to the presentation of a course. Approved rates for presentation coordination, per instructional hour, may range from $15 to $25. Rates that exceed $15 per hour must be supported by written justification that substantiates the higher cost of the coordinator.
(d) Clerical Support Actual hourly rates for clerical support may be allowed up to $15 per instructional hour in accordance with the following formula:
Course Maximum Hours of
Length Clerical Support Permitted
24 hours or less 24 hours
25 to 40 40 hours
More than 40 hours 100 hours
(e) Printing/Reproduction The actual cost for printing of brochures and handouts may be allowed. Requests for reproduction costs shall not exceed 9 cents per page. Student workbooks are not considered handouts.
(f) Books/Films/Videotapes/Instructional Materials/Equipment Actual expenses may be allowed, provided each expense is identified. Expendables, such as programmed texts, may be allowed in the same manner. A one-time expenditure for purchase of textbooks may be allowed, provided the textbooks will be used in future course presentations. Films, videotapes, and instructional aids should be rented or obtained without charge. When rental costs for multiple presentations will exceed the cost of acquisition, purchase may be authorized by POST. If a film/videotape, instructional material, or equipment purchase is authorized by POST in advance, such materials shall be used in future course presentations and will remain the property of POST. Purchase cost shall be prorated over a reasonable number of presentations based on the item's anticipated service life. If the course is decertified, or if the purchased books, films, videotapes, instructional materials, or equipment are no longer necessary for use in the course, they shall be delivered to POST.
(g) Paper/Office Supplies/Mailing Actual expenses may be allowed, provided each expense is identified.
(h) Coordinator/Instructor(s) Travel An estimate is to be made of necessary travel expenses for advance budget approval. Expenses for local area travel are allowable only when travel exceeds 25 miles one-way, or if travel is necessary to an additional course site. If a course presentation is authorized outside of a 25-mile radius of the presenter's principle place of business, travel expenses may be allowed in accordance with existing State regulations covering travel and per diem.
(i) Miscellaneous Any other cost of materials and other direct items of expense may be approved by POST, based upon documented costs.
(j) Indirect Costs Indirect costs may not exceed 20% of specified budgeted items. Indirect costs may be claimed only for expenses related to instructor salaries, instructor travel, coordinator salaries, coordinator travel and clerical salaries.
(k) Calculation of Tuition All budgeted costs (direct and indirect) are added to determine the total cost. The tuition cost per student shall be determined by dividing the total cost by the maximum number of students approved per presentation (see Regulation 1055(e)). For each presentation, course presenters may exceed the maximum enrollment up to 20% to compensate for unavoidable under-enrollments due to late cancellations. However, it is the presenter's responsibility to monitor over-enrollment so that by the end of the fiscal year, the total number of students does not exceed the approved maximum number established by the terms of certification. In the event over-enrollment is not properly managed and adjusted during the fiscal year, the Commission may:
(1) Reduce the course tuition
(2) Require the presenter to conduct presentation(s) without tuition,
(3) Require the presenter to provide prorated refunds to trainees, or
(4) Decertify the course.
(l) Subventions
Course presenters shall include in the Course Budget any outside subventions that support presentation of the proposed course.
NOTE
Authority cited: Sections 13503 and 13506, Penal Code. Reference: Section 13503(e), Penal Code.
HISTORY
1. New section filed 3-25-91; operative 4-24-91 (Register 91, No. 16).
2. Amendment of section heading, first paragraph, subsections (b)-(c), and new subsection (l) and (m) filed 12-22-93; operative 1-21-94 (Register 93, No. 52).
3. Amendment of subsections (a), (c)(2), (d)-(f) and (j) filed 7-8-99; operative 7-8-99 pursuant to Government Code section 11343.4(d) (Register 99, No. 28).
4. Change without regulatory effect amending first paragraph filed 6-2-2000 pursuant to section 100, title 1, California Code of Regulations (Register 2000, No. 22).
5. Amendment of first paragraph and subsections (b), (c), (e) and (l) and repealer of subsection (m) filed 1-22-2001; operative 2-21-2001 (Register 2001, No. 4).
6. Amendment of first paragraph and subsections (d), (h) and (l) filed 10-15-2007; operative 11-14-2007 (Register 2007, No. 42).
7. Amendment of first paragraph and subsections (a), (j) and (l) filed 4-13-2011; operative 7-1-2011 pursuant to Government Code Section 11343.4(b) (Register 2011, No. 15).
8. Change without regulatory effect amending section filed 11-26-2012 pursuant to section 100, title 1, California Code of Regulations (Register 2012, No. 48).
§1055. Requirements for Course Presentation.
Note • History
(a) Term of Certification Course certification shall be made on a fiscal year basis, subject to annual review. A course shall be certified for a specified number of presentations during a fiscal year. It shall be subject to the restrictions or stipulations specified by POST.
(b) Certification Non-Transferable A course that has been certified is valid for presentation only by the presenter receiving the certification and is not transferable to another presenter.
(c) Publicity A certified course, if publicized, must use the exact title as certified by POST. No course may be publicized prior to course certification. The POST certification number shall be shown on all materials being publicized. Presenters shall clearly indicate on any course announcements, brochures, bulletins, or publications that POST has certified the individual course offering.
(d) Course Presentation Request A Course Presentation Request shall be submitted to POST via the Electronic Data Interchange (EDI) System for each proposed course presentation. POST must receive the Course Presentation Request at least 30 calendar days prior to the course presentation.
The Course Presentation Request submitted via EDI shall consist of the following information:
(1) Course Certification Number
(2) Certified Course Title/Skills and Knowledge Module Title
(3) Course Presenter
(4) Address Where Training Will Be Presented
(5) Course Presentation Starting Date and Time and Ending Date and Time.
(6) Total Number of Training Days
(7) Maximum Enrollment
(8) Tuition
(9) Driver Training Fee
(10) For Travel Required for Off-site Course Instruction whether transportation is furnished by trainee/other, number of miles to other site from original site (round trip), number of required trips.
(11) Second Course Site
(e) Limitations on Course Enrollments The Commission shall designate the maximum number of students who may attend each course during a fiscal year.
(f) Cheating As defined in Commission Regulation 1001, cheating shall not be tolerated in any POST-certified course. Students, course presenters, and employees/volunteers (e.g., proctors or agents of POST) who engage in cheating will be subject to sanctions which may include dismissal and possible civil and/or criminal prosecution.
(g) Required Documents to Submit Upon Completion of Presentation A completed Course Roster (POST 2-111, Rev. 7/07) shall be prepared and submitted to the Commission after completion of each certified course presentation. The following documents shall accompany each Course Roster:
(1) Any Training Reimbursement Requests (POST 2-273 Rev. 8/93) that are provided to the presenter by trainees, and
(2) A written statement from the course coordinator explaining how a trainee successfully completed the course, but missed more than five percent of the certified hours of all basic training courses, Commission Procedures D-1-1 and D-10 or ten percent of the certified hours of any other POST-certified course.
All documents must be submitted to the Commission no later than 10 calendar days following the ending date of the presentation. Subsequent to submission of these documents, the coordinator shall contact the Commission about needed corrections.
(h) Retention of Certification Documents For any POST-certified course, a current copy of the documents required by Regulation 1053(a) and (b) must be kept on file at the presenter's facility for inspection by POST.
NOTE
Authority cited: Sections 13503 and 13506, Penal Code. Reference: Section 13503(e), Penal Code.
HISTORY
1. New section filed 3-25-91; operative 4-24-91 (Register 91, No. 16).
2. Amendment of subsections (e) and (i) filed 12-22-93; operative 1-21-94 (Register 93, No. 52).
3. Amendment of subsections (i)(2)-(3) and (j) and new subsection (i)(4) filed 6-2-94; operative 7-5-94 (Register 94, No. 22).
4. New subsection (i) and subsection relettering filed 1-14-97; operative 2-13-97 (Register 97, No. 3).
5. Amendment filed 1-22-2001; operative 2-21-2001 (Register 2001, No. 4).
6. New subsection (l) filed 7-17-2001; operative 7-1-2002 (Register 2001, No. 29).
7. Amendment filed 7-27-2006; operative 8-26-2006 (Register 2006, No. 30).
8. Repealer of subsection (l) filed 2-2-2007; operative 3-4-2007 (Register 2007, No. 5).
9. Amendment filed 10-15-2007; operative 11-14-2007 (Register 2007, No. 42).
10. Amendment of subsection (f)(1), repealer of subsections (f)(3) and (f)(5)-(6), subsection renumbering and amendment of newly designated subsection (f)(3) and subsection (g)(2) filed 12-29-2010; operative 1-1-2011 pursuant to Government Code section 11343.4 (Register 2010, No. 53).
11. Amendment of subsection (f) and repealer of subsections (f)(1)-(3) filed 4-3-2012; operative 5-3-2012 (Register 2012, No. 14).
12. Change without regulatory effect amending section filed 11-26-2012 pursuant to section 100, title 1, California Code of Regulations (Register 2012, No. 48).
§1056. Annual Recertification.
Note • History
Each certified course is reviewed prior to the beginning of a new fiscal year. Every presenter shall receive a Course Certification Report from POST for each certified course. These reports shall be reviewed and signed by the presenter or presenter's designee and returned to POST to ensure certification for the proceeding fiscal year. A POST review shall include evaluation of the continuing need for the course, currency of curriculum, and adherence to requirements for course certification per Regulation 1052 and course presentation per Regulation 1055. POST-developed multimedia training courses (e.g., telecourses, CD-ROM courses, and Web-based courses) are automatically recertified and shall not receive a course certification report. Basic courses, as defined in PAM Sections D-1 and D-10 may be modified, by the Commission, biannually and are subject to review on that basis.
NOTE
Authority cited: Sections 13503 and 13506, Penal Code. Reference: Section 13503(e), Penal Code.
HISTORY
1. New section filed 3-25-91; operative 4-24-91 (Register 91, No. 16).
2. Amendment filed 1-22-2001; operative 2-21-2001 (Register 2001, No. 4).
3. Amendment filed 7-27-2006; operative 8-26-2006 (Register 2006, No. 30).
4. Amendment filed 12-29-2010; operative 1-1-2011 pursuant to Government Code section 11343.4 (Register 2010, No. 53).
5. Change without regulatory effect amending section filed 11-26-2012 pursuant to section 100, title 1, California Code of Regulations (Register 2012, No. 48).
Note • History
Courses may be decertified by action of the Commission when:
(a) There is no longer a demonstrated need for the course; or
(b) There is failure to comply with requirements set forth in Regulations 1052-1055; or
(c) There are other causes warranting decertification as determined by the Commission.
NOTE
Authority cited: Sections 13503 and 13506, Penal Code. Reference: Section 13503(e), Penal Code.
HISTORY
1. New section filed 3-25-91; operative 4-24-91 (Register 91, No. 16).
Note • History
(a) Any course certification/decertification decision may be appealed to the POST Executive Director. The appeal, and all relevant course documentation the appellant believes supports the appeal, must be submitted in writing to the Executive Director within 30 calendar days of the date of the certification/decertification notice.
Within 30 calendar days of receiving the appeal, the Executive Director shall respond to the appellant in writing with a decision and the reasons for the decision.
(b) The Executive Director's decision may be appealed to the Commission. The appeal, and all relevant course documentation the individual believes supports the appeal, must be submitted in writing to the Commission within 30 calendar days of the date of the Executive Director's decision.
Appeals received at least 45 calendar days prior to the next scheduled Commission meeting will be heard at that meeting. Appeals received with less than 45 days remaining prior to the next scheduled Commission meeting will be heard at a subsequent meeting. The Commission shall notify the appellant of the date, time, and location of the hearing within 10 calendar days of the receipt of the appeal to the Commission. The appellant or appellant's designated representative(s) shall have the right to present evidence at the hearing.
The Executive Director shall notify the appellant in writing of the Commission's decision within 10 calendar days following the conclusion of the hearing.
NOTE
Authority cited: Sections 13503 and 13506, Penal Code. Reference: Section 13503(e), Penal Code.
HISTORY
1. New section filed 8-8-91; operative 9-9-91 (Register 91, No. 50).
2. Amendment filed 10-15-2007; operative 11-14-2007 (Register 2007, No. 42).
§1060. Requirements for Verifying Successful Completion of a Non POST-Certified Course.
Note • History
An individual who has successfully completed a non-POST-certified course specified in PAM Section D-2-3 may receive credit for the maximum hours of the course. Successful completion is defined as the award of a “Certificate of Completion” or a “Letter of Completion” issued by the training entity. The total number of hours credited for a course will be applied toward the Continuing Professional Training Requirement.
To receive credit for non POST-certified course, the individual must submit to POST:
(a) A copy of the Certificate of Course Completion (81/2 x 11 inches) or,
(b) A letter signed by the chief executive officer attesting to the successful completion of the course, and
(c) A completed Non POST-Certified Training Notification form, POST 2-213 (Rev 04/2012).
A non POST-certified course is not eligible for reimbursement.
NOTE
Authority cited: Sections 13503, 13506 and 13510, Penal Code. Reference: Sections 13503, 13506 and 13510, Penal Code.
HISTORY
1. New section filed 10-12-2000; operative 11-11-2000 (Register 2000, No. 41).
2. Amendment of subsection (c) filed 8-12-2005; operative 9-11-2005 (Register 2005, No. 32).
3. Amendment filed 12-30-2010; operative 1-29-2011 (Register 2010, No. 53).
4. Change without regulatory effect amending section heading, first paragraph and subsection (c) filed 11-26-2012 pursuant to section 100, title 1, California Code of Regulations (Register 2012, No. 48).
§1070. Minimum Training Standards for Instructors of POST-Certified Specialized Training.
Note • History
(a) Minimum Training Standards Instructors of any of the specialized subjects* listed in subsection (b) below shall successfully complete the corresponding training course listed in subsection (b), or complete the equivalency process outlined in subsection (c).
(1) Effective March 1, 2008, completion of the Academy Instructor Certification Course specified in Regulation 1082 or passage of the AICC Equivalency Process specified in Regulation 1009(c)(4) shall be a prerequisite to teaching any* of the specialized subjects listed in Regulation 1070(b) when the subject is taught in the Regular Basic Course. *The following specialized subjects listed in Regulation 1070(b) are excluded: Institute of Criminal Investigation, Motorcycle Training, and Supervisory Leadership Institute.
(2) Presenters who employ instructors of specialized subjects shall attest, via the EDI Course Instructor Resume, that the instructor(s) meet the minimum training standard applicable to instructors as follows:
(A) Primary Instructors (defined in Regulation 1001) All primary instructors shall meet the minimum training standard prior to instructing in the specialized subject. (This also includes instructors of specialized instructor training courses.)
(B) Instructors (non-primary) All non-primary instructors who on or after July 1, 2002 are 1) first assigned to instruct in a specialized subject area or 2) transfer to a different training institution and are assigned to instruct in a specialized subject area shall meet the minimum training standard prior to instructing in the specialized subject. (This also includes instructors of specialized instructor training courses.)
(C) Guest Speakers (defined in Regulation 1001) Guest speakers are exempt from the minimum training standard.
(b) Specialized Subjects and Training Course Requirement The specialized subjects listed in the left column may be the subject of a stand-alone course or a specialized subject taught within a larger course.
To satisfy the training course requirement, a POST-certified course must be a foundational-type instructor course and must meet the minimum content requirements specified in Regulation 1082 [unless exempted by subsection 1082(c)]. For example, an “advanced” or “update” course will not satisfy the requirement. Generally, the POST-certified course must be the same title as the instructor course title listed in the “Training Course” column.
The minimum content requirements for the training courses listed in the right column below are specified in Regulation 1082.
Specialized Subject Training Course (must meet minimum
content requirements specified in
Regulation 1082).
Arrest and Control Techniques Arrest and Control Instructor or
Defensive Tactics Instructor
Baton/Impact Weapons Baton/Impact Weapons Instructor or
Defensive Tactics Instructor
Chemical Agents Chemical Agents Instructor
Defensive Tactics Defensive Tactics Instructor or Arrest and
Control Instructor
Diversionary Devices Diversionary Devices Instructor
Driver Training Driver Training Instructor and Driver
Awareness Instructor
Specialized Subject Training Course (must meet minimum
content requirements specified in
Regulation 1082).
Driver Training-Simulator Driver Training Simulation Instructor
and Driver Training Instructor
Electronic Weapons Electronic Weapons Instructor
Firearms (all firearms types) Firearms Instructor (corresponding
firearm type)
First Aid/CPR First Aid/CPR Instructor
Force Options Simulator Force Options Simulator Instructor
Hazardous Materials Hazardous Materials Train-the-Trainer
Institute of Criminal Investigation Institute of Criminal Investigation
Instructor
Less Lethal Weapons Less Lethal Force Instructor
Motorcycle Training Motorcycle Training Instructor
Physical Training (Basic Course) Physical Training Instructor
Supervisory Course Supervisory Course Instructor
Supervisory Leadership Institute Supervisory Leadership Institute Instructor
Racial Profiling Racial Profiling Instructor
Terrorism & Weapons of Mass Basic Course for Response Personnel
Destruction (WMD) Awareness (SEMS/NIMS/ICS)
Terrorism & Weapons of Mass ICS 300 & 400 Train-the-Trainer
Destruction (WMD) Awareness (SEMS/NIMS/ICS)
Terrorism & Weapons of Mass Law Enforcement Response to Terrorism
Destruction (WMD) Awareness (LERT) Instructor
Terrorism & Weapons of Mass Public Safety Communications Terrorism
Destruction (WMD) Awareness Awareness Instructor Course
(PSC-TAC)
(c) Equivalency Process The training course specified in (b) above may be satisfied through an equivalency evaluation performed by the employing presenter. An individual requesting an evaluation to meet the minimum training course standard shall submit to the presenter an expanded course outline for each course to be considered in the evaluation. The course outline(s) must specify the course title(s), training date(s), and training institution(s). Presenters will base their evaluations on a comparison of the submitted expanded course outline(s) against the minimum content requirements specified in Regulation 1082. The employing presenter shall retain the documentation for approved equivalencies. Although presenters are not required to submit the documentation to POST, their attestation of equivalency, via the EDI Course Instructor Resume submitted to POST, pursuant to Regulation 1053.
(d) Proof of Completed Training Course Presenters of the specialized subjects specified in (b) above shall maintain documentation which demonstrates the satisfaction of the minimum training course standard. The required documentation shall be made available for POST inspection upon request and shall consist of:
(1) A copy of the certificate of course completion verifying the required training course in (b) above, or
(2) A POST training record that indicates successful completion of the training course in (b) above, or
(3) The expanded course outline(s) of the course(s) evaluated for equivalency per (c) above.
NOTE
Authority cited: Sections 13503, 13506 and 13519.12, Penal Code. Reference: Sections 13503(e), 13519.4 and 13519.12, Penal Code.
HISTORY
1. New section filed 7-17-2001; operative 7-1-2002 (Register 2001, No. 29).
2. Amendment of subsection (a) and amendment of Note filed 8-27-2002; operative 9-26-2002 (Register 2002, No. 35).
3. Amendment of subsection (a) filed 2-6-2003; operative 3-8-2003 (Register 2003, No. 6).
4. Amendment of section heading and section filed 7-21-2003; operative 8-20-2003 (Register 2003, No. 30).
5. Amendment of subsection (b) and amendment of Note filed 10-24-2005; operative 11-23-2005 (Register 2005, No. 43).
6. Amendment of subsection (b) filed 12-21-2006; operative 1-20-2007 (Register 2006, No. 51).
7. Amendment of subsection (b) filed 3-6-2007; operative 4-5-2007 (Register 2007, No. 10).
8. Amendment of subsections (b) and (d)-(d)(3) filed 8-1-2007; operative 8-31-2007 (Register 2007, No. 31).
9. Amendment of subsection (b) filed 8-1-2007; operative 8-31-2007 (Register 2007, No. 31).
10. Amendment of subsections (a) and (c) filed 10-15-2007; operative 11-14-2007 (Register 2007, No. 42).
11. Amendment filed 2-29-2008; operative 3-1-2008 pursuant to Government Code section 11343.4 (Register 2008, No. 9).
12. Change without regulatory effect amending section heading and subsections (a), (a)(2)(A)-(C), (b), (c) and (d) filed 11-26-2012 pursuant to section 100, title 1, California Code of Regulations (Register 2012, No. 48).
§1071. Minimum Training Standards for Regular Basic Course Academy Directors, Coordinators, Scenario Manager and Evaluator, and Recruit Training Officers.
Note • History
(a) Minimum Training Standards -- Academy Director or Academy Coordinator appointed after July 1, 2002 or Modular Format Coordinator appointed after January 1, 2011 to one of the staff positions of any Regular Basic Course format or the Specialized Investigators' Basic Course shall complete, within one year from the date of appointment, the minimum training standard specified below:
Staff Position Training Standard
(Content for the following
courses is in Regulation 1083)
Academy Director Academy Director/Coordinator
Course*
Academy Coordinator Academy Director/Coordinator
Course*
Modular Format Coordinator Academy Director/Coordinator
Course
*Attendance at the Academy Director/Coordinator Course is not required of the director, if the Academy Director has attended as a coordinator within three years prior to appointment as the Academy Director.
(b) Minimum Training Standards -- Academy Recruit Training Officers appointed after January 1, 2011 shall complete the minimum training standard specified below:
(1) Part-time Recruit Training Officer
(A) Completion of the POST-developed Recruit Training Officer Orientation Program training course prior to performing the duties of a Recruit Training Officer.
(2) Full-time* Recruit Training Officer
(A) Completion of the POST-developed Recruit Training Officer Orientation Program training course prior to performing the duties of a Recruit Training Officer; and
(B) Completion of the Recruit Training Officer Course within one year of appointment to the position.
* Full-time is defined in Regulation 1001
(c) Minimum Training Standards -- Scenario Manager and Scenario Evaluator
(1) Scenario Manager
(A) Completion of the Scenario Manager Course prior to managing scenario testing.
(2) Scenario Evaluator
(A) Completion of the Scenario Evaluator Course prior to evaluating scenario testing.
(d) Documentation Directors and Modular Format Coordinators shall maintain documentation that demonstrates satisfaction of the minimum training standards as required for the staff positions indicated above in subsections (a), (b), and (c). Documentation shall be a certificate of course completion issued by the training presenter of the required training standard in (a), (b), and (c) above, or a POST training record that confirms completion of the training standard. All documentation that demonstrates satisfaction of the minimum training standards is subject to POST inspection upon request.
NOTE
Authority cited: Sections 13503 and 13506, Penal Code. Reference: Section 13503(e), Penal Code.
HISTORY
1. New section filed 7-17-2001; operative 7-1-2002 (Register 2001, No. 29).
2. Amendment of subsection (a) filed 7-21-2003; operative 8-20-2003 (Register 2003, No. 30).
3. Amendment of section heading and section filed 4-14-2005; operative 5-14-2005 (Register 2005, No. 15).
4. Amendment of section heading and section filed 2-29-2008; operative 3-1-2008 pursuant to Government Code section 11343.4 (Register 2008, No. 9).
5. Amendment of section heading and section filed 12-29-2010; operative 1-1-2011 pursuant to Government Code section 11343.4 (Register 2010, No. 53).
6. Change without regulatory effect amending subsection (d) filed 11-26-2012 pursuant to section 100, title 1, California Code of Regulations (Register 2012, No. 48).
§1080. PC 832, Arrest and Firearms Course Requalification.
Note • History
(a) PC 832 Arrest and Firearms Course Requalification Requirement and Exemptions:
(1) Three-year Rule Requalification of PC 832 is required before exercising peace officer powers when:
(A) An individual does not become employed as a peace officer within three years of successfully completing PC 832 training, or
(B) An individual, subsequent to completing PC 832 training, has a three-year-or-longer break in service as a peace officer.
Only service in a peace officer position for which PC832 training is required by law maintains the currency of an individual's PC832 certification. The three-year period begins on the date the course was completed, or the individual's last date of service in the peace officer position.
(2) Exemptions to the Three-Year Rule An individual who meets any of the following criteria listed below, as specified in Penal Code section 832(e)(2), is exempt from the PC 832 Course Requalification Requirement [Regulation 1080(a) above]:
(A) Is returning to a management level law enforcement position at the second level of supervisor or higher.
(B) Has successfully completed Basic Course Requalification as provided for in Commission Regulation 1008.
(C) Has maintained proficiency by teaching the PC 832 Arrest and Firearms Course described in Procedure D-1.
1. Under this provision an individual may seek exemption for either module, Arrest Procedures or Firearms, or both modules.
2. For the purpose of granting an exemption on the basis of teaching experience, “maintained proficiency” shall be defined as having taught the entire module(s) for which an exemption is being sought. Additionally, exemptions shall be granted only for recent teaching experience that was gained within three years of the exemption request.
(D) Has been employed continuously, with no more than a 60-day break in service between law enforcement employers, in another state or with a federal agency as a peace officer.
(E) Has previously met the PC 832 training requirement, has been appointed as a peace officer under subdivision (c) of Penal Code section 830.1, and has been continuously employed as a custodial officer, as defined in Penal Code sections 831 or 831.5, by the agency making the peace officer appointment since completing PC 832 training.
(3) Documentation of Exemption: Written documentation determined by the department head as satisfying any of the exemptions listed in 1080(a)(2)(A)-(D) above shall be retained by the employing agency for at least the duration of the individual's employment with the department. This retention period is recommended so that the employing agency can provide supporting documentation of the exemption, if it is requested during a POST inspection.
(b) Requalification Options Requalification may be accomplished by one of two methods as follows:
(1) Repeating and successfully completing PC 832 training as a separately certified course or completing a larger POST-certified course which includes PC 832 training, i.e., the Regular Basic Course, Module III, Specialized Investigators' Basic Course, Basic Course Requalification Course [for eligibility refer to 1008(b)], or
(2) Demonstrating continued mastery of PC 832 training material by passing the examinations enumerated in Procedure D-1. This can be accomplished through the completion of the PC 832 Requalification Examination Process [for eligibility refer to 1080(c)].
(c) Eligibility for PC 832 Requalification Examination Process Only individuals who have previously completed POST-certified PC 832 training, as a separately certified course or within a larger POST-certified course as specified in 1080(b)(1), are eligible to participate in the PC 832 Requalification Examination Process.
(1) Individuals seeking to be tested shall receive written notification from the presenter regarding eligibility to be tested within 30 days of receipt by the presenter of all documentation required in Regulations 1080(d)(1)(A)-(C) below.
(2) Individuals receiving notification that they are ineligible to be tested shall be given an explanation for ineligibility. An individual may submit a new request with the additional documentation, which will be processed according to Regulation 1080(d)(1) below. POST shall have final approval or disapproval of the eligibility of any individual seeking admission to any part of the testing process. All applicable examination fees will be returned, with the notification, to those individuals who are determined, either by the presenter or by POST, to be ineligible for testing.
(d) PC 832 Requalification Examination Process
(1) Application An individual seeking to requalify PC 832 training through the examination process shall submit a written request to a POST-approved PC 832 Requalification Examination Presenter that includes:
(A) The individual's full name, mailing address, daytime phone number, and social security/POST identification number;
(B) A copy of the individual's PC 832 Course completion certificate or other verifiable documentation showing prior successful completion of a PC 832 Course. This documentation shall include the individual's name, the name of the presenting institution, the number of hours completed, and the ending date of the training;
(C) A certified check or money order payable to the presenter (see (2) below for fees);
(D) A criminal history clearance from the Department of Justice.*
*All requests to test for the firearms component from applicants who are not sponsored by a local or other law enforcement agency, or who are not peace officers employed by a state or local agency, department or district, shall include a criminal history clearance in compliance with PC 13511.5 prior to admission to firearms testings. No firearms testing shall be administered to any applicant prior to receipt of the Department of Justice criminal history clearance form.
(2) Examination Fees POST-approved PC 832 Requalification Examination presenters are authorized to charge fees for the administration of the POST-Constructed PC 832 Arrest Written Test, the PC 832 Arrest Methods Skills Test, and the PC 832 Firearms Skills Test. In addition to the initial examination fees, the presenter may charge fees for retesting. Failure to appear for requalification testing or retesting may result in forfeiture of examination fee(s). Fees may vary by presenter. Examination fees shall not exceed actual test administration costs and are subject to POST audit.
(3) Requirements for Administering the Requalification Exams Only POST-approved/authorized course presenters who have received training in the administration of the Requalification Exams and who agree to abide by the terms of a formal POST test use and security agreement shall administer and score the examinations. All examinations shall be administered and scored in accordance with the specified procedures listed below using POST minimum passing scores.
(A) All requalification applicants shall be tested at a POST-approved location within 90 days of notification of eligibility to take the requalification exam.
(B) At least 30 days in advance of the test, eligible requalification applicants shall be notified as to the specific date, time, and location of testing.
(C) Individuals desiring to be tested after failure to appear for a scheduled requalification exam must reestablish eligibility to be tested by completing the requirements described in Regulation 1080(d)(1)(A)-(D).
(D) All examination results shall be mailed to POST by the examination administrator, postmarked within five working days of the date of testing.
(E) The presenter shall notify all examinees in writing as to examination results, postmarked within five working days of requalification examination completion. The presenter shall also issue a completion certificate within five working days showing that the individual successfully completed the PC 832 Requalification Examination.
(F) The presenter shall maintain, as a manner of record, all documents submitted by an individual who participates in the PC 832 Requalification Examination.
(4) Requalification Examination Retesting One requalification exam retest shall be permitted for any test failed, contingent upon advance payment of applicable examination fees [see (2), above]. Such retesting must occur within 90 days of the requalification examination. For firearms and arrest skills tests, individuals will have the option of either retesting immediately or within 90 days.
(A) Individuals who fail to achieve a passing score upon requalification exam retesting, or who fail to appear for requalification exam retesting, shall be required to successfully complete the appropriate PC 832 training (i.e., Arrest, Firearms, or both) in order to meet the PC 832 Course requalification requirements of Penal Code section 832(e)(1).
NOTE
Authority cited: Sections 832(f), 13503 and 13506, Penal Code. Reference: Sections 832(e)-(g), Penal Code.
HISTORY
1. New section filed 4-26-90; operative 5-26-90 (Register 90, No. 21).
2. Amendment of subsections (a), (a)(1)(A) and (a)(1)(C)-(D) filed 12-23-91; operative 7-1-92 (Register 92, No. 19).
3. New subsection (a)(1)(E) filed 5-18-93; operative 6-17-93 (Register 93, No. 21).
4. Amendment of section heading and subsection (a)(1)(A) and new subsections (b)-(b)(2)(B) filed 9-9-93; operative 10-11-93 (Register 93, No. 37).
5. Amendment of subsection (a)(1)(C), repealer of subsection (a)(1)(D) and subsection redesignation, amendment of subsections (a)(2)-(3), new subsection (b)(1)(C)4 and amendment of subsection (b)(1)(D) filed 11-14-94; operative 12-14-94 (Register 94, No. 46).
6. Editorial correction of subsections (b)(1)(B)1, (b)(1)(C), (b)(1)(C)2 and (b)(2)(B) (Register 94, No. 46).
7. Amendment of section heading and section filed 3-7-2000; operative 4-6-2000 (Register 2000, No. 10).
8. Amendment of section heading and section filed 1-22-2001; operative 2-21-2001 (Register 2001, No. 4).
9. Amendment of section heading and section filed 8-21-2003; operative 1-1-2004 (Register 2003, No. 34).
10. New subsection (a)(2)(E) and amendment of subsections (d)(2), (d)(4), (d)(4)(A) and Note filed 1-26-2005; operative 3-1-2005 (Register 2005, No. 4).
11. Amendment of subsection (b)(1) filed 1-19-2007; operative 1-19-2007 pursuant to Government Code section 11343.4(c) (Register 2007, No. 3).
12. Amendment of subsections (b)(1) and (d)(1)(A) filed 6-17-2008; operative 7-1-2008 pursuant to Government Code section 11343.4 (Register 2008, No. 25).
13. Amendment of footnote to subsection (d)(1)(D) filed 12-29-2010; operative 1-1-2011 pursuant to Government Code section 11343.4 (Register 2010, No. 53).
14. Change without regulatory effect amending section filed 11-26-2012 pursuant to section 100, title 1, California Code of Regulations (Register 2012, No. 48).
§1081. Minimum Standards for Legislatively Mandated Courses.
Note • History
(a) Legislatively mandated courses, as specified in Commission Regulation 1005(f), pertain to training mandated by the Legislature for various kinds of peace officers and other groups for which the Commission has responsibility to establish minimum standards. The Commission may approve legislatively mandated courses that can be completed in fewer than the minimum hours. In such cases, the courses must be competency-based, where each student demonstrates mastery of clearly specified learning outcomes. Legislatively mandated courses shall meet the following minimum content and hours. Regulations 1052-1056 specify the requirements for certification and presentation of these courses.
Credit for legislatively mandated courses that can be completed in fewer hours when using technology-based delivery (i.e., interactive multimedia) will be the same number of hours credited for a traditional instructor-led course. Testing is required to demonstrate competency.
Alcoholic Beverage Control (ABC) -- 160 Hours Narcotic Enforcement (Business and Professions Code section 25755)
Narcotics Investigation Course -- 80 Hours*
(1) Drug Enforcement Laws
(2) Drug and User Identification
(3) Search Warrants
(4) Search and Seizure
(5) Surveillance
(6) Clandestine Laboratories
(7) Asset Seizure and Forfeiture
(8) Informants
(9) Officer Safety
(10) Entry and Search Techniques
(11) Undercover Techniques
(12) Smuggling
(13) Investigative Resources
(14) Examination
*This course may be satisfied by completion of the 80-hour, POST-certified course presented as a single training course, or by completion of two or more POST-certified courses (totaling a minimum of 80 hours) which include the above curriculum.
ABC Narcotics Investigation Field Training Program -- 80 Hours
ABC Investigators are required to complete an 80-hour field training program on narcotics investigation that includes on-the-job instruction and hands-on experience associated with all content areas of the Narcotics Investigation Course. Field training shall be conducted under the supervision of investigators selected by ABC. Investigators selected may be either ABC investigators or investigators employed by local police or sheriff's departments. Investigators selected must possess a POST Basic Certificate and have completed at least one year of experience as a full-time narcotics investigator. ABC shall maintain records that individual ABC investigators have completed this field training.
Anti-Reproductive Rights Crimes -- 2 Hours (Penal Code section 13778)
(1) Identification of Essential Elements of ARRC Crimes
(2) Recognition of Anti-abortion Extremists
(3) Investigation of Incidents
(4) Development of and Sharing of Intelligence to Prevent Crimes
(5) Protection of the Rights of Protestors and Victims
(6) Compliance with Reporting Requirements
Arrest and Firearms -- 64 Hours (Penal Code section 832) (Certified course; requirement satisfied by Basic Course.) See PAM, D-1
Aviation Security -- 40 Hours (Penal Code section 832.1) (Certified Course)
(1) Introduction and Background
(2) Introduction to the Airport Environment -- Overview
(3) Criminal Threat to the Aviation Industry
(4) Agencies and Jurisdictions
(5) Legal Aspects of Aviation Security
(6) Law Enforcement Officer Responsibilities
(7) Human Behavior Consideration
(8) Airfield Operations
(9) Presenter-developed Test
Basic (Regular) (Penal Code section 832.3) (Certified Course) See PAM, section D-1
Basic Course for Response Personnel (SEMS/NIMS/ICS) -- 8 Hours
(A) Course Overview and Objectives
(B) Introduction to the Standardized Emergency Management System (SEMS) and the National Incident Management System (NIMS)
(C) The Incident Command System (ICS)
(D) SEMS/NIMS Multi-agency Coordination Systems
(E) Incident Action Planning
(F) Resource Management
(G) Mutual Aid
(H) Transfer of Command/Demobilization
Baton/Impact Weapon Training for County Sheriff or Police Security Officers -- 8 Hours (Penal Code section 831.4)
(1) Legal and Ethical Aspects of Force
(2) Baton/Impact Weapon Familiarization and Uses of Impact Weapons
(3) First Aid for Baton/Impact Weapon Injuries
(4) Practical -- Techniques
Campus Law Enforcement Course -- 40 hours
(1) Role and Responsibility of School Police
(2) Laws and Liability/Mandated Reporting Requirements
(3) Tactical Awareness in the Educational Environment
(4) Campus/Community Oriented Policing and Problem Solving
(5) Mediation/Conflict Resolution
(6) Standardized Emergency Management/Incident Command Systems
(7) Dynamics of Student Behavior
(8) Learning Activities and Group Exercises
Note: This course satisfies the training specified in Penal Code sections 832.2 and 832.3(g).
Carcinogenic Materials -- 4 Hours (Health and Safety Code section 1797.187)
(1) Hazardous Materials, Responsibilities and Considerations for First Responders.
(2) Hazardous Carcinogenic Materials Identification, Associated Risks, and Minimizing Exposure to Responding Officers.
Chemical Agents for Peace Officers (Penal Code section 22820)
Chemical Agents -- Module A -- 4 Hours
(1) Evolution of Chemical Agents
(2) Legal Aspects of Chemical Agents
(3) Types of Chemical Agents
(4) Orientation to Chemical Agent Delivery Methods
(5) Aerosol Chemical Agent Deployment Tactics
(6) Care and Maintenance of Aerosol Chemical Agent Devices
(7) Disposal of Aerosol Chemical Agent Devices
(8) Practical Application
Chemical Agents -- Module B -- 2 hours
(1) Use of Gas Masks
(2) Practical Application
Chemical Agents -- Module C -- 4 hours
(1) Deployment of Tactical Chemical Agent Munitions
(2) Scene Decontamination
(3) Practical Application
Module A satisfies the training requirements of PC 12403 for any peace officer whose training need is limited to carrying aerosol chemical agent devices. Modules A and B, included in the Regular Basic Course, satisfy the training requirements of PC 12403 for all peace officers who will be using aerosol chemical agents and who are expected to use a gas mask in a chemical agent environment. The addition of Module C satisfies the training requirements for peace officers who are responsible for the deployment of tactical chemical agent munitions.
Chemical Agent Training for Private Investigators, Private Patrol Operators, and Uniformed Patrol Employees of a Private Patrol Operator -- 2 Hours (Penal Code 22835)
The POST-approved course of instruction shall consist of the following:
(1) Self defense, History of Chemical Agents, and Aerosol Weapons
(2) Effectiveness as a Self-defense Weapon
(3) Mechanics of Tear Gas Use
(4) Medical Aspects of First Aid
(5) Practical Use
(6) Field Training and Demonstration
(7) Discard of Weapons
Child Abuse Investigation -- 24 Hours (Penal Code section 13517) (Certified Course; requirement satisfied by the Basic Course; optional Technical Course.)
(1) General Child Abuse Investigative Procedures
(2) Child Neglect and Emotional Abuse/Deprivation
(3) Physical Child Abuse
(4) Sexual Abuse and Exploitation of Children
(5) Interview and Interrogation Techniques
(6) Community Child Care Facilities
(7) Course Critique and Student Evaluation
Child Safety When a Caretaker Parent/Guardian Is Arrested -- 2 Hours Telecourse (Penal Code section 13517.7)
(1) Procedures to Ensure That Officers and Custodial Employees Inquire Whether an Arrestee Has Minor Dependent Children That Need Appropriate Supervision
(2) Authorizing Additional Telephone Calls by Arrestee to Arrange for Care of Minor Children
(3) Use of County Child Welfare Services and Other Similar Service Providers, as Appropriate, to Assist in Placing Dependent Children When the Parent Or Guardian Is Unable Or Unwilling to Arrange Suitable Care
(4) Identification of Local Government or Nongovernmental Agencies Able to Provide Appropriate Custodial Services
(5) Temporary Supervision of Minor Children to Ensure Their Safety and Well-Being
(6) Sample Procedures to Assist Law Enforcement in Developing Protocols to Ensure the Safety and Well-Being of Children When the Parent or Guardian Has Been Arrested
Participation in the course or courses specified in this section by peace officers or the agencies employing them is voluntary.
Developmental Disabilities and Mental Illness -- 4 Hours (Penal Code section 13519.2)
(1) Legal Requirements for Taking Person Into Custody
(2) Mental Health/Regional Center Referral Resources
(3) Practical Exercises
(4) Identification of Primary Disability or Problem*
(5) Causes, Nature and Behavior Factors of Mental Illness*
(6) Causes, Nature and Behavior Factors of Developmental Disabilities*
(7) Procedures Required for Detention Under Authority of section 5150, Welfare and Institutions Code*
(8) Alternate Methods for Handling Developmentally Disabled or Mentally Ill*
*For in-service officers completing basic training prior to 7-1-90, supplementary training consists of 2 hours emphasizing the indicated topics.
Domestic Violence (Basic Course) -- 8 Hours (Penal Code section 13519)
(1) Overview of Domestic Violence
(2) Legislative Intent/POST Guidelines
(3) Enforcement of Laws
(4) Court Orders
(5) Tenancy
(6) Documenting Domestic Violence Incidents
(7) Victim Assistance and Referral
(8) Practical Application/Student Evaluation
Domestic Violence Update (In-Service Patrol Officers*) -- 2 Hours (Penal Code section 13519(g))
(1) Recent Domestic Violence Related Law Changes
(2) Recent Changes to POST's Guidelines for Law Enforcement Response to Domestic Violence
*For in-service officers below the rank of supervisor who are assigned to patrol duties and would normally respond to domestic violence calls or incidents of domestic violence. To be completed every two years.
Elder/Dependent Adult Abuse -- 2 Hours (Penal Code section 13515).
(1) Relevant Laws
(2) Recognition of Elder and Dependent Adult Abuse
(3) Reporting Requirements and Procedures
(4) Neglect of Elders and Dependent Adults
(5) Fraud of Elders and Dependent Adults
(6) Physical Abuse of Elders and Dependent Adults
(7) Psychological Abuse of Elders and Dependent Adults
(8) The Role of Local Adult Protective Services and Public Guardian Offices
Every city police officer or deputy sheriff at a supervisory level and below who is assigned field or investigative duties shall complete a POST-certified Elder/Dependent Adult Abuse Course within 18 months of assignment to field or investigative duties.
Electronic Surveillance -- 16 Hours (Penal Code section 629.50)
(1) Legal Aspects
(2) Technical Aspects
(3) Practical Aspects
Hate Crimes Framework and Policy
Implements Penal Code §13519.6
Every state law-enforcement department shall adopt a framework and formal policy as specified in the Hate Crimes Policy Guidelines (2008) publication (herein incorporated by reference).
Hearsay Testimony Course -- 1 Hour
(1) The new role of officers at preliminary hearings, rules of evidence, and need for accuracy and thoroughness of investigations.
(2) Reporting and documenting crimes to facilitate hearsay testimony in preliminary hearings.
(3) Testifying to hearsay statements in a preliminary hearing. This course must be completed by all law enforcement officers who have less than five years of service and who wish to testify to hearsay evidence in preliminary hearings as required by Penal Code section 872(b).
High-Speed Vehicle Pursuit Training -- 1 Hour Minimum Annually. [Penal Code Section 13519.8(a)-(e)] For all peace officers of an agency authorized by law to conduct vehicle pursuits.
(1) Vehicle Safety, Operation and Tactics
(2) Agency Vehicle Pursuit Policy
(3) Assessing Risk, Dangers and Conditions
(A) Public Safety
(B) Officer Safety
(C) Importance of Balancing the Known Offense and Need for Apprehension Against the Risks to Officers and the Public
(4) Consideration of Law Enforcement Vehicle Pursuit Issues
(A) When to Initiate a Pursuit
(B) The Number of Involved Law Enforcement Units Permitted
(C) Responsibilities of Primary and Secondary Law Enforcement Units
(D) Driving Tactics
(E) Helicopter Assistance
(F) Communications
(G) Capture of Suspects
(H) Termination of a Pursuit
(I) Supervisory Responsibilities
(J) Blocking, Ramming, Boxing and Roadblock Procedures
(K) Speed Limits
(L) Interjurisdictional Considerations
(M) Conditions of the Vehicle, Driver, Roadway, Weather and Traffic
(N) Hazards to Uninvolved Bystanders or Motorists
(O) Reporting and Post-pursuit Analysis
When used in conjunction with an agency's pursuit policy, the California Law Enforcement Vehicle Pursuit Guidelines (Rev. 2/2007) and/or Pursuit Driving Update (2007) telecourse DVD can be used to satisfy this requirement. Note: POST videos typically require 2-5 training hours.)
High Technology Crimes -- 4 Hours* (Penal Code section 13515.55)
(1) Law
(2) Recognition of High Technology Crimes
(3) Computer Evidence Collection and Preservation
*Note: Required for every city police officer and deputy sheriff at a supervisory level who is assigned field or investigative duties.
Human Trafficking Training -- 2 Hours (Penal Code §13519.14)
(1) The Dynamics and Manifestations of Human Trafficking
(2) Identifying and Communicating with Victims
(3) Providing Documentation that Satisfy the Law Enforcement Agency Endorsement Required by Federal Law
(4) Collaboration with Federal Law Enforcement Officials
(5) Therapeutically Appropriate Investigative Techniques
(6) The Availability of Civil and Immigration Remedies and Community Resources
(7) Protection of the Victim
Participating in the Human Trafficking Training course or courses by peace officers or the agencies employing them is voluntary.
Humane Officer Firearms -- 15 Hours (California Corporations Code section 14502)
The required course is the Firearms portion of the P.C. 832 Course, with an examination.
ICS 300 & 400 Course for Response Personnel (SEMS/NIMS/ICS) -- 16 Hours
(A) Course Introduction and Objectives
(B) Incident Command System (ICS) Review
(C) Incident Action Planning
(D) Incident Command System (ICS) Organization
(E) Comprehensive Tabletop Exercises -- Minimum of six (6)
(F) Course Review
(G) Final Examinations
Investigation of the Sudden Death of Infants -- 2 Hours
(1) Standard Procedures for Investigating the Sudden Death of Infants
(2) Sudden Infant Death Syndrome (SIDS) Awareness
Law Enforcement Response to Terrorism (LERT) -- 8 Hours (Penal Code Section 13519.12)
(1) An Overview of Conventional, Chemical, Biological, Radiological, Nuclear, and Explosive Devices
(2) Threat and Hazard Recognition with an Emphasis on Ability to Determine Local Vulnerabilities and Basic Intelligence Gathering and Sharing, and Historical Issues
(3) Understanding the Structure and Function of an Incident Command System
(4) Initial Response Actions, Including Preliminary Assessment, Notifications, Resource Needs, and Safety Considerations
(5) Coordination with other Emergency Service First Responders
(6) Gathering, Verifying, Assessing, and Communicating Incident Information
(7) Understanding Mass Casualty Implications and Decontamination Requirements
(8) Balancing Lifesaving Activities with Evidence Preservation
(9) General Awareness and Additional Training for each of the First Responder Categories Specific to Each Discipline.
Laser Operator Course -- 8 Hours (Vehicle Code section 40802)
(1) Radar Review
(2) Scientific Principals
(3) General Operational Considerations
(4) Operation of Specific Laser Devices
(5) Legal Considerations
(6) Examination
Note: Required for peace officers issuing speed violation citations using laser or any other electronic speed measuring devices who has already successfully completed a Radar Operator Course, and where a traffic and engineering survey is beyond five years.
Mental Illness and Developmental Disabilities Course -- 8 Hours (Penal Code section 13515.25)
(1) Cause and Nature of Mental Illness and Developmental Disabilities
(2) Indicators of Mental Illness and Developmental Disabilities
(3) Verbal Intervention Strategies
(4) Responding to Violent Subjects
(5) Alternatives to Lethal Force
(6) Community and State Resources
Missing Persons -- 4 Hours (Penal Code section 13519.1)
(1) Benefits for Law Enforcement Involvement and Sensitivity*
(2) Initial Response Procedures
(3) Locating Missing Persons
(4) Legal Requirements for Initial Response and Follow-up*
*For in-service officers completing basic training prior to 1-1-89, supplementary training consist of two hours emphasizing the indicated topics.
Public Safety Communications Terrorism Awareness Course (PSC-TAC) -- 8 Hours (Penal Code section 13519.12)
(1) Introduction and Overview
(2) The Terrorist Threat
(3) Weapons of Mass Destruction (WMD)
(4) Target Assessment
(5) Counter-Terrorism Measures
(6) Emergency Management (SEMS/NIMS/ICS)
(7) Communications Response
(8) Psychological Impacts
Racial Profiling Training [Penal Code section 13519.4(f)]
Part I -- Initial* -- 5 Hours
(1) Why Are We Here?
(2) Racial Profiling Defined
(3) Legal Considerations
(4) History of Civil Rights
(5) Impact of Racial Profiling
(6) Community Considerations
(7) Ethical Considerations
Part II -- Refresher** -- 2 Hours
(1) Review of Applicable Initial Training
(2) Update on Changes in Law and Practices
*Included in Basic Course after 1-1-04.
**To be completed every five years after initial training.
Radar Operator Course -- 24 Hours* (Vehicle Code section 40802)
(1) Speed and Enforcement
(2) History and Theory
(3) Laws and Court Decisions
(4) Stationary Radar Operation
(5) Moving Radar Operation
(6) Radar Effects
(7) Visual Speed Determination
(8) Radar Evidence
(9) Practical Exercises and Field Testing
(10) Courtroom Testimony
(11) Written Examination
*Note: Required for peace officers issuing speed violation citations using radar speed measuring devices and where a traffic and engineering survey is beyond five years.
Reserve Peace Officer (Penal Code section 832.6) (Certified Course; requirement satisfied by the Basic Course.) See Regulation 1007.
Rifle Course -- Part II -- 16 Hours [Long/Short Barrel, Penal Code section 33220(b)]**
(1) Law Update
(2) Review of Use of Force Issues, Agency Policies and Mission
(3) Safety Issues
(4) Nomenclature, Specifications and Capabilities
(5) Firearm Care, Breakdown, and Cleaning
(6) Tactical Considerations
(7) Skill Development and Qualification
**Prerequisite: Completion of the Regular Basic Course -- Standard Format, Regular Basic Course -- Modular Format, Modules III and II, the Specialized Investigators' Basic Course, or Reserve Modules A, B, and C.
Sexual Assault Investigation -- 40 Hours (Penal Code section 13516) (Certified Course) Satisfies the Sexual Abuse and Exploitation of Children training requirement specified in 13516 P.C.
(1) Introduction/Overview*
(2) Laws Related To Sexual Assault*
(3) Victim Dynamics & Interaction*
(4) Offender Dynamics & Interaction
(5) Interviews*
(6) Investigative Techniques and Resources*
(7) Special Sexual Assault Cases
(8) Sexual Abuse and Exploitation of Children*
(9) Evidence*
(10) Case Management
(11) Investigator Wellness
*Basic Course includes 12 hours of instruction addressing these topics.
Sexual Harassment -- 2 Hours [Penal Code Section 13519.7(c)]
(1) Legal Aspects
(2) Behaviors Constituting Sexual Harassment
(3) Responding to Unwanted Behavior
(4) Complaint Process
Requirement satisfied by the Basic Course. Peace officers who completed basic training prior to 01-01-95 must complete supplemental sexual harassment training by 01-01-97. The sexual harassment curriculum, pages 4-9 of the document Sexual Harassment In The Workplace Guidelines and Curriculum (1994), adopted effective December 17, 1994 is herein incorporated by reference.
Shotgun Course --Part I -- 16 Hours [Long/Short Barrel, Penal Code section 33220(b)]*
(1) Law Update
(2) Review of Use of Force Issues, Agency Policies and Mission
(3) Safety Issues
(4) Nomenclature, Specifications and Capabilities
(5) Firearm Care, Breakdown, and Cleaning
(6) Tactical Considerations
(7) Skill Development and Qualification
*This training requirement can be satisfied by completing the Regular Basic Course -- Standard Format, Regular Basic Course -- Modular Format, Modules III and II, the Specialized Investigators' Basic Course, or Reserve Modules A, B, and C, which contained POST-certified shotgun training.
Stalking Course -- 2 Hours (Penal Code Section 13519.05)
(1) Stalking Law
(2) Criminal Threats Law
(3) Other Crimes that Constitute Stalking Behavior
(4) Preliminary and Follow-up Investigation of Stalking Cases
(5) Conducting a Threat Assessment
(6) Civil Remedies and Community Resources in Support of Victim
(7) Appropriate Treatment and Protection of a Victim
State Agency Peace Officers (Penal Code section 13510.5) (Certified Course)
The Advanced Officer Course described in PAM section D-2 shall satisfy the minimum training required by P.C. 13510.5.
Traffic Accident Investigation (Vehicle Code section 40600) (Certified Course)
(1) Introduction and Orientation
(2) Collision Investigation Reporting Procedures
(3) Accident-Related Traffic Laws
(4) Accident Investigation Procedures
(5) Skidmarks/Tiremarks Identification
(6) Diagramming
(7) Physical Evidence
(8) Vehicle Factors
(9) Human Factors
(10) Driving Under the Influence
(11) Hit and Run
(12) Prosecution/Court Presentations
(13) Practical Exercise (Scenarios)
(14) Final Examination
(b) Certain legislatively mandated courses, referred to in Commission Regulations 1005(f) and 1081(a), that are specified in Title 4, Chapter 1, and the courses that begin with section 13516 of the Penal Code, may be waived through a POST evaluation of previous training. The evaluation may indicate full or partial satisfaction of the mandated course's minimum content requirements.
(1) Requirements and Procedures for Evaluation
(A) Eligibility A department head desiring an evaluation of training to determine its satisfaction of the minimum content requirements of one of the mandated courses as described in 1081(b) above, shall submit a written request to the POST Executive Director. The request for a training evaluation shall be accompanied by a training outline which specifies: dates of training, total hours trained, instructional goals, required topics, instructional methodology and testing requirements.
(B) Previous Training Restrictions The completion date of the training that is the subject of the request for evaluation cannot be more than three years prior to the date the request for evaluation is received by the Executive Director.
(C) Notification of Determination Written notification stating if the evaluated training meets (all or partially) the minimum requirements of the mandated training shall be mailed to the department head within 30 days of receipt of the request. When partial satisfaction of the mandated course is determined, the notification shall indicate which minimum content requirements are satisfied and those that are not.
(D) Evaluation of Make-up Content Whenever the evaluated training is deemed as partial satisfaction of the mandated course's minimum content requirements, the missing course content may be presented and the department may request an evaluation as described in (A) above.
The California Law Enforcement Vehicle Pursuit Guidelines (Rev. 2/2007), adopted effective July 1, 2007, is herein incorporated by reference.
The Pursuit Driving Update (2007) telecourse DVD, adopted effective July 1, 2007, is herein incorporated by reference.
NOTE
Authority cited: Sections 831.4, 12002(f), 12403.5, 13503, 13506, 13510, 13511.3, 13515, 13517.7, 13519(f), 13519.4, 13519.8, 13519.12, 13519.14 and 13778, Penal Code. Reference: Sections 830.33, 832, 832.1, 832.2, 832.3, 832.6, 872(b), 12002(f), 12403, 12403.5, 13503(e), 13510, 13510.5, 13511.3, 13515, 13515.25, 13515.55, 13516, 13517, 13517.7, 13519, 13519(e), 13519.1, 13519.2, 13519.3, 13519.4, 13519.6, 13519.8, 13519.12, 13519.14 and 13778, Penal Code; Sections 40600 and 40802, Vehicle Code; Section 25755, Business and Professions Code; Section 1797.187, Health and Safety Code; and Section 14502, California Corporations Code.
HISTORY
1. New section filed 4-26-90; operative 5-26-90 (Register 90, No. 21).
2. New subsection (a)(19) filed 8-6-90 as an emergency; operative 8-6-90 (Register 90, No. 39). A Certificate of Compliance must be transmitted to OAL by 12-4-90 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 8-6-90 order transmitted to OAL 11-27-90 and filed 12-19-90 (Register 91, No. 6).
4. New subsection (a)(16) filed 3-19-91; operative 4-18-91 (Register 91, No. 14).
5. New subsection (a)(17) filed 3-25-91; operative 4-24-91 (Register 91, No. 15).
6. New subsection (a)(7), amendment of reference note, and renumbering of existing subsections (a)(7)-(14) to (a)(8)-(15) filed 4-24-91; operative 5-24-91 (Register 91, No. 21).
7. New subsection (a)(18) filed 5-3-91; operative 6-29-91 (Register 91, No. 28).
8. New subsection (a)(20) filed 9-24-91; operative 10-25-91 (Register 91, No. 52).
9. Amendment filed 12-23-91; operative 7-1-92 (Register 92, No. 19).
10. Amendment of subsections (a)(15) and (a)(19)(C) filed 2-22-94; operative 3-24-94 (Register 94, No. 8).
11. Editorial correction amending subsection (a)(1) Firearms Course and repositioning final paragraph (Register 94, No. 35).
12. Amendment of section (a)(4) filed 11-14-94; operative 12-14-94 (Register 94, No. 46).
13. New subsections (a)(21)-(a)(21)(D) filed 11-16-94; operative 12-16-94 (Register 94, No. 46).
14. New subsection (b) filed 4-18-95; operative 5-18-95 (Register 95, No. 16).
15. New subsections (a)(22)-(a)(23)(C) and amendment of Note filed 8-21-95; operative 9-20-95 (Register 95, No. 34).
16. Amendment of subsection (a)(5) and Note filed 7-26-96; operative 8-25-96 (Register 96, No. 30).
17. Amendment of subsection (a) filed 1-14-97; operative 2-13-97 (Register 97, No. 3).
18. New subsections (a)(24)-(a)(24)(D) and amendment of Note filed 7-8-97; operative 8-7-97 (Register 97, No. 28).
19. Amendment of subsection (a)(8), new subsections (a)(25)-(a)(25)(B) and amendment of Note filed 8-4-98; operative 9-3-98 (Register 98, No. 32).
20. New subsections (a)(26)-(a)(26)(F) and amendment of Note filed 8-5-98; operative 9-4-98 (Register 98, No. 32).
21. Amendment of subsections (a) and (b) and amendment of Note filed 3-22-99; operative 4-21-99 (Register 99, No. 13).
22. Amendment of subsections (a)(12)-(a)(12)(K), repealer of subsections (a)(12)(L)-(M), and amendment of Note filed 5-11-99; operative 6-10-99 (Register 99, No. 20).
23. New subsections (a)(27)-(a)(27)(C) and amendment of Note filed 6-30-99; operative 7-30-99 (Register 99, No. 27).
24. Change without regulatory effect amending subsection (a)(24) and Note filed 3-7-2000 pursuant to section 100, title 1, California Code of Regulations (Register 2000, No. 10).
25. New subsections (a)(28)-(a)(29)(F) filed 4-4-2000; operative 5-4-2000 (Register 2000, No. 14).
26. New subsections (a)(30)-(a)(30)(G) filed 4-6-2000; operative 5-6-2000 (Register 2000, No. 14).
27. Amendment of subsections (a)(20)-(a)(20)(H) and amendment of Note filed 6-12-2000; operative 6-12-2000 pursuant to Government Code section 11343.4(d) (Register 2000, No. 24).
28. Amendment of subsections (a)(2) and (a)(2)(C), repealer and new subsections (a)(2)(F)-(H) and new subsection (a)(2)(I) filed 6-5-2001; operative 8-1-2001 (Register 2001, No. 23).
29. Editorial correction of section (Register 2001, No. 38).
30. Amendment of subsections (a)(26)-(a)(26)(F) and new subsections (a)(26)(G)-(H) filed 1-9-2002; operative 2-8-2002 (Register 2002, No. 2).
31. New subsections (a)(31)-(a)(31)(G) filed 3-14-2002; operative 4-13-2002 (Register 2002, No. 11).
32. New subsections (a)(32)-(a)(32)(F) and amendment of Note filed 4-25-2002; operative 5-25-2002 (Register 2002, No. 17).
33. New subsections (a)(33)-(a)(33)IIB. and amendment of Note filed 7-1-2002; operative 7-31-2002 (Register 2002, No. 27).
34. Change without regulatory effect amending subsections (a)(31) and (a)(32) filed 2-3-2003 pursuant to section 100, title 1, California Code of Regulations (Register 2003, No. 6).
35. Amendment of subsection (a)(33) filed 7-3-2003 as an emergency; operative 7-3-2003 (Register 2003, No. 27). A Certificate of Compliance must be transmitted to OAL by 10-31-2003 or emergency language will be repealed by operation of law on the following day.
36. Amendment of subsections (a)(1) and (a)(33) filed 8-21-2003; operative 1-1-2004 (Register 2003, No. 34).
37. New subsections (a)(34)-(a)(34)(F) and amendment of Note filed 9-29-2003; operative 10-29-2003 (Register 2003, No. 40).
38. New subsections (a)(35)-(a)(35)(I) and amendment of Note filed 10-24-2005; operative 11-23-2005 (Register 2005, No. 43).
39. Amendment of subsections (a), (a)(22) and (b) filed 7-27-2006; operative 8-26-2006 (Register 2006, No. 30).
40. Reinstatement of section (a)(33) as it existed prior to 7-3-2003 emergency amendment by operation of Government Code section 11346.1(f) (Register 2006, No. 47).
41. New subsection (a)(37) filed 12-21-2006; operative 1-20-2007 (Register 2006, No. 51).
42. Amendment filed 6-4-2007; operative 7-1-2007 pursuant to Government Code section 11343.4 (Register 2007, No. 23).
43. Amendment of subsection (a) filed 8-1-2007; operative 8-31-2007 (Register 2007, No. 31).
44. Amendment of subsection (a) filed 8-1-2007; operative 8-31-2007 (Register 2007, No. 31).
45. Amendment of subsection (a), last paragraph and Note filed 4-14-2008; operative 4-14-2008 pursuant to Government Code section 11343.4 (Register 2008, No. 16).
46. Amendment of subsection (a) filed 10-2-2008; operative 11-1-2008 (Register 2008, No. 40).
47. Amendment of subsection (a) and amendment of Note filed 10-16-2008; operative 11-15-2008 (Register 2008, No. 42).
48. Amendment of Note filed 11-7-2008; operative 12-7-2008 (Register 2008, No. 45).
49. Amendment of footnotes to subsection (a) -- Rifle Course--Part II and Shotgun Course--Part I filed 12-29-2010; operative 1-1-2011 pursuant to Government Code section 11343.4 (Register 2010, No. 53).
50. Amendment of Campus Law Enforcement Course filed 9-28-2011; operative 1-1-2012 pursuant to Government Code section 11343.4(b) (Register 2011, No. 39).
51. Change without regulatory effect amending section and Note filed 11-26-2012 pursuant to section 100, title 1, California Code of Regulations (Register 2012, No. 48).
52. Amendment of subsection (a) -- Aviation Security filed 12-12-2012; operative 1-11-2013 (Register 2012, No. 50).
§1082. Minimum Content Requirements for Instructor Courses.
Note • History
(a) Minimum Course Content The instructor courses listed in regulations 1009 and 1070, and in subsection (d) below, shall meet the minimum content requirements as specified in subsection (d). Regulations 1052-1056 specify the requirements for certification and presentation of these courses. Effective March 1, 2008, completion of the Academy Instructor Certification Course specified in Regulation 1082(d) or passage of the AICC Equivalency Process specified in Regulation 1009(c)(4) shall be a prerequisite to teaching any* of the specialized subjects listed in Regulation 1070(b) when the subject is taught in the Regular Basic Course, in addition to the requirement to complete the required instructor course listed in Regulation 1082(d).
*The following instructor courses listed in Regulation 1070(b) are excluded from the AICC completion requirement: Institute of Criminal Investigation (ICI) Instructor, Motorcycle Training Instructor, Supervisory Course Instructor, and Supervisory Leadership Institute (SLI) Instructor courses.
(b) Additional Requirements Requirements for certification and presentation of these courses are specified in Regulations 1052-1056. Additional requirements for the Academy Instructor Certification Course are specified in Regulation 1009.
(c) POST-certified Courses A POST-certified course by the same title as the instructor training course specified in Regulation 1070 (b) and which began prior to July 1, 2002, shall be deemed as meeting the minimum content requirement. POST-certified courses beginning on or after July 1, 2002, shall be evaluated by the course presenter for compliance with the minimum course content specified in subsection (d) below.
(d) Instructor Courses and Minimum Content The instructor courses listed below (either POST-certified and beginning after July 1, 2002, or courses used in an equivalency process), shall meet minimum content requirements as follows:
Arrest and Control Instructor
(1) Body Physics and Dynamics
(2) Control Techniques
(3) Handcuffing
(4) Injury Prevention
(5) Prisoner Restraint
(6) Searches
(7) Use of Force
(8) Weaponless Defense
(9) Weapon Retention/Takeaway
(10) Adult Learning Concepts
(11) Legal Issues
(12) Performance Evaluation Techniques
(13) Safety Protocols
(14) Written, Oral, and/or Demonstration Assessment (in each topic area)
Academy Instructor Certification Course (AICC)
(1) Basic Course Instructional System
(2) Roles and Responsibilities of Law Enforcement Training Instructors
(3) Adult Learning Concepts
(4) Lesson Planning
(5) Presentation Skills
(6) Facilitation Skills
(7) Use of Learning Resources and Training Aids
(8) Evaluation Techniques
(9) Legal Issues
(10) Safety Protocols
(11) Written, Oral, and/or Demonstration Assessment (in each topic area)
A model expanded course outline can be found in the Guidelines and Curriculum for the Academy Instructor Certificate Program publication.
Baton/Impact Weapons Instructor
(1) Blocking Techniques
(2) Drawing Techniques
(3) Patterns of Movement
(4) Stances
(5) Strike Zones
(6) Striking Techniques
(7) Use of Force
(8) Adult Learning Concepts
(9) Evaluation Techniques
(10) Legal Issues
(11) Performance Evaluation Techniques
(12) Safety Protocols
(13) Written, Oral, and/or Demonstration Assessment (in each topic area)
Chemical Agents Instructor
(1) Decontamination
(2) Delivery Methods
(3) Disposal of Aerosol Devices
(4) First Aid Protocols
(5) Gas Mask Application
(6) Maintenance of Aerosol Devices
(7) Adult Learning Concepts
(8) Legal Issues
(9) Performance Evaluation Techniques
(10) Safety Protocols
(11) Written, Oral, and/or Demonstration Assessment (in each topic area)
Defensive Tactics Instructor
(1) Body Physics and Dynamics
(2) Control Techniques
(3) Handcuffing
(4) Injury Prevention
(5) Prisoner Restraint
(6) Searches
(7) Use of Force
(8) Weaponless Defense
(9) Weapon Retention/Takeaway
(10) Adult Learning Concepts
(11) Legal Issues
(12) Performance Evaluation Techniques
(13) Safety Protocols
(14) Written, Oral, and/or Demonstration Assessment (in each topic area)
The content for this course is a composite of the “Arrest and Control Instructor” and “Baton/Impact Weapons Instructor” courses.
Diversionary Devices Instructor
(1) Device Deployment and Ignition
(2) Overpressure
(3) Types of Devices
(4) Types of Diversions
(5) Adult Learning Concepts
(6) Legal Issues
(7) Performance Evaluation Techniques
(8) Safety Protocols
(9) Written, Oral, and/or Demonstration Assessment (in each topic area)
Driver Awareness Instructor
(1) Course Management
(2) Defensive Driving
(3) Pre-Shift Inspection
(4) Reverse Driving Practical Application
(5) Vehicle Control Techniques
(6) Vehicle Dynamics
(7) Adult Learning Concepts
(8) Legal Issues
(9) Performance Evaluation Techniques
(10) Safety Protocols
(11) Written, Oral, and/or Demonstration Assessment (in each topic area)
Driver Training Instructor
(1) Defensive Driving
(2) Pursuit Guidelines
(3) Risk Assessment
(4) Vehicle Control Techniques
(5) Adult Learning Concepts
(6) Legal Issues
(7) Performance Evaluation Techniques
(8) Safety Protocols
(9) Written, Oral, and/or Demonstration Assessment (in each topic area)
Driver Training Simulation Instructor
(1) Code 3 and Pursuit Decision Making
(2) Driving Coordination/Communication Tactics
(3) Scenario Design
(4) Simulator Calibration/Troubleshooting
(5) Simulator Orientation
(6) Vehicle Control Techniques
(7) Vehicle Dynamics
(8) Work Station Operation
(9) Adult Learning Concepts
(10) Legal Issues and SB 719 (Stats. of 2005)
(11) Performance Evaluation Techniques
(12) Safety Protocols
(13) Written, Oral, and/or Demonstration Assessment (in each topic area)
Electronic Weapons Instructor -- 16 Hours
(1) Introduction/Registration
(2) History and Definitions
(3) Exposures
(4) Electronic Weapons and Nomenclature
(5) Legal/Ethical Considerations
(6) Medical Aspects
(7) Deployment and Documentation
(8) Practical Application and Testing
Firearms Instructor
(1) Coaching
(2) Firearms Maintenance
(3) Fundamentals of Shooting
(4) Range Preparation
(5) Tactical Considerations
(6) Target Analysis
(7) Use of Force Guidelines
(8) Adult Learning Concepts
(9) Legal Issues
(10) Performance Evaluation Techniques
(11) Safety Protocols
(12) Written, Demonstration Assessment (in each topic area)
First Aid/CPR Instructor
(1) Abdominal/Chest Injuries
(2) Bleeding
(3) Burns
(4) Cardiovascular System
(5) Communicable Diseases
(6) CPR Techniques
(7) Dressings/Bandages
(8) Environmental Emergencies
(9) Fractures
(10) Obstetric/Pediatric Emergencies
(11) Patient Assessments
(12) Respiratory System
(13) Shock
(14) Wounds
(15) Adult Learning Concepts
(16) Legal Issues
(17) Performance Evaluation Techniques
(18) Safety Protocols
(19) Written, Oral, and/or Demonstration Assessment (in each topic area)
Force Options Simulator Instructor
(1) Force Options
(2) Scenarios Application
(3) Simulator Weapons Familiarization
(4) Tactics
(5) Adult Learning Concepts
(6) Legal Issues
(7) Performance Evaluation Techniques
(8) Safety Protocols
(9) Written, Oral, and/or Demonstration Assessment (in each topic area)
Hazardous Materials Instructor (Train-the-Trainer)
(1) Haz Mat Containment
(2) Haz Mat Identification and Assessment
(3) Incident Management
(4) Notification Protocols
(5) Placarding/Labeling
(6) Responder Awareness Actions
(7) Simulated Incidents
(8) Adult Learning Concepts
(9) Legal Issues
(10) Performance Evaluation Techniques
(11) Safety Protocols
(12) Written, Oral, and/or Demonstration Assessment (in each topic area)
ICS 300 & 400 Train-the-Trainer Course (SEMS/NIMS/ICS) -- 24 Hours
(1) Course Introduction and Objectives
(2) Trainer Orientation
(3) Incident Command System (ICS) Review
(4) Incident Action Planning
(5) Incident Command System (ICS) Organization
(6) Comprehensive Tabletop Exercises -- Minimum of seven (7)
(7) Course Review
(8) Final Examination
Institute of Criminal Investigation (ICI) Instructor
(1) Workshop on Adult Experience-based Learning
(2) Workshop for Instructional Competency Verification
(3) Student Teaching in a Classroom Environment, Under the Observation of a Master Instructor
(4) Legal Issues
(5) Safety Protocols
Law Enforcement Response to Terrorism (LERT) Instructor
(1) Defining Terrorism
(2) Overview of Conventional, Chemical, Biological, Radiological, Nuclear, and Explosive Devices
(3) Current Terrorist Threats and Historical Issues
(4) Anti-terrorism Concepts
(5) Threat and Vulnerability Assessments
(6) Role of the Terrorism Liaison Officer (TLO)
(7) Information and Intelligence Sharing
(8) Weapons of Mass Destruction (WMD)
(9) WMD Incident Response
(10) Safety and Response Strategies
(11) Standardized Emergency Management System (SEMS) and the Incident Command System (ICS)
(12) Adult Learning Concepts and Fundamental Instructional Methodologies
(13) Course Testing and Evaluation
Less Lethal Force Instructor
(1) Apprehension Techniques
(2) Level of Effectiveness
(3) Medical Treatment Protocol
(4) Precautions
(5) Projectile Specifications
(6) Psychological Effects
(7) Reporting Procedures
(8) Adult Learning Concepts
(9) Legal Issues
(10) Performance Evaluation Techniques
(11) Safety Protocols
(12) Written, Oral, and/or Demonstration Assessment (in each topic area)
Motorcycle Training Instructor
(1) Apexing
(2) Braking Demonstrations
(3) Cone Patterns
(4) Defensive Riding
(5) Enforcement Stops
(6) Incline Work
(7) Motorcycle Maintenance
(8) Pullouts
(9) Street Riding Techniques
(10) Adult Learning Concepts
(11) Legal Issues
(12) Performance Evaluation Techniques
(13) Safety Protocols
(14) Written, Oral, and/or Demonstration Assessment (in each topic area)
Physical Training Instructor
(1) Anatomy/Physiology
(2) Biomechanics
(3) Calisthenics
(4) Circuit Training
(5) Conditioning Principles
(6) Exercise Prescription
(7) Injury Prevention and Assessment
(8) Motivation
(9) Adult Learning Concepts
(10) Legal Issues
(11) Performance Evaluation Techniques
(12) Safety Protocols
(13) Written, Oral, and/or Demonstration Assessment in each topic area
Public Safety Communications Terrorism Awareness Instructor Course (PSC-TAIC)
(1) Introduction and Course Overview
(2) The Terrorist Threat
(3) Weapons of Mass Destruction (WMD)
(4) Target Assessment
(5) Counter-Terrorism Measures
(6) Emergency Management (SEMS/NIMS/ICS)
(7) Communications Response
(8) Psychological Impact
(9) Testing, Tabletop Scenario and Course Critique
(10) Adult Learning Concepts
(11) Facilitation Skills
(12) Use of Technology Delivery Systems
(13) Course Material Resources
(14) Small Group Curricula Presentations
(15) Certification Process
Racial Profiling Instructor
(1) Modeling of Core Course
(2) Facilitation Skills
(3) Racial Profiling Defined
(4) Legal Considerations
(5) History of Civil Rights
(6) Community Considerations
(7) Facilitator Guide Orientation
(8) “Teach Back”
Supervisory Course Instructor
(1) Workshop on Experience-based Learning and Facilitation Skills
(2) Competency Verification/Evaluation Session
Supervisory Leadership Institute (SLI) Instructor
(1) Workshop on Experience-based Learning and Facilitation Skills
(2) Competency Verification/Evaluation Session
(3) Legal Issues
(4) Safety Protocols
Train-the-Trainer Course for Response Personnel (SEMS/NIMS/ICS)
(1) Course Overview and Objectives
(2) Introduction to Standardized Emergency Management (SEMS)/National Incident Management System (NIMS)
(3) Introduction to the Incident Command System (ICS)
(4) The Incident Command System (ICS)
(5) SEMS/NIMS Multi-agency Coordination Systems
(6) Incident Action Planning (IAP)
(7) Resource Management
(8) Mutual Aid
(9) Transfer of Command/Demobilization
(10) SEMS/NIMS Public Information
(11) SEMS/NIMS Preparedness
(12) SEMS/NIMS Communications, Information, Management and Supporting Technologies
(13) SEMS/NIMS Review and Testing
(14) The Role of the Trainer
NOTE
Authority cited: Sections 13503, 13506 and 13519.12, Penal Code. Reference: Sections 13503(e), 13519.4 and 13519.12, Penal Code.
HISTORY
1. New section filed 7-17-2001; operative 7-1-2002 (Register 2001, No. 29).
2. New subsections (a)(18)-(a)(18)(H), subsection renumbering and amendment of Note filed 8-27-2002; operative 9-26-2002 (Register 2002, No. 35).
3. New subsections (a)(20)-(a)(20)(B) and subsection renumbering filed 2-6-2003; operative 3-8-2003 (Register 2003, No. 6).
4. Amendment of section heading and section filed 7-21-2003; operative 8-20-2003 (Register 2003, No. 30).
5. New subsections (d)(15)-(d)(15)(M), subsection renumbering and amendment of Note filed 10-24-2005; operative 11-23-2005 (Register 2005, No. 43).
6. New subsections (d)(19)-(d)(19)(O), subsection renumbering and repealer of footnote to newly designated subsection (d)(20) filed 12-21-2006; operative 1-20-2007 (Register 2006, No. 51).
7. Amendment of subsection (d) filed 3-6-2007; operative 4-5-2007 (Register 2007, No. 10).
8. Amendment of subsection (d) filed 8-1-2007; operative 8-31-2007 (Register 2007, No. 31).
9. Amendment of subsection (d) filed 8-1-2007; operative 8-31-2007 (Register 2007, No. 31).
10. Amendment of subsections (a) and (d) filed 2-29-2008; operative 3-1-2008 pursuant to Government Code section 11343.4 (Register 2008, No. 9).
11. Change without regulatory effect amending section filed 11-26-2012 pursuant to section 100, title 1, California Code of Regulations (Register 2012, No. 48).
§1083. Minimum Content Requirements for Academy Staff Courses.
Note • History
(a) Minimum Course Content The POST-certified courses listed in this regulation, which is responsive to Regulation 1071, shall meet the minimum content requirements as stated below.
(1) Academy Director/Coordinator Course
(A) Academy Management Guidelines
(B) Basic Training Support System
(C) Budgeting
(D) Ethics and Professionalism
(E) Instructional Planning
(F) Instructional Quality
(G) Instructional Resources
(H) Learning Domain Instructional System
(I) Testing Regulations and Management
(J) Legal Issues
(K) Performance Evaluation Techniques
(L) Safety Protocols
(2) Recruit Training Officer Orientation Program
(A) Introduction
(B) Leadership, Ethics and Professionalism
(C) Roles and Responsibilities
(D) Recruit Interaction
(E) Testing
(F) Evaluation and Documentation
(G) Final Thoughts
(3) Recruit Training Officer Course
(A) POST Administration/Organization Overview
(B) Communication and Instructional Techniques
(C) Role Modeling
(D) Counseling Techniques
(E) Evaluation and Documentation
(F) Liability and Legal Issues
(G) Physical Training and Other Special Training Issues
(H) Leadership, Ethics, and Professionalism
(4) Scenario Manager Course
(A) Orientation
(B) Validation of Scenario Manual
(C) Competencies
(D) Academy Training Mission
(E) Scenario Test Development Process
(F) Review of Evaluation Form
(G) Scenario Management Issues
(H) Remediation
(I) Practice Exercise
(J) Basic Academy Scheduling Exercise
(K) Scenario Management Project
(L) Selection and Training of Evaluators and Role-players
(M) Safety Considerations
(N) Scenario Development
(5) Scenario Evaluator Course
(A) Orientation
(B) Validation of Scenario Manual
(C) Competencies
(D) Academy Training Mission
(E) Review of Evaluation Form
(F) Remediation
(G) Practice Exercise
(H) Safety Considerations
NOTE
Authority cited: Sections 13503 and 13506, Penal Code. Reference: Sections 13503(e) and 13519.4, Penal Code.
HISTORY
1. New section filed 7-21-2003; operative 8-20-2003 (Register 2003, No. 30). For prior history, see Register 2002, No. 49.
2. New subsections (a)(3)-(a)(3)(J) filed 4-14-2005; operative 5-14-2005 (Register 2005, No. 15).
3. Repealer of subsections (a)(3)-(a)(3)(J) filed 2-29-2008; operative 3-1-2008 pursuant to Government Code section 11343.4 (Register 2008, No. 9).
4. New subsection (a)(2), subsection renumbering and new subsections (a)(4)-(5) filed 12-29-2010; operative 1-1-2011 pursuant to Government Code section 11343.4 (Register 2010, No. 53).
5. Change without regulatory effect amending subsection (a) filed 11-26-2012 pursuant to section 100, title 1, California Code of Regulations (Register 2012, No. 48).
§1084. Standardized POST Training Curriculum.
Note • History
To promote the effectiveness of law enforcement training, this regulation establishes the minimum required topics and the minimum hours for specific, non-mandated training courses. Training courses may exceed these topics and hours.
(a) Electronic Weapons -- 4 Hours Minimum
(1) Introduction and Registration
(2) History and Definitions
(3) Exposures and Safety
(4) Electronic Weapons and Nomenclature
(5) Legal/Ethical Considerations
(6) Medical Aspects
(7) Deployment and Documentation
(8) Practical Application and Testing
(b) The following SWAT Courses meet the content recommendations of Penal Code section 13514.1 for SWAT training of peace officers.
Special Weapons and Tactics Team Training (Basic Course) -- 80 Hours (Penal Code Section 13514.1)
(1) Introduction
(2) Performance Evaluation of Team Members
(3) Policy Issues
(4) Basic SWAT Concepts
(5) Psychological Considerations
(6) Physical Considerations
(7) Overview of Individual and Team Equipment
(8) Operational Planning
(9) Overview of Specialized SWAT Functions
(10) Command Post Operations
(11) Individual and Team Movement
(12) Basic Entry and Search Techniques
(13) Chemical Agents in SWAT Operations
(14) Diversionary Devices
(15) Crisis Negotiation
(16) Individual and Team Firearms Training
(17) Training Scenarios and Problem-Solving Simulations
When used in conjunction with an agency's Special Weapons and Tactics Team Training policy, telecourse DVD can be used to satisfy this requirement. Note: POST videos typically require 2-5 training hours.
Special Weapons and Tactics Team Training Update (Experienced SWAT Team Operators and SWAT Supervisors/Team Leaders) -- 24 Hours Every 24 Months (Penal Code Section 13514.1)
(1) Weapons, Munitions, and Equipment Training
(2) Individual and Team Movement and Tactics
(3) Decision-Making
(4) Specialized Functions and/or Supporting Resources
When used in conjunction with an agency's Special Weapons and Tactics Team Training policy, telecourse DVD can be used to satisfy this requirement. Note: POST videos typically require 2-5 training hours.
Special Weapons and Tactics Team Training (Supervision and Management of SWAT Operations) -- 40 Hours (Penal Code Section 13514.1)
(1) Introduction
(2) Definition of a Critical Incident
(3) Administrative Duties and Responsibilities
(4) Legal Issues
(5) Mutual Aid Procedures
(6) Deployment Guidelines
(7) Tactical Team Operations
(8) Command and Control
(9) Command Post Operations
(10) Tactical Operation Procedures
(11) Tactical Components/Capabilities
(12) Tactical Considerations/Missions
(13) Training Scenarios and Problem-Solving Simulations
When used in conjunction with an agency's Special Weapons and Tactics Team Training policy, telecourse DVD can be used to satisfy this requirement. Note: POST videos typically require 2-5 training hours.
(c) Tactical Medicine Course -- 80 Hours Minimum (These Courses meet the content recommendations of Penal Code Section 13514.1 for Tactical Medicine training of peace officers).
(1) Introduction and Course Administration
(2) Tactical Team Purpose and Concepts
(3) Tactical Medical Equipment
(4) Tactical Equipment
(5) Tactical Team Concepts and Planning
(6) Covert Team Movement Techniques
(7) Dynamic Clearing Techniques
(8) Medical Aspects of Distraction Devices
(9) Operational Casualty Care Level One
(10) Operational Casualty Care Level Two
(11) Medical Aspects of Wound Ballistics
(12) Hemostatic Dressings and Tourniquets
(13) Team Health Management and Combat Physiology
(14) Bombs and Improvised Explosive Devices
(15) Medical Aspects of Clandestine Drug Labs
(16) Forensics and Evidence Preservation
(17) Chemical Agents in the Tactical Environment
(18) Special Operations Aero-Medical Evacuation
(19) Medical Management of K-9 Emergencies
(20) Disguised Weapons
(21) Medical Threat Assessment and Barricade Medicine
(22) Pediatric Trauma Management in the Tactical Environment
(23) Field Trauma Anesthesia
(24) Advanced Airway Management in the Tactical Environment
(25) Advanced Airway Management Skills
(26) Environmental Injuries in the Tactical Environment
(27) Biological Weapons -- Part 1
(28) Biological Weapons -- Part 2
(29) Medical Aspects of Less Lethal Weapons
(30) Low Light Medical Assessment and Treatment
(31) Chemical Weapons -- Nerve Agents & Toxins
(32) Chemical Weapons -- Vesicants & Irritants Recognition and Management
(33) Radiation Injuries Recognition and Management
(34) Medical Management of Blast Injuries
(35) Chemical, Biologic, Radiological, Nuclear, Explosive Environment
(36) Low Light Range Exercises
(37) Low Light Tactical Medical Scenarios
(38) Explosive Entry Techniques/Demonstrations
(39) Team Movement Exercises
(40) Introduction to Tactical Handguns
(41) Introduction to Tactical Automatic Shoulder-fired Weapons
(42) Advanced Tactical Handgun & Tactical Shoulder-fired Weapons
(43) Advanced Handgun & Tactical Automatic Weapons Field Courses
(44) Tactical Medicine Scenarios -- Skills Testing Stations
(45) Written Examinations
(46) Safety Policy/Class Briefings
(d) Tactical Medicine Course -- 40 Hours Minimum (These Courses meet the content recommendations of Penal Code Section 13514.1 for Tactical Medicine training of peace officers). (Intended for personnel who have already attended the SWAT Basic Course, are currently licensed as an EMT, and have met the LERT or Federal AWR-160 training requirements).
(1) Introduction and Course Administration
(2) Tactical Medical Equipment
(3) Medical Aspects of Distraction Devices
(4) Operational Casualty Care -- Part 1
(5) Operational Casualty Care -- Part 2
(6) Medical Aspects of Wound Ballistics
(7) Hemostatic Dressings & Tourniquets
(8) Team Health Management & Combat Physiology
(9) Medical Aspects of Clandestine Drugs Labs
(10) Chemical Agents in the Tactical Environment
(11) Medical Threat Assessment & Barricade Management
(12) Pediatric Trauma Management in the Tactical Environment
(13) Field Trauma Anesthesia
(14) Advanced Airway Management in the Tactical Environment
(15) Advanced Airway Management Skills
(16) Environmental Injuries in the Tactical Environment
(17) Low Light Medical Tactics
(18) Low Light Exercises
(19) Low Light Tactical Medical Scenarios
(20) Medical Aspects of Less Lethal Weapons
(21) Medical Management of Blast Injuries
(22) Written Examination
(23) Tactical Medical Operational Scenario Exercises
(24) Tactical Medical Critical Situations Scenarios
NOTE
Authority cited: Sections 13503 and 13506, Penal Code. Reference: Sections 13503(e) and 13514.1, Penal Code.
HISTORY
1. New section filed 8-16-2006; operative 9-15-2006 (Register 2006, No. 33).
2. New subsection (b) and amendment of Note filed 3-30-2010; operative 4-29-2010 (Register 2010, No. 14).
3. Amendment of first paragraph and new subsections (c)-(d)(24) filed 4-21-2010; operative 5-21-2010 (Register 2010, No. 17).
4. Change without regulatory effect amending subsections (a), (b), (c) and (d) filed 11-26-2012 pursuant to section 100, title 1, California Code of Regulations (Register 2012, No. 48).
§1950. Peace Officer Selection Requirements.
Note • History
(a) The purpose of these regulations is to implement the minimum peace officer selection standards set forth in California Government Code Section 1031 and as authorized by California Penal Code Section 13510. Peace officer training requirements are addressed separately in Commission Regulations 1005 and 1007. All POST documents and forms mentioned in these regulations are available on the POST website (www.post.ca.gov).
(1) Every POST-participating department and/or agency (hereinafter referred to as “department”) shall ensure that every “peace officer candidate”, as defined in subsection 1950(b), satisfies all minimum selection requirements specified in the following regulations unless waived by the Commission on a case by case basis. Statutory requirements in these regulations cannot be waived by the Commission.
S Reading and Writing Ability Assessment (Regulation 1951)
S Oral Interview (Regulation 1952)
S Background Investigation (Regulation 1953)
S Medical Evaluation (Regulation 1954)
S Psychological Evaluation (Regulation 1955)
(2) All requirements specified in these regulations shall be satisfied prior to the date of employment. For purposes of these regulations, “date of employment” is defined as date of appointment as a peace officer or, at the department's discretion, the date the candidate is hired as a peace officer trainee and enrolled in a POST-certified Basic Course.
(b) Peace Officer Candidate Definition
For purposes of these regulations, a “peace officer candidate” is any individual, regardless of rank or Penal Code classification, who applies for a peace officer position with a POST-participating department, regardless of the individual's prior law enforcement experience either at that department or at a different department within the same city, county, state or district.
(c) Exceptions
For purposes of these regulations, peace officers described in this section are not considered “candidates” and are therefore exempted from Regulations 1951-1955.
(1) The department has sole responsibility for determining what, if any, assessments are necessary for a peace officer who:
(A) Changes peace officer classifications, such as from reserve officer to regular officer, within the same POST-participating department if documentation is available for inspection verifying that all current minimum selection requirements were previously met, and the peace officer has worked continuously for the department since the time of initial appointment.
(B) Is employed by a department that, through reorganization, is merged with another department within the same city, county, state or district, if documentation is available for inspection verifying that the officer was hired in accordance with the POST requirements in effect at the time of hire.
(2) For a peace officer who has been mandatorily reinstated, the department shall:
(A) Report the reinstatement to POST through the submittal of a Notice of Appointment/Termination, POST 2-114, indicating a correction to record, together with a copy of the official reinstatement documentation [Commission Regulation 1003(b)(2)];
(B) Resubmit the officer's fingerprints to the California Department of Justice (DOJ) and the Federal Bureau of Investigation (FBI) to verify legal eligibility for a peace officer position (California Government Code sections 1029 and 1030) and to determine eligibility to possess a firearm [Penal Code section 29805 and U.S. Code Title 18 section922(d)(9)]. Fingerprints do not need to be resubmitted if the officer was never removed from the department's peace officer files of the DOJ or FBI;
(C) Obtain evidence of U.S. citizenship if the officer was not a United States citizen at the date of initial appointment and three or more years has elapsed since that date of appointment (California Government Code section 1031.5);
(D) Perform a records check of the California Department of Motor Vehicles (California Vehicle Code section 12500).
(3) Publicly elected peace officers are exempted from Regulations 1951-1955.
(d) Adoption of Additional Requirements and/or Higher Standards
The requirements described herein serve as minimum selection requirements. Per Government Code Section 1031(g) and Penal Code Section 13510(d), the adoption of more rigorous requirements, higher standards, additional assessments and/or more in-depth evaluations than those stated in these regulations is at the discretion of the employing department.
NOTE
Authority cited: Sections 1030, 1031 and 1031.5, Government Code; Section 2267, Vehicle Code; and Sections 13503, 13506 and 13510, Penal Code. Reference: Sections 1029, 1030, 1031, 1031.5 and 12900 et seq., Government Code; Sections 2267 and 12500, Vehicle Code; Sections 29805 and 13510, Penal Code; and Title 18 Section 922(d)(9), US Code.
HISTORY
1. Change without regulatory effect renumbering former section 9050 to new section 1950, including amendment of section and Note, filed 11-26-2012 pursuant to section 100, title 1, California Code of Regulations (Register 2012, No. 48).
§1951. Peace Officer Reading and Writing Ability Assessment.
Note • History
(a) Every peace officer candidate shall be able to read and write at the levels necessary to perform the job of a peace officer. Satisfactory completion of this requirement may occur at any time prior to date of employment. Reading and writing ability shall be demonstrated by one of the following:
(1) Achievement of a score deemed acceptable by the hiring department on the POST Entry-Level Law Enforcement Test Battery or other professionally developed and validated test of reading and writing ability. The test can be administered by either the department or another entity.
(2) Proof of successful completion of the Regular Basic Course or the Specialized Investigators' Basic Course.
(3) Proof of possession of a Basic Course Waiver.
(b) A department that uses the POST Entry-Level Law Enforcement Test Battery must have a current Test Use and Security Agreement (03/2010), herein incorporated by reference, on file with POST.
NOTE
Authority cited: Sections 13503, 13506 and 13510, Penal Code. Reference: Section 13510, Penal Code.
HISTORY
1. Change without regulatory effect renumbering and amending former section 9051 to new section 1951 filed 11-26-2012 pursuant to section 100, title 1, California Code of Regulations (Register 2012, No. 48).
§1952. Peace Officer Oral Interview.
Note • History
(a) Every peace officer candidate shall participate in an oral interview to determine suitability to perform the duties of a peace officer. The interview shall take place prior to making a conditional offer of employment.
(b) The interview shall be conducted by the department head, one or more representatives of the department, the appointing authority or designee, and/or an oral panel consisting of at least one department employee.
(c) The POST Interviewing Peace Officer Candidates: Hiring Interview Guidelines (2009) provides assistance in conducting the oral interview. The use of the manual is discretionary; except that oral interviews shall address, at a minimum, the six POST Interview Factors herein incorporated by reference described in the manual: Experience, Problem Solving Ability, Communication Skills, Interest/Motivation, Interpersonal Skills, and Community Involvement/Awareness.
NOTE
Authority cited: Sections 13503, 13506 and 13510, Penal Code. Reference: Section 13510, Penal Code.
HISTORY
1. Change without regulatory effect renumbering former section 9052 to new section 1952 filed 11-26-2012 pursuant to section 100, title 1, California Code of Regulations (Register 2012, No. 48).
§1953. Peace Officer Background Investigation.
Note • History
(a) Government Code Mandate
Every peace officer candidate shall be the subject of a thorough background investigation to verify good moral character and the absence of past behavior indicative of unsuitability to perform the duties of a peace officer [Government Code section1031(d)].
(b) Background Investigation Evaluation Criteria
The POST Background Investigation Manual: Guidelines for the Investigator (2012) provides assistance in conducting background investigations. The use of the manual is discretionary; except the POST Background Investigation Dimensions herein incorporated by reference described in the manual -- Integrity, Impulse Control/Attention to Safety, Substance Abuse and Other Risk-Taking Behavior, Stress Tolerance, Confronting and Overcoming Problems, Obstacles, and Adversity, Conscientiousness, Interpersonal Skills, Decision-Making and Judgment, Learning Ability, and Communication Skills -- shall be considered in the conduct of every peace officer background investigation.
(c) Personal History Statements
Every peace officer candidate shall complete, sign, and date a personal history statement at the onset of the background investigation. A personal history statement can be either the Personal History Statement -- Peace Officer, POST 2-251 (02/2012) or an alternative personal history statement. An alternative personal history statement shall include inquiries related to the following areas of investigation: personal identifying information, relatives and references contact information, education history, residence history, experience and employment history, military history, financial history, legal history, driving history, and other topics related to moral character.
(d) Collection of Background Information: Pre and Post Conditional Offer of Employment.
(1) Nonmedical or nonpsychological background information may be collected after a conditional offer of employment (COE) is issued if it could not have reasonably been collected prior to the COE (Government Code section 1031.2). This may include:
(A) Official documents that cannot be obtained and evaluated in a timely manner during the pre-offer period, and
(B) Information derived from contacts and interviews with references.
(2) At the post-offer stage, background investigators, examining physicians, examining psychologists, and others involved in the hiring decision shall work cooperatively to ensure that each has the information necessary to conduct their respective investigations and/or assessments of the candidate.
(e) Areas of Investigation
(1) Citizenship Verification
(A) Every peace officer candidate, except those applying to the California Highway Patrol, shall be either a United States citizen or a permanent resident alien who is eligible for and has applied for citizenship on or within three years before the date of appointment as a peace officer (Government Code sections1031(a) and 1031.5).
(B) Every peace officer candidate for the California Highway Patrol shall be a United States citizen at time of appointment as a peace officer (Vehicle Code section2267).
(C) Proof of U.S. citizenship shall consist of an official government-issued birth certificate, naturalization documentation, or other citizenship documentation deemed acceptable by POST. The document shall be an original, a certified copy, or a copy that includes a notation by the investigator that the original or certified copy was reviewed.
(2) Age Verification
(A) Every peace officer candidate shall be minimally 18 years of age on or before the date of appointment as a peace officer.
(B) Proof of age shall be satisfied by any document accepted for proof of citizenship.
(3) Criminal Record Checks -- Local, State, and National
Every peace officer candidate shall be the subject of a criminal record search at the local, state, and national levels to determine legal eligibility for peace officer employment [Government Code sections1029(a)(1), 1030 and 1031(c)], eligibility to carry a firearm [Penal Code section29805; U.S. Code Title 18, section922(d)(9)], and to assess moral character [Government Code section1031(d)].
(A) Local searches shall include inquiries with local law enforcement departments where the candidate has lived, worked, attended school, or frequently visited.
Proof of local searches shall be documented by a letter or other written documentation from each department contacted. If a contacted department does not provide written documentation, the request for information shall be noted.
(B) A state search shall include forwarding the candidate's fingerprints to the California Department of Justice (DOJ) to establish the candidate's legal eligibility for employment (Government Code section1029) and eligibility to possess a firearm [Penal Code section29805; U.S. Code Title 18 section922(d)(9)].
Proof of a state search shall be documentation issued by the DOJ consisting of an official clearance return and an authorization to possess and carry firearms. The authorization shall be relevant to the peace officer position and shall have been generated no more than one year prior to the date of employment.
(C) A national search shall include forwarding the candidate's fingerprints to the Federal Bureau of Investigation (FBI).
Proof of a national search shall consist of an official clearance from the FBI. The clearance shall be relevant to the peace officer position and shall have been generated no more than one year prior to the date of employment.
(4) Driving Record Check
(A) Every peace officer candidate's driving history, if any, shall be checked to assess behaviors consistent with the safe and appropriate operation of a motor vehicle and adherence to the law.
(B) Proof of the driving history check shall consist of a written driving record history from the Department of Motor Vehicles or other official driving record. The record shall be dated no more than one year prior to the date of employment.
(5) Education Verification
(A) Every peace officer candidate shall meet one of the following minimum education requirements pursuant to Government Code section1031(e):
1. Be a high school graduate of one of the following:
a. A U.S. public school, or
b. An accredited U.S. Department of Defense high school, or
c. An accredited or approved public or nonpublic high school.
2. Pass the General Education Development (GED) test indicating high school graduation level.
3. Pass the California High School Proficiency Examination, or
4. Have attained a two-year, four-year, or advanced degree from an accredited college or university.
Any accreditation or approval shall be from a state or local government educational agency using local or state government approved accreditation, licensing, registration, or other approval standards, a regional accrediting association, an accrediting association recognized by the Secretary of the United States Department of Education, an accrediting association holding full membership in the National Council for Private School Accreditation (NCPSA), an organization holding full membership in the Commission on International and Trans-Regional Accreditation (CITA), an organization holding full membership in the Council for American Private Education (CAPE), or an accrediting association recognized by the National Federation of Nonpublic School State Accrediting Associations (NFNSSAA).
(B) Proof shall consist of an official transcript or other means of verifying satisfactory completion of educational requirements deemed acceptable by POST. The document shall be an original, a certified copy, or a copy that includes a notation by the investigator that the original or certified copy was reviewed.
(6) Employment History Checks
(A) Every peace officer candidate shall be the subject of employment history checks through contacts with all past and current employers over a period of at least ten years, as listed on the candidate's personal history statement.
(B) Proof of the employment history check shall be documented by a written account of the information provided and source of that information for each place of employment contacted. All information requests shall be documented.
(7) Relatives/Personal References Checks
(A) Every peace officer candidate shall be the subject of reference checks through contacts and interviews with relatives, including former spouses, and personal references listed on the candidate's personal history statement. Additional references, provided by the initial contacts, shall also be contacted and interviewed to determine whether the candidate has exhibited behavior incompatible with the position sought. Sufficient information shall be collected and reviewed to determine candidate suitability.
(B) Proof of reference checks shall be documented by written information showing that relatives and personal references identified by the candidate were interviewed. Documentation shall include the identity of each individual contacted, the contact's relationship to the candidate, and an account of the information provided by the contact. All requests for information shall be documented.
(8) Dissolution of Marriage Check
(A) Every peace officer candidate who indicates one or more marriage dissolutions on the personal history statement shall have his/her court issued dissolution documents and legal separation decrees reviewed as an indication of personal integrity, financial responsibility, and other relevant aspects of candidate suitability.
(B) Proof of the dissolution/separation of marriage check shall be documented by a copy of all final court-issued dissolution documents and legal separation decrees.
(9) Neighborhood Checks
(A) Every peace officer candidate shall be the subject of contacts and interviews with current and, where practicable, previous neighbors to determine whether the candidate has exhibited behavior incompatible with the position sought.
(B) Proof of neighborhood checks shall be documented by written information showing the identity of each neighbor contacted, the neighbor's relationship to the candidate, and an account of the information provided by the individual. All requests for information shall be documented.
(10) Military History Check
(A) When applicable, a candidate shall be required to present proof of Selective Service registration or military service records.
(B) Proof of a military history check shall consist of written verification of Selective Service registration, except for women or any man born prior to January 1, 1960. For any candidate who indicates military history on the personal history statement, proof shall consist of an official copy of their DD-214 long form or equivalent documentation of foreign military service, if available.
(11) Credit Records Check
(A) Every peace officer candidate shall be the subject of a credit record search with a bona fide credit reporting agency (i.e., Experian, TransUnion, Equifax) to determine the candidate's credit standing with lenders, as an indication of the candidate's dependability and integrity.
(B) Proof of a credit record check shall be documented by an official credit report returned by one of the bona fide credit reporting agencies. The report shall have been created no more than one year prior to the date of employment.
(f) Background Investigation Updates
(1) Eligibility
(A) If a peace officer candidate was initially investigated in accordance with all current requirements and the results are available for review, a background investigation update, as opposed to a complete new background investigation, may be conducted for either of the following circumstances:
1. The peace officer candidate is being reappointed to the same POST-participating department, or
2. The peace officer candidate is transferring, without a separation, to a different department; however, the new department is within the same city, county, state or district that maintains a centralized personnel and background investigation support division.
(2) Update Requirements
(A) A new personal history statement [Regulation 1953(c)] with updated information covering the period from the last personal history statement to the current date shall be completed by the peace officer candidate.
(B) The department shall conduct investigations of all new information reported by the candidate on the new personal history statement.
1. For candidates reappointed to the same department per Regulation 1953(f)(1)(A)1., the new background investigation shall cover the period since the candidate separated from the department.
2. For candidates transferring, without a separation, to a different department within the same city, county, state or district per Regulation 1953(f)(1)(A)2., the new background investigation shall cover the period since the date the previous background investigation was completed.
(C) Any area of investigation for which there is updated information shall be addressed in the updated background investigation. This shall minimally include a new: 1) Local Criminal Record Check, 2) State and National Criminal Check, unless there is written attestation that the candidate was never removed from the department's peace officer files of the DOJ or FBI, 3) Driving Record Check, and 4) Credit Record Check.
(D) Updated background investigation documentation shall be maintained with the initial background investigation documents.
(E) If the original background investigation was conducted within one year from the date of reappointment, it is not necessary to update criminal record checks, driving record check, or credit check.
(g) Documentation and Reporting
(1) Background Narrative Report The background investigator shall summarize the background investigation results in a narrative report that includes sufficient information for the reviewing authority to extend, as appropriate, a conditional offer of employment. The report, along with all supporting documentation obtained during the course of the background investigation, shall be included in the candidate's background investigation file. The supporting documents shall be originals or true, current and accurate copies as attested to by the background investigator. The background investigation file shall be made available during POST compliance inspections.
(2) Retention The background narrative report and supporting documentation shall be retained in the individual's background investigation file for as long as the individual remains in the department's employ. Additional record retention requirements are described in Government Code section12946.
(3) Information Access The information shall be shared with others involved in the hiring process, such as the screening physicians and psychologists, if it is relevant to their respective evaluations. There is a duty and/or legal obligation to furnish this information to those conducting background investigations of peace officer candidates on behalf of other law enforcement departments except as specifically provided by statute (Government Code section1031.1, Government Code section6250 et seq, Labor Code section1050, Labor Code section1054, O'Shea v. General Telephone Co. (1987) 193 Cal. App 3d 1040). This information shall only be utilized for investigative leads and the information shall be independently verified by the prospective department to determine the suitability of the peace officer candidate.
NOTE
Authority cited: Sections 1030, 1031, 1031.2 and 1031.5, Government Code; Section 2267, Vehicle Code; and Sections 13503, 13506 and 13510, Penal Code. Reference: Sections 1029, 1030, 1031, 1031.2, 1031.5 and 12900 et seq., Government Code; Sections 2267 and 12500, Vehicle Code; Sections 13510 and 29805, Penal Code; and Title 18 Section 922(d)(9), US Code.
HISTORY
1. Change without regulatory effect renumbering former section 9053 to new section 1953, including amendment of section and Note, filed 11-26-2012 pursuant to section 100, title 1, California Code of Regulations (Register 2012, No. 48).
§1954. Peace Officer Medical Evaluation.
Note • History
(a) Government Code Mandate/Evaluator Requirements
Every peace officer candidate shall be evaluated by a licensed physician and surgeon (hereinafter referred to as “physician”) to determine if the candidate is free from any physical (i.e., medical) condition that might adversely affect the ability to exercise peace officer powers [Government Code section1031(f)]. The physician shall conduct the evaluation on behalf of and for the benefit of the employing department.
(b) Timing of the Medical Evaluation
The medical evaluation shall commence only after the department has extended a conditional offer of employment to the peace officer candidate [Americans with Disabilities Act (42 U.S. Code section12101 et seq); California Fair Employment and Housing Act (Government Code, section12940 et seq)]. The medical evaluation must be completed within one year prior to date of employment. A new medical evaluation shall be conducted on peace officer candidates reappointed to the same department, unless the prior evaluation occurred within one year of the date of reappointment.
(c) Medical Screening Procedures and Evaluation Criteria
The medical screening procedures and evaluation criteria used in the conduct of the medical evaluation shall be based on the peace officer duties, powers, demands, and working conditions as defined by the department. This information shall be provided to the physician, along with any other information (e.g., risk management considerations) that will allow the physician to make a medical suitability determination. The POST Medical Screening Manual for California Law Enforcement (2004) provides medical examination and evaluation protocols that are based on patrol officer job demands and working conditions. These protocols may be adopted or adapted for use by the department, if and as appropriate. However, the use of the manual is discretionary.
(d) Required Sources of Information for the Medical Evaluation
The medical evaluation shall include a review by the screening physician of the following sources of information prior to making a determination about the candidate's medical suitability.
(1) Job Information Job information shall consist of the peace officer duties, powers, demands, and working conditions provided by the department per Regulation 1954(c).
(2) Medical History Statement. Prior to the medical evaluation, every peace officer candidate shall complete, sign and date a medical history statement. The POST Medical History Statement -- Peace Officer, POST 2-252 (12/2011) can be used for this purpose, or an alternative form that includes inquiries about past and current medical conditions and procedures, physical symptoms, limitations, restrictions, and the use of medications and drugs.
(3) Medical Records Medical records shall be obtained from the candidate's treating physician or other relevant health professional, if warranted and obtainable. This information may be provided by the candidate or, with written authorization from the candidate (Civil Code section56.11), may be obtained directly from the health professional.
(e) Medical Evaluation Report
(1) The evaluating physician shall submit a medical evaluation report to the department that shall include the following information:
(A) The physician's contact information and medical license number,
(B) The candidate's name,
(C) The date the evaluation was completed, and
(D) A statement, signed by the physician, affirming that the candidate was evaluated in accordance with Commission Regulation 1954. The statement shall include a determination of the candidate's medical suitability for exercising the powers of a peace officer.
(2) The department shall maintain the medical evaluation report in the candidate's background investigation file; the report shall be available to POST during compliance inspections.
(3) The physician shall provide any additional information to the department that is necessary and appropriate for the hiring department, such as the candidate's job-relevant functional limitations, reasonable accommodation requirements, and potential risks posed by detected medical conditions. All information deemed medical in nature shall be maintained as a confidential medical record, separate from the background investigation file.
(4) The POST Medical Examination Report -- Peace Officer, POST 2-253 (06/09) is available for use in reporting this information; however, its use is discretionary.
(5) Information from the medical evaluation may be provided to others involved in the hiring process, if it is relevant to their respective determinations of candidate suitability.
(f) Second Opinions
A candidate who is found medically unsuitable has the right to submit an independent evaluation for consideration before a final determination of disqualification is made [2 California Code of Regulations section7294.0(d)(2)]. When a candidate notifies the department that s/he is seeking an independent opinion, the department shall make available the peace officer duties, powers, demands, and working conditions and the medical screening requirements specified in Commission Regulation 1954. Other information, such as specific procedures or findings from the initial evaluation, may be shared with the second-opinion evaluator at the discretion of the department. The means for resolving discrepancies in evaluations is at the discretion of the department, consistent with local personnel policies and/or rules.
NOTE
Authority cited: Section 1031, Government Code; Sections 13503, 13506 and 13510, Penal Code. Reference: Section 56.11, Civil Code; Section 1031, Government Code; and Section 13510, Penal Code.
HISTORY
1. Change without regulatory effect renumbering and amending former section 9054 to new section 1954 filed 11-26-2012 pursuant to section 100, title 1, California Code of Regulations (Register 2012, No. 48).
§1955. Peace Officer Psychological Evaluation.
Note • History
(a) Government Code Mandate/Evaluator Requirements
Every peace officer candidate shall be evaluated to determine if the candidate is free from any emotional or mental condition that might adversely affect the exercise of the powers of a peace officer [Government Code section1031(f)], and to otherwise ensure that the candidate is capable of withstanding the psychological demands of the position.
(1) The psychological evaluation shall be conducted by either of the following:
(A) A physician and surgeon who holds a valid California license to practice medicine, has successfully completed a postgraduate medical residency education program in psychiatry accredited by the Accreditation Council for Graduate Medical Education, and has at least the equivalent of five full-time years of experience in the diagnosis and treatment of emotional and mental disorders, including the equivalent of three full-time years accrued after completion of the psychiatric residency program.
(B) A psychologist licensed by the California Board of Psychology who has at least the equivalent of five full-time years of experience in the diagnosis and treatment of emotional and mental disorders, including the equivalent of three full-time years accrued post-doctorate.
(2) The evaluator shall be in compliance with any current POST education and training requirements developed for the conduct of pre-employment psychological screening of peace officers. Evaluators shall also be familiar with the research literature available on pre-employment psychological screening of peace officers, and with state and federal fair employment statutes relevant to this area of practice.
(3) The evaluator shall conduct the examination on behalf of and for the benefit of the employing department.
(b) Timing of the Psychological Evaluation
The psychological evaluation shall commence only after a conditional offer of employment has been extended to the peace officer candidate [Americans with Disabilities Act (42 U.S. Code section12101 et seq); California Fair Employment and Housing Act (Government Code section12940 et seq)]. The psychological evaluation must be completed within one year prior to date of employment. A new psychological evaluation shall be conducted on peace officer candidates reappointed to the same department, unless the prior evaluation occurred within one year of the date of reappointment.
(c) Psychological Screening Procedures and Evaluation Criteria
(1) The psychological screening procedures and evaluation criteria used in the conduct of the psychological evaluation shall be based on the peace officer duties, powers, demands, and working conditions as defined by the department. This information shall be provided to the evaluator, along with any other information (e.g., risk management considerations) that will allow the evaluator to make a psychological suitability determination.
(2) Every peace officer candidate shall be evaluated, at a minimum, against job-related psychological constructs herein incorporated by reference contained and defined in the POST Peace Officer Psychological Screening Dimensions (2005): Social Competence, Teamwork, Adaptability/Flexibility, Conscientiousness/Dependability, Impulse Control, Integrity/Ethics, Emotional Regulation/Stress Tolerance, Decision Making/Judgment, Assertiveness/Persuasiveness, and Avoiding Substance Abuse and Other Risk-Taking Behavior.
(d) Required Sources of Information for the Psychological Evaluation
The psychological evaluation shall include a review by the evaluator of the following sources of information prior to making a determination about the candidate's psychological suitability.
(1) Job Information Job information shall consist of the peace officer duties, powers, demands, and working conditions provided by the department per Regulation 1955(c).
(2) Written Assessments Written assessments shall consist of a minimum of two written psychological instruments. One of these instruments shall be designed and validated to identify patterns of abnormal behavior; the other instrument shall be designed and validated to assess normal behavior. Both instruments shall have documented evidence of their relevance for evaluating peace officer suitability. Together, the instruments shall provide information about each candidate related to: (1) freedom from emotional and/or mental conditions that might adversely affect the exercise of the powers of a peace officer, and (2) psychological suitability per the POST Psychological Screening Manual [Regulation 1955(c)(2)].
The psychological assessments shall be interpreted using appropriate, authorized test publisher scoring keys. If mail-order, internet-based, or computerized test interpretations are used, the evaluator shall verify and interpret the individual results.
(3) Personal History Information Personal history information includes the candidate's relevant work, life and developmental history based on information collected during the background investigation and/or from responses on a personal history questionnaire collected as part of the psychological evaluation.
(4) Psychological Interview A psychological interview shall be administered to each peace officer candidate subsequent to a review and evaluation of the results of the written assessments [Regulation 1955(d)(2)] and the candidate's personal history information [Regulation 1955(d)(3)]. Sufficient interview time shall be allotted to address all issues arising from the reviewed information and other issues that may arise during the interview.
(5) Psychological Records Psychological records and relevant medical records shall be obtained from the candidate's treating health professional, if warranted and obtainable. This information may be provided by the candidate, or, with written authorization from the candidate (Civil Code section56.11), may be obtained directly from the health professional.
(e) Psychological Evaluation Report
(1) Data from all sources of information shall be considered; the evaluator's determination shall not be based on one single data source unless clinically justified.
(2) The evaluator shall submit a psychological evaluation report to the department that shall include the following information:
(A) The evaluator's contact information and professional license number,
(B) The name of the candidate,
(C) The date the evaluation was completed, and
(D) A statement, signed by the evaluator, affirming that the candidate was evaluated in accordance with Commission Regulation 1955. The statement shall include a determination of the candidate's psychological suitability for exercising the powers of a peace officer.
(3) The department shall maintain the psychological evaluation report in the candidate's background investigation file; the report shall be available to POST during compliance inspections.
(4) Any additional information reported by the evaluator to the department shall be limited to that which is necessary and appropriate, such as the candidate's job-relevant functional limitations, reasonable accommodation requirements, and the nature and seriousness of the potential risks posed by the candidate. All information deemed medical in nature shall be maintained as a confidential record, separate from the background investigation file.
(5) Information from the psychological evaluation may be provided to others involved in the hiring process, if it is relevant to their respective determinations of candidate suitability.
(f) Second Opinions
A candidate who is found psychologically unsuitable has the right to submit an independent evaluation for consideration before a final determination of disqualification is made [2 California Code of Regulations section7294.0(d)(2)]. When a candidate notifies the department that s/he is seeking an independent opinion, the department shall make available the peace officer duties, powers, demands, and working conditions and the requirements specified in Commission Regulation 1955. Other information, such as specific procedures or findings from the initial evaluation, may be shared with the second-opinion evaluator at the discretion of the department. The means for resolving discrepancies in evaluations is at the discretion of the department, consistent with local personnel policies and/or rules.
NOTE
Authority cited: Section 1031, Government Code; Sections 13503, 13506 and 13510, Penal Code. Reference: Section 56.11, Civil Code; Section 1031, Government Code; and Section 13510, Penal Code.
HISTORY
1. Change without regulatory effect renumbering and amending former section 9055 to new section 1955 filed 11-26-2012 pursuant to section 100, title 1, California Code of Regulations (Register 2012, No. 48).
§1956. Public Safety Dispatcher Selection Requirements.
Note • History
(a) The purpose of these regulations is to set forth the minimum public safety dispatcher selection standards as authorized by California Penal Code Section 13510(c). Public safety dispatcher training requirements are addressed separately in Commission Regulation 1018(c). All POST documents and forms mentioned in these regulations are available on the POST website (www.post.ca.gov).
(1) Every department and/or independent communications agency (hereinafter referred to as “department”) that participates in the POST Public Safety Dispatcher Program shall ensure that every “public safety dispatcher candidate” as defined in subsection 1956(b) satisfies all minimum selection requirements specified in the following regulations:
S Verbal, Reasoning, Memory, and Perceptual Abilities Assessment (Regulation 1957)
S Oral Communication Assessment (Regulation 1958)
S Background Investigation (Regulation 1959)
S Medical Evaluation (Regulation 1960)
(2) All requirements specified in these regulations shall be satisfied prior to the date of appointment as a public safety dispatcher.
(b) Public Safety Dispatcher Candidate Definition
For purposes of these regulations, a “public safety dispatcher candidate” is any individual who applies for a full-time or part-time position that involves receiving emergency calls for law enforcement service and/or dispatching law enforcement personnel. This includes any individual who applies for a public safety dispatcher position with a POST-participating department regardless of the individual's prior public safety dispatcher experience either at that department or a different department within the same city, county, state or district.
(c) Exceptions
For purposes of these regulations, individuals described in this section are not considered “public safety dispatcher candidates” and are therefore exempted from Regulations 1957-1960.
(1) The department has sole responsibility for determining what, if any, assessments are necessary for a public safety dispatcher who is employed by a department that, through reorganization, is merged with another department within the same city, county, state or district, if documentation is available for inspection verifying that the dispatcher was hired in accordance with the POST requirements in effect at the time of hire.
(2) For a public safety dispatcher who has been mandatorily reinstated to the department, the department shall:
(A) Report the reinstatement to POST through the submittal of a Notice of Appointment/Termination, POST 2-114, indicating a correction to record, together with a copy of the official reinstatement documentation [Commission Regulation 1003(b)(2)];
(B) Resubmit the dispatcher's fingerprints to the California Department of Justice (DOJ) and the Federal Bureau of Investigation (FBI) to obtain criminal record results. Fingerprints do not need to be resubmitted if the dispatcher was never removed from the department's personnel files of the DOJ or FBI.
(3) A peace officer who is assigned to dispatcher duties.
(d) Adoption of Additional Requirements and/or Higher Standards
The requirements described herein serve as minimum selection requirements. Per Penal Code §13510(d), the adoption of more rigorous requirements, higher standards, additional assessments, and/or more in-depth evaluations than those stated in these regulations is at the discretion of the employing department.
NOTE
Authority cited: Sections 13503, 13506 and 13510, Penal Code. Reference: Section 13510, Penal Code.
HISTORY
1. Change without regulatory effect renumbering and amending former section 9056 to new section 1956 filed 11-26-2012 pursuant to section 100, title 1, California Code of Regulations (Register 2012, No. 48).
§1957. Public Safety Dispatcher Verbal, Reasoning, Memory, and Perceptual Abilities Assessment.
Note • History
(a) Every public safety dispatcher candidate shall demonstrate verbal, reasoning, memory, and perceptual abilities at levels necessary to perform the job. Satisfactory completion of this requirement may occur at any time prior to appointment, and shall be demonstrated by one of the following:
(1) Completion of the POST Entry-Level Dispatcher Selection Test Battery or alternative job-related tests of these abilities, administered by either the hiring department or another entity, with a score deemed acceptable by the hiring department. All tests must include assessments of the following:
(A) Verbal This ability includes written and oral comprehension (the ability to read passages and listen to orally-imparted information and retrieve facts, draw conclusions, and derive meaning); and written expression (the ability to use language to convey information clearly in writing).
(B) Reasoning This ability includes at least one of the following:
1. Deductive reasoning -- the ability to apply general rules to specific problems to attain logical answers, or
2. Information ordering -- the ability to correctly follow a given rule or set of rules to arrange things or actions in a certain order.
(C) Memory This ability includes the capacity to store and retrieve facts, details, and other information.
(D) Perceptual This ability includes speed and accuracy (the ability to quickly and accurately compare letters and numbers presented orally and in written form); and time sharing (the ability to shift back and forth between two or more sources of information, both written and orally-imparted, in performing a task or set of tasks).
(2) Proof of possession of a valid California POST Public Safety Dispatcher Basic Certificate.
(3) Proof of successful completion of the POST-certified Public Safety Dispatcher Basic Course (80 hours minimum) and completion of probation as a public safety dispatcher during previous employment.
(b) A department that uses the POST Entry-Level Dispatcher Selection Test Battery must have a current Test Use and Security Agreement (03/2010), herein incorporated by reference, on file with POST.
NOTE
Authority cited: Sections 13503, 13506 and 13510, Penal Code. Reference: Section 13510, Penal Code.
HISTORY
1. Change without regulatory effect renumbering and amending former section 9057 to new section 1957 filed 11-26-2012 pursuant to section 100, title 1, California Code of Regulations (Register 2012, No. 48).
§1958. Public Safety Dispatcher Oral Communication Assessment.
Note • History
Every public safety dispatcher candidate shall participate in an oral interview or other measure of oral communication abilities to determine suitability for public safety dispatcher service. The oral communication assessment shall be conducted prior to a conditional offer of employment (COE).
NOTE
Authority cited: Sections 13503, 13506 and 13510, Penal Code. Reference: Section 13510, Penal Code.
HISTORY
1. Change without regulatory effect renumbering former section 9058 to new section 1958, including amendment of Note, filed 11-26-2012 pursuant to section 100, title 1, California Code of Regulations (Register 2012, No. 48).
§1959. Public Safety Dispatcher Background Investigation.
Note • History
(a) Requirement
Every public safety dispatcher candidate shall be the subject of a thorough background investigation in order to verify the absence of past behavior indicative of unsuitability to perform public safety dispatcher duties.
(b) Background Investigation Evaluation Criteria
The POST Background Investigation Manual: Guidelines for the Investigator (2012) provides assistance in conducting background investigations. The use of the manual is discretionary; except for the POST Background Investigation Dimensions described in the manual which are herein incorporated by reference -- Integrity, Impulse Control/Attention to Safety, Substance Abuse and Other Risk-Taking Behavior, Stress Tolerance, Confronting and Overcoming Problems, Obstacles, and Adversity, Conscientiousness, Interpersonal Skills, Decision-Making and Judgment, Learning Ability, and Communication Skills -- shall be considered in the conduct of every public safety dispatcher background investigation.
(c) Personal History Statements
Every public safety dispatcher candidate shall complete, sign, and date a personal history statement at the onset of the background investigation. A personal history statement can be either the POST Personal History Statement -- Public Safety Dispatcher, POST 2-255 (02/2012) or an alternative personal history statement. An alternative personal history statement shall include inquiries related to the following areas of investigation: personal identifying information, relatives and references contact information, education history, residence history, experience and employment history, military history, financial history, legal history, driving history, and other topics related to moral character.
(d) Collection of Background Information: Pre and Post Conditional Offer of Employment.
(1) Pre-Offer Prior to the extension of a conditional offer of employment (“pre-offer”), no part of the background investigation shall be conducted that is deemed medical or otherwise subject to state or federal pre-offer inquiry prohibitions [EEOC's ADA Enforcement Guidance: Preemployment Disability-Related Questions and Medical Examinations, (1995)]. Non-medical inquiries and other parts of the background investigation that are not subject to these prohibitions shall be conducted pre-offer, except as noted in 1959(d)(2) below.
(2) Post-Offer Background information that cannot be legally or practicably obtained prior to a conditional offer of employment may be acquired and evaluated after the offer has been extended (“post-offer”). At the post-offer stage, background investigators, examining physicians, and others involved in the hiring decision shall work cooperatively to ensure that each has the information necessary to conduct their respective investigations and/or assessments of the candidate.
(e) Areas of Investigation
(1) Employment Eligibility
(A) Every public safety dispatcher candidate shall be legally eligible for employment in the United States.
(B) Proof of employment eligibility shall consist of an official government-issued U.S. birth certificate, naturalization documentation, U.S. passport, current permanent resident alien card, or other documentation deemed acceptable by POST. The document shall be an original, a certified copy, or a copy that includes a notation by the investigator that the original or certified copy was reviewed.
(2) Criminal Record Checks -- Local, State, and National
Every public safety dispatcher candidate shall be the subject of a criminal record search at local, state, and national levels.
(A) Local searches shall include inquiries with local law enforcement agencies where the individual has lived, worked, attended school, or frequently visited.
Proof of local searches shall be documented by a letter or other written documentation from each agency contacted. If a contacted agency does not provide written documentation, the request for information shall be noted.
(B) A state search shall include forwarding the candidate's fingerprints to the California Department of Justice (DOJ) to obtain criminal record results.
Proof of a state search shall be documentation issued by the DOJ consisting of an official clearance return. The authorization shall be relevant to the public safety dispatcher position and shall have been generated no more than one year prior to the date of appointment.
(C) A national search shall include forwarding the candidate's fingerprints to the Federal Bureau of Investigation (FBI).
Proof of a national search shall consist of an official clearance from the FBI. The clearance shall be relevant to the public safety dispatcher position and shall have been generated no more than one year prior to the date of appointment.
(3) Driving Record Check
(A) Every public safety dispatcher candidate's driving history, if any, shall be checked to determine the candidate's driving record and adherence to the law.
(B) Proof of the driving history check shall consist of a written driving record history from the Department of Motor Vehicles or other official driving record. The record shall be dated no more than one year prior to the date of appointment.
(4) Education Verification
(A) Every public safety dispatcher candidate's educational history shall be investigated to verify the information provided on the personal history statement and as a measure of conscientiousness, learning ability, and other aspects of character.
(B) Proof shall consist of an official transcript or other means of verifying educational history deemed acceptable by POST. The document shall be an original, a certified copy, or a copy that includes a notation by the investigator that the original or certified copy was reviewed.
(5) Employment History Checks
(A) Every public safety dispatcher candidate shall be the subject of employment history checks through contact with all past and current employers over the period of the past ten years, as listed on the personal history statement.
(B) Proof of the employment history check shall be documented by a written account of the information provided and source of that information for each place of employment contacted. All information requests shall be documented.
(6) Relatives/Personal References Checks
(A) Every public safety dispatcher candidate shall be the subject of reference checks through contacts and interviews with relatives, including former spouses, and personal references listed on the candidate's personal history statement. Additional references, provided by the initial contacts, shall also be contacted and interviewed to determine whether the applicant has exhibited behavior incompatible with the position sought. Agencies shall collect and review sufficient information to determine candidate suitability.
(B) Proof of reference checks shall be documented by written information showing that relatives and personal references identified by the candidate were interviewed. Documentation shall include the identity of each individual contacted, the contact's relationship to the candidate, and an account of the information provided by the contact. All requests for information shall be documented.
(7) Dissolution of Marriage Check
(A) Every public safety dispatcher candidate who indicates one or more marriage dissolutions on the personal history statement shall have his/her court issued dissolution documents and legal separation decrees reviewed as an indication of personal integrity, financial responsibility, and other relevant aspects of candidate suitability.
(B) Proof of the dissolution/separation of marriage check shall be documented by a copy of all final court-issued dissolution documents and legal separation decrees.
(8) Neighborhood Checks
(A) Every public safety dispatcher candidate shall be the subject of contacts and interviews with current and, where practicable, previous neighbors to determine whether the candidate has exhibited behavior incompatible with the position sought.
(B) Proof of neighborhood checks shall be documented by written information showing the identity of each neighbor contacted, the neighbor's relationship to the candidate, and an account of the information provided by the individual. All requests for information shall be documented.
(9) Military History Check
(A) When applicable, a candidate shall be required to present proof of Selective Service registration or military service records.
(B) Proof of a military history check shall consist of written verification of Selective Service registration, except for women or any man born prior to January 1, 1960. For any candidate who indicates military history on the personal history statement, proof shall consist of an official copy of their DD-214 long form or equivalent documentation of foreign military service, if available.
(10) Credit Records Check
(A) Every public safety dispatcher candidate shall be the subject of a credit record search with a bona fide credit reporting agency (i.e., Experian, TransUnion, Equifax) to determine the candidate's credit standing with lenders, as an indication of the candidate's dependability and integrity.
(B) Proof of a credit record check shall be documented by an official credit report returned by one of the bona fide credit reporting agencies. The report shall have been created no more than one year prior to the date of appointment.
(f) Background Investigation Updates
(1) Eligibility
(A) If a public safety dispatcher was initially investigated in accordance with all current requirements and the results are available for review, a background investigation update, as opposed to a complete new background investigation, may be conducted for either of the following circumstances:
1. The public safety dispatcher candidate is being reappointed to the same POST-participating department, or
2. The public safety dispatcher candidate is transferring, without a separation, to a different department; however, the new department is within the same city, county, state or district that maintains a centralized personnel and background investigation support division.
(2) Update Requirements
(A) A new personal history statement [Regulation 1959(c)] with updated information covering the period from the last personal history statement to the current date shall be completed by the public safety dispatcher candidate.
(B) The department shall conduct investigations of all new information reported by the candidate on the new personal history statement.
1. For candidates who are being reappointed to the same department per Regulation 1959(f)(1)(A)1., the new background investigation shall cover the period since the candidate separated from the department.
2. For candidates who are transferring, without a separation, to a different department within the same city, county, state or district per Regulation 1959(f)(1)(A)2., the new background investigation shall cover the period since the date the previous background investigation was completed.
(C) Any area of investigation for which there is updated information shall be addressed in the updated background investigation. This shall minimally include a new: 1) Local Criminal Record Check, 2) State and National Criminal Check, unless there is written attestation that the candidate was never removed from the department's personnel files of the DOJ or FBI, 3) Driving Record Check, and 4) Credit Record Check.
(D) Updated background investigation documentation shall be maintained with the initial background investigation documents.
(E) If the original background investigation was conducted within one year from the date of reappointment, it is not necessary to update criminal record checks, driving record check, or credit check.
(g) Documentation and Reporting
(1) Background Narrative Report The background investigator shall summarize the background investigation results in a background narrative report that includes sufficient information for the reviewing authority to extend, as appropriate, a conditional offer of employment. The report, along with all supporting documentation obtained during the course of the background investigation, shall be included in the candidate's background investigation file. The supporting documents shall be originals or true, current and accurate copies as attested to by the background investigator. The background investigation file shall be made available during POST compliance inspections.
(2) Retention The background narrative report and supporting documentation shall be retained in the individual's background investigation file for as long as the individual remains in the department's employ. Additional record retention requirements are described in Government Code section12946.
(3) Information Access The information shall be shared with others involved in the hiring process, such as the screening physicians and psychologists, if it is relevant to their respective evaluations. There is a duty and/or legal obligation to furnish this information to those conducting mandated background investigations of public safety dispatcher candidates on behalf of other public safety dispatcher agencies, except as specifically provided by statute (Government Code section6250 et seq., Labor Code section1050, Labor Code section1054, O'Shea v. General Telephone Co. (1987) 193 Cal. App 3d 1040). This information shall only be utilized for investigative leads and the information shall be independently verified by the acquiring department to determine the suitability of the public safety dispatcher candidate.
NOTE
Authority cited: Sections 13503, 13506 and 13510, Penal Code. Reference: Section 13510, Penal Code.
HISTORY
1. Change without regulatory effect renumbering and amending former section 9059 to new section 1959 filed 11-26-2012 pursuant to section 100, title 1, California Code of Regulations (Register 2012, No. 48).
§1960. Public Safety Dispatcher Medical Evaluation.
Note • History
(a) Evaluator Requirements
Every public safety dispatcher candidate shall be evaluated to determine if the candidate is free from any physical (i.e., medical) condition that might adversely affect the ability to perform the duties of a public safety dispatcher. The evaluation shall be conducted on behalf of and for the benefit of the employing department by a licensed physician or a licensed health care professional under the supervision of a licensed physician.
(b) Timing of the Medical Evaluation
The medical evaluation shall commence only after the department has extended a conditional offer of employment to the public safety dispatcher candidate. The medical evaluation must be completed within one year prior to date of appointment. A new medical evaluation shall be conducted on public safety dispatcher candidates who are reappointed to the same department, unless the prior evaluation occurred within one year of the date of reappointment.
(c) Medical Screening Procedures and Evaluation Criteria
The medical screening procedures and evaluation criteria used in the conduct of the medical evaluation shall be based on the public safety dispatcher duties, demands, and working conditions as defined by the department. This information shall be provided to the physician, along with any other information (e.g., risk management considerations) that will allow the physician to make a medical suitability determination.
(d) Required Sources of Information for the Medical Evaluation
The medical evaluation shall include a review of the following sources of information prior to making a determination about the candidate's medical suitability.
(1) Job Information Job information shall consist of the public safety dispatcher duties, demands, and working conditions provided by the department per Regulation 1960(c).
(2) Medical History Statement Prior to the medical evaluation, every public safety dispatcher candidate shall complete, sign and date a medical history statement. The POST Medical History Statement -- Public Safety Dispatcher, POST 2-264 (12/2011) can be used for this purpose, or an alternative form that includes inquiries about past and current medical conditions and procedures, physical symptoms, limitations, restrictions, and the use of medications and drugs.
(3) Medical Records Medical records shall be obtained from the candidate's treating physician or other relevant health professional, if warranted and obtainable. This information may be provided by the candidate, or, with written authorization from the candidate (California Civil Code §56.11), may be obtained directly from the health professional.
(e) Medical Evaluation Report
(1) A medical evaluation report shall be submitted to the department that includes the following information:
(A) The physician's contact information and medical license number,
(B) The candidate's name,
(C) The date the evaluation was completed, and
(D) A statement, signed by the physician, affirming that the candidate was evaluated in accordance with Commission Regulation 1960. The statement shall include a determination of the candidate's medical suitability for performing as a public safety dispatcher.
(2) The department shall maintain the medical evaluation report in the candidate's background investigation file; the report shall be available to POST during compliance inspections.
(3) The physician shall provide any additional information to the department that is necessary and appropriate for the hiring department, such as the candidate's job-relevant functional limitations, reasonable accommodation requirements, and potential risks posed by detected medical conditions. All information deemed medical in nature shall be maintained as a confidential medical record, separate from the background investigation file.
(4) The POST Medical Examination Report -- Public Safety Dispatcher, POST 2-265 (06/09) is available for use in reporting this information; however, its use is discretionary.
(5) Information from the medical evaluation may be provided to others involved in the hiring process, if it is relevant to their respective determinations of candidate suitability.
(f) Second Opinions
A candidate who is found medically unsuitable has the right to submit an independent evaluation for consideration before a final determination of disqualification is made [2 California Code of Regulations section7294.0(d)(2)]. When a candidate notifies the department that s/he is seeking an independent opinion, the department shall make available the public safety dispatcher duties, demands, and working conditions and the medical screening requirements specified in Commission Regulation 1960. Other information, such as specific procedures or findings from the initial evaluation, may be shared with the second-opinion evaluator at the discretion of the department. The means for resolving discrepancies in evaluations is at the discretion of the department, consistent with local personnel policies and/or rules.
NOTE
Authority cited: Sections 13503, 13506 and 13510, Penal Code. Reference: Section 13510, Penal Code; Sections 12900 et seq., 12940 and 12946, Government Code; Section 56.11, Civil Code; and 42 USC 12101.
HISTORY
1. Change without regulatory effect renumbering and amending former section 9060 to new section 1960 filed 11-26-2012 pursuant to section 100, title 1, California Code of Regulations (Register 2012, No. 48).
Division 3. Gambling Control
Chapter 1. The Bureau of Gambling Control
Article 1. Bureau of Gambling Control Powers and Jurisdiction
Note • History
The following regulations are adopted by the Chief of the Bureau of Gambling Control (Bureau) pursuant to the Gambling Control Act (“Act”) commencing with Business and Professions Code section 19800.
NOTE
Authority cited: Sections 19826(f) and 19827, Business and Professions Code. Reference: Sections 19826 and 19827, Business and Professions Code.
HISTORY
1. New article 1 (sections 2000-2001) and renumbering and readoption of former section 1101.1 to new section 2000, including amendment of section heading and section and new Note, filed 10-12-99; operative 10-12-99 pursuant to Government Code section 11343.4(d) (Register 99, No. 42).
2. Change without regulatory effect amending section and Note filed 1-6-2004 pursuant to section 100, title 1, California Code of Regulations (Register 2004, No. 2).
3. Change without regulatory effect amending chapter heading, article heading and section filed 5-28-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 22). For prior history of chapter 1, sections 1100-1906.3, see Register 99, No. 39, Register 99, No. 42, Register 99, No. 44 and Register 2008, No. 3.
§2001. Exemptions and Extensions for Compliance.
Note • History
Upon a showing of good cause, the Chief, in his or her sole discretion, may grant a temporary exemption or extension of time only for any of the requirements or deadlines provided for in these regulations. Such exemption or extension shall be in writing and designate a specific time period for the exemption or extension.
NOTE
Authority cited: Sections 19826(f) and 19827, Business and Professions Code. Reference: Section 19826, Business and Professions Code.
HISTORY
1. Renumbering and readoption of former section 1101.4 to new section 2001, including amendment of section heading and section and new Note, filed 10-12-99; operative 10-12-99 pursuant to Government Code section 11343.4(d) (Register 99, No. 42).
2. Change without regulatory effect amending Note filed 1-6-2004 pursuant to section 100, title 1, California Code of Regulations (Register 2004, No. 2).
3. Change without regulatory effect amending section filed 5-28-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 22).
Article 2. Definitions
Note • History
For purposes of these regulations, the following terms have the following meanings:
(a) “Act” means the California Gambling Control Act, Chapter 5, (commencing with Section 19800) of, Division 8 of, the Business and Professions Code.
(b) “Approval” means authorization by the Bureau for certain acts, transactions, events and/or processes as provided in the Act.
(c) “Chip” means a tangible representative of value issued by a licensee to a patron.
(d) “Day” means calendar day unless otherwise specified.
(e) “Designated Agent” means a person(s) appointed by the owner(s) of a gambling establishment or the primary owner of a third-party provider of proposition player services or gambling business to serve as their representative.
(f) “Gaming Activity” means any activity or event including, but not limited to, jackpots, bonuses, promotions, cashpots, tournaments, etc., that is appended to, or relies upon any controlled game.
(g) “Wager” means a sum of money or thing of value risked or bet on the outcome of a controlled game.
NOTE
Authority cited: Sections 19800, 19801, 19803, 19810, 19850 and 19910, Business and Professions Code. Reference: Sections 19805(f), 19851, 19854, 19867, 19880 and 19890, Business and Professions Code; and Sections 15001, 15001.1 and 15001.2, Government Code..
HISTORY
1. New article 2 (section 2010) and renumbering and readoption of former section 1101.3 to new section 2010, including amendment of section and new Note, filed 10-12-99; operative 10-12-99 pursuant to Government Code section 11343.4(d) (Register 99, No. 42).
2. Change without regulatory effect repealing subsections (b), (e), (k) and (l), relettering subsections, amending newly designated subsection (e) and amending Note filed 11-10-2003 pursuant to section 100, title 1, California Code of Regulations (Register 2003, No. 46).
3. Repealer of former subsections (f)-(h), new subsection (f), subsection relettering and amendment of Note filed 6-21-2004 as an emergency; operative 6-21-2004 (Register 2004, No. 26). A Certificate of Compliance must be transmitted to OAL by 10-19-2004 or emergency language will be repealed by operation of law on the following day.
4. Repealer of former subsections (f)-(h), new subsection (f), subsection relettering and amendment of Note refiled 10-19-2004 as an emergency; operative 10-19-2004 (Register 2004, No. 43). A Certificate of Compliance must be transmitted to OAL by 2-16-2005 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 10-19-2004 order, including amendment of subsections (e) and (f), transmitted to OAL 2-16-2005 and filed 3-30-2005 (Register 2005, No. 13).
6. Change without regulatory effect amending subsections (b) and (c) filed 5-28-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 22).
Article 3. Administration
§2020. Service of Notices, Orders and Communications.
Note • History
(a) Except as otherwise provided by law or these regulations, notices and other written communications shall be sent to an applicant, licensee, or designated agent by first-class mail at the address of the establishment, unless a different address is otherwise designated by the applicant, licensee, or designated agent.
(b) The time specified in any such notice or communication shall commence to run from the date such mailing is postmarked.
(c) Any change of address shall be reported to the Bureau, in writing, within 10 days of any such change, and shall specifically request that all notices and written communications be sent to the changed address.
NOTE
Authority cited: Sections 19826 and 19827, Business and Professions Code. Reference: Section 19827, Business and Professions Code.
HISTORY
1. Renumbering and readoption of former section 1200 to new article 3 heading, renumbering, readoption and amendment of former section 1203 heading to new section 2020 heading and renumbering, readoption and amendment of former sections 1203.1, 1203.2 and 1203.4 to new subsections 2020(a)-(c) filed 9-21-99; operative 10-21-99 (Register 99, No. 39). For prior history see History following chapter 1 heading.
2. Editorial correction of History 1 (Register 99, No. 44).
3. Change without regulatory effect correcting previous misnumbering and amending Note filed 10-22-99 pursuant to section 100, title 1, California Code of Regulations (Register 99, No. 44).
4. Change without regulatory effect amending Note filed 1-6-2004 pursuant to section 100, title 1, California Code of Regulations (Register 2004, No. 2).
5. Change without regulatory effect amending subsection (c) filed 5-28-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 22).
§2021. Separation from Employment: Designation of Bureau Employees.
Note • History
Pursuant to Business and Professions Code section 19981, subdivision (a), specified Bureau employees shall not, for a period of 3 years following separation from employment, act in certain capacities involving administrative action or the issuance, amendment, awarding, or revocation of a license, permit, or approval. Bureau employees subject to the provisions of Business and Professions Code section 19981, subdivision (a) include:
a. Chief
b. Assistant Bureau Chief
c. Special Agent in Charge
d. Special Agent Supervisor
e. Special Agent or Special Agent Trainee
f. Field Representative
g. Auditor
h. Department of Justice Administrator I, Department of Justice Administrator II, or Department of Justice Administrator III
i. Staff Services Analyst working in a permitting, licensing or approval capacity
j. Associate Governmental Program Analyst working in a permitting, licensing or approval capacity or,
k. Any employee whose class is not listed and whose job description involves actions related to the issuance, amendment, awarding, or revocation of a permit, license, or approval.
NOTE
Authority cited: Section 19826, Business and Professions Code. Reference: Section 19981, Business and Professions Code.
HISTORY
1. New section filed 12-19-2007; operative 1-18-2008 (Register 2007, No. 51).
Article 4. Licensure Qualifications and Requirements
Note • History
(a) An applicant or a licensee may designate a person(s) to serve as their agent(s), on a form Appointment of Designated Agent, BGC-APP. 008 (Rev. 11-07), incorporated by reference into Title 4, CCR, section 12342. The Bureau retains the right to exercise its discretion to disapprove, in whole or in part, such designation.
(b) In the discretion of the Bureau, an applicant or licensee may be required to appoint a designated agent(s) if the Bureau determines the need for such an agent(s) exists.
NOTE
Authority cited: Sections 19826 and 19827, Business and Professions Code; and Stats. 1997, c. 867 (S.B.8), Section 66.5. Reference: Section 19826.
HISTORY
1. New article 4 (sections 2030-2036) and section filed 10-12-99; operative 10-12-99 pursuant to Government Code section 11343.4(d) (Register 99, No. 42).
2. Change without regulatory effect amending section and Note filed 11-10-2003 pursuant to section 100, title 1, California Code of Regulations (Register 2003, No. 46).
3. Change without regulatory effect amending section filed 5-28-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 22).
§2031. Application and Investigative Fees. [Repealed]
Note • History
NOTE
Authority cited: Sections 19824A, 19825 and 19830, Business and Professions Code; and Stats. 1997, c. 867 (S.B.8), Section 66.5. Reference: Sections 19855, 19860, 19941 and 19942, Business and Professions Code; and Stats. 1997, c. 867 (S.B.8), Section 62.
HISTORY
1. Renumbering, readoption and amendment of former section 1402 heading to new section 2031 heading and renumbering and readoption of former section 1402.4 to body of new section 2031, including amendment of section and new Note, filed 10-12-99; operative 10-12-99 pursuant to Government Code section 11343.4(d) (Register 99, No. 42).
2. Change without regulatory effect repealing section filed 11-10-2003 pursuant to section 100, title 1, California Code of Regulations (Register 2003, No. 46).
§2032. Application Process. [Repealed]
Note • History
NOTE
Authority cited: Sections 19824A, 19825 and 19830, Business and Professions Code; and Stats. 1997, c. 867 (S.B.8), Section 66.5. Reference: Sections 19834, 19852, 19853, 19853.5, 19856 and 19859, Business and Professions Code.
HISTORY
1. Renumbering and readoption of former section 1401.1 heading to new section 2032 heading and renumbering and readoption of portions of former sections 1401.1, 1401.4 and 1401.6 to new subsections 2032(a)-(c), including amendment of sections and new Note, filed 10-12-99; operative 10-12-99 pursuant to Government Code section 11343.4(d) (Register 99, No. 42).
2. Change without regulatory effect repealing section filed 11-10-2003 pursuant to section 100, title 1, California Code of Regulations (Register 2003, No. 46).
§2033. Irregular Operation, Tournament or Special Event Authorization and Fees. [Repealed]
Note • History
NOTE
Authority cited: Sections 19826 and 19827, Business and Professions Code. Reference: Sections 19951 and 19952, Business and Professions Code.
HISTORY
1. Renumbering and readoption of former section 1701.5 to new section 2033, including amendment of section heading and section and new Note, filed 10-12-99; operative 10-12-99 pursuant to Government Code section 11343.4(d) (Register 99, No. 42).
2. Change without regulatory effect amending subsection (b) and Note filed 1-6-2004 pursuant to section 100, title 1, California Code of Regulations (Register 2004, No. 2).
3. Change without regulatory effect repealing section filed 5-22-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 21).
§2034. Public and Local Governmental Objections to Applications. [Repealed]
Note • History
NOTE
Authority cited: Sections 19824A, 19825 and 19830, Business and Professions Code; and Stats. 1997, c. 867 (S.B.8), Section 66.5. Reference: Section 19852, Business and Professions Code.
HISTORY
1. Renumbering and readoption of former section 1408 heading to new section 2034 heading and renumbering and readoption of former sections 1408.1, 1408.2 and 1408.4 to new subsections 2034(a)-(c), including amendment of sections and new Note, filed 10-12-99; operative 10-12-99 pursuant to Government Code section 11343.4(d) (Register 99, No. 42).
2. Change without regulatory effect repealing section filed 11-10-2003 pursuant to section 100, title 1, California Code of Regulations (Register 2003, No. 46).
§2035. Application Withdrawal. [Repealed]
Note • History
NOTE
Authority cited: Sections 19824A, 19825 and 19830, Business and Professions Code; and Stats. 1997, c. 867 (S.B.8), Section 66.5. Reference: Section 19857, Business and Professions Code.
HISTORY
1. Renumbering and readoption of former section 1403 to new section 2035, including amendment of section heading and section and new Note, filed 10-12-99; operative 10-12-99 pursuant to Government Code section 11343.4(d) (Register 99, No. 42).
2. Change without regulatory effect repealing section filed 11-10-2003 pursuant to section 100, title 1, California Code of Regulations (Register 2003, No. 46).
§2036. Certification of Work Permits. [Repealed]
Note • History
NOTE
Authority cited: Sections 19824A, 19825 and 19830, Business and Professions Code; and Stats. 1997, c. 867 (S.B.8), Section 66.5. Reference: Section 19910.5, Business and Professions Code.
HISTORY
1. Renumbering, readoption and amendment of former section 1906 heading to new section 2036 heading and renumbering and readoption of former section 1906.1 to new subsection 2036, including amendment of section and new Note, filed 10-12-99; operative 10-12-99 pursuant to Government Code section 11343.4(d) (Register 99, No. 42).
2. Change without regulatory effect repealing section filed 11-10-2003 pursuant to section 100, title 1, California Code of Regulations (Register 2003, No. 46).
§2037. Schedule of Investigation and Processing Costs.
Note • History
(a) Each applicant shall submit a deposit in accordance with Business and Professions Code sections 19826, 19867 and 19984, and Title 4, CCR, Chapters 2.1 (commencing with section 12200) and 2.2 (commencing with section 12220), in addition to the application fee required under Business and Professions Code section 19951(a), before the Bureau initiates any background investigation or review related to a license, a finding of suitability, or an approval. The 1999 Tribal-State Gaming Compact and comparable provisions of the new and amended compacts (collectively referred to as “Compacts”) also require applicants for a finding of suitability to submit an application and any deposits required to complete an investigation. During the investigation or review, the Chief may require an applicant to deposit any additional sums as are required to pay all costs and charges of the investigation or review. Additional deposits are due to the Bureau within fifteen (15) days from the date of the request for the required deposit. All costs and charges of the investigation or review must be paid before the Bureau may approve a contract, game, or gaming activity, or submit its report, or make a recommendation to the California Gambling Control Commission. The investigation or review concludes upon the California Gambling Control Commission's approval or denial of the application or the granting of a request to withdraw the application. For contracts, games, or gaming activities, the review concludes upon the Bureau's approval or denial of the application, or upon a request to withdraw the application. At the conclusion of the investigation or review, the Bureau shall provide the applicant with an itemized accounting of the costs incurred and shall cause a refund to be made of any unused portion of the deposit.
(1) The Bureau's schedule of deposits for investigation and processing costs under Business and Professions Code sections 19826 and 19867 shall be as follows:
(A) Each applicant, other than a trust, for an initial State Gambling License, shall submit a deposit in the amount of $6,600;
(B) Each applicant for an initial State Gambling License that is a trust shall submit a deposit in the amount of $1,100;
(C) Each applicant for an initial State Gambling License as an uninvolved spouse with community property interest shall submit a deposit in the amount of $1,500;
(D) Each applicant for an initial Key Employee License shall submit a deposit in the amount of $2,400;
(E) The Gambling Enterprise shall submit a deposit in the amount of $1,600 for renewal of a State Gambling License;
(F) An applicant, other than a Trust, for a Renewal of a State Gambling License, shall submit a deposit in the amount of $725, if notified by the Bureau that an investigation is needed;
(G) An applicant for a Renewal of a State Gambling License as an uninvolved spouse with community property interest shall submit a deposit in the amount of $200, if notified by the Bureau that an investigation is needed;
(H) An applicant for a Renewal of a Key Employee License shall submit a deposit in the amount of $200, if notified by the Bureau that an investigation is needed;
(I) An applicant for a Renewal of a State Gambling License for a Trust shall submit a deposit in the amount of $200, if notified by the Bureau that an investigation is needed;
(J) An owner licensee requesting approval for a change in location of a Gambling Establishment shall submit a deposit in the amount of $600;
(K) An application for a Game or Gaming Activity review shall be accompanied by a deposit in the amount of $550;
(L) An application to request an amendment or changes to an approved Game or Gaming Activity shall be accompanied by a deposit in the amount of $450;
(M) An application to operate additional tables on a temporary basis shall be accompanied by a deposit in the amount of $400; and,
(N) An application for additional permanent tables shall be accompanied by a deposit in the amount of $400.
(2) The Bureau's schedule of deposits for investigation and processing costs under Business and Professions Code sections 19867 and 19984, and Title 4, CCR, Chapters 2.1 and 2.2, shall be as follows:
(A) An application for Proposition Player Contract approval, expedited contract approval, or contract continuation approval, shall be accompanied by a deposit in the amount of $750;
(B) An application for Proposition Player Contract Amendment approval shall be accompanied by a deposit in the amount of $525;
(C) A supplemental information package (Title 14, CCR §§12200 and 12220) to convert a registration to a license for an owner that is an individual or sole proprietorship shall be accompanied by a deposit in the amount of $6,000;
(D) A supplemental information package (Title 4, CCR, §§12200 and 12220) to convert a registration to a license for an owner that is a corporation, partnership, limited partnership, limited liability company, joint venture, or any other business organization, except a sole proprietorship or trust, shall be accompanied by a deposit in the amount of $11,500;
(E) A supplemental information package (Title 4, CCR, §§12200 and 12220) to convert a registration to a license for an owner that is a trust, shall be accompanied by a deposit in the amount of $2,500;
(F) A supplemental information package (Title 4, CCR, §§12200 and 12220) to convert a registration to a license for a Supervisor, shall be accompanied by a deposit in the amount of $2,500;
(G) If after a review of the supplemental information package (Title 4, CCR, §§12200 and 12220) to convert a registration to a license for a Player or Other Employee it is determined that further investigation is needed, a deposit in the amount of $315 shall be required;
(H) An application for renewal of a license for an owner that is a corporation, partnership, limited partnership, limited liability company, joint venture, sole proprietorship or any other business organization, except a trust, shall be accompanied by a deposit in the amount of $2,000;
(I) An applicant for renewal of a license for an owner that is an individual or a trust shall submit a deposit in the amount of $800, if notified by the Bureau that an investigation is needed; and,
(J) An applicant for renewal of a license for a supervisor shall submit a deposit in the amount of $450, if notified by the Bureau that an investigation is needed.
(3) The Bureau's schedule of deposits for investigation and processing costs under Business and Professions Code section 19826 and section 6.5.6 of the Compacts shall be as follows:
(A) An application for the primary owner or business entity for an initial Finding of Suitability as a Gaming Resource Supplier, Financial Source Management Contractor conducting business with a Tribal Gaming Operation or Gaming Facility shall be accompanied by a deposit in the amount of $20,000;
(B) An application (other than the primary owner or business entity) for an initial Finding of Suitability as a Gaming Resource Supplier, Financial Source or Management Contractor conducting business with a Tribal Gaming Operation or Gaming Facility shall be accompanied by a deposit in the amount of $6,600;
(C) An application for the primary owner or business entity for a renewal of a Finding of Suitability as a Gaming Resource Supplier, Financial Source or Management Contractor shall be accompanied by a deposit in the amount of $2,000; and
(D) An application (other than the primary owner or business entity) for a Renewal of a Finding of Suitability as a Gaming Resource Supplier, Financial Source or Management Contractor shall submit a deposit in the amount of $725, if notified by the Bureau that an investigation is needed.
(b) Upon a determination that a background investigation is of such complexity that the engagement of external specialized resources is warranted, an applicant may be subject to additional deposit requirements. The specific amount of the deposit shall be determined by the Bureau upon initial review of the completed supplemental information package, and will be based upon the estimated scope and nature of the investigative function that must be performed by the Bureau and the required external resources. The additional deposit shall be between $20,000 and $200,000. If further investigation is needed after the additional deposit is expended, an applicant may be required to submit subsequent deposits in amounts necessary to complete the investigation, upon notification by the Bureau.
NOTE
Authority cited: Sections 19824, 19826, 19867 and 19984, Business and Professions Code. Reference: Sections 19805(b), 19805(i), 19805(j), 19827, 19830, 19853(b), 19867, 19950(b), 19951 and 19984, Business and Professions Code.
HISTORY
1. New section filed 6-21-2004 as an emergency; operative 6-21-2004 (Register 2004, No. 26). A Certificate of Compliance must be transmitted to OAL by 10-19-2004 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 10-19-2004 as an emergency, including amendments; operative 10-19-2004 (Register 2004, No. 43). A Certificate of Compliance must be transmitted to OAL by 2-16-2005 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 10-19-2004 order, including amendment of section, transmitted to OAL 2-16-2005 and filed 3-30-2005 (Register 2005, No. 13).
4. Change without regulatory effect amending subsections (a), (a)(1), (a)(1)(J) and (a)(2) filed 5-28-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 22).
5. Amendment of section and Note filed 3-16-2011; operative 4-15-2011 (Register 2011, No. 11).
Note • History
In accordance with Title 11, CCR, section 2071, an applicant shall request approval from the Bureau prior to offering for play any game or gaming activity. The following application forms and instructions for making such requests are hereby incorporated by reference:
(a) BGC-APP.026 (Rev. 11/07) Application for Game Review
(b) BGC-APP.027 (Rev. 11/07) Application for Gaming Activity Review
NOTE
Authority cited: Sections 19826(f) and (g), Business and Professions Code. Reference: Sections 19826(f) and (g) and 19866, Business and Professions Code.
HISTORY
1. New section filed 6-21-2004 as an emergency; operative 6-21-2004 (Register 2004, No. 26). A Certificate of Compliance must be transmitted to OAL by 10-19-2004 or emergency language will be repealed by operation of law on the following day.
2. New section refiled 10-19-2004 as an emergency; operative 10-19-2004 (Register 2004, No. 43). A Certificate of Compliance must be transmitted to OAL by 2-16-2005 or emergency language will be repealed by operation of law on the following day.
3. Certificate of Compliance as to 10-19-2004 order, including amendment of section, transmitted to OAL 2-16-2005 and filed 3-30-2005 (Register 2005, No. 13).
4. Change without regulatory effect amending section filed 5-28-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 22).
Article 5. Operation of Gambling Establishments
§2050. Owner or Key Employee on Premises.
Note • History
(a) A gambling establishment shall have on the premises, at all times that the establishment is open to the public, an owner licensee or a key employee who shall have the responsibility and authority to ensure immediate compliance with the Act and these regulations.
(b) Subdivision (a) notwithstanding, gambling establishments with a reported gross revenue of less than $200,000 for the preceding fiscal year, upon written request by the owner licensee, the Bureau, in its discretion, may approve a written plan whereby the owner licensee or a designated employee, who shall have the responsibility and authority to ensure compliance with the Act and these regulations, shall be promptly available by telephone. The plan shall identify each such individual by name, title, and telephone contact number, as well as identifying the days and hours available as the designated contact.
NOTE
Authority cited: Sections 19826(f) and 19827, Business and Professions Code. Reference: Sections 19920 and 19924, Business and Professions Code.
HISTORY
1. New article 5 (sections 2050-2053) and renumbering and readoption of former section 1501 to new section 2050, including amendment of section and new Note, filed 10-12-99; operative 10-12-99 pursuant to Government Code section 11343.4(d) (Register 99, No. 42).
2. Change without regulatory effect amending Note filed 1-6-2004 pursuant to section 100, title 1, California Code of Regulations (Register 2004, No. 2).
3. Amendment of subsection (b) filed 6-21-2004 as an emergency; operative 6-21-2004 (Register 2004, No. 26). A Certificate of Compliance must be transmitted to OAL by 10-19-2004 or emergency language will be repealed by operation of law on the following day.
4. Amendment of subsection (b) refiled 10-19-2004 as an emergency; operative 10-19-2004 (Register 2004, No. 43). A Certificate of Compliance must be transmitted to OAL by 2-16-2005 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 10-19-2004 order, including further amendment of subsection (b), transmitted to OAL 2-16-2005 and filed 3-30-2005 (Register 2005, No. 13).
6. Change without regulatory effect amending subsection (b) filed 5-28-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 22).
Note • History
Each gambling establishment shall maintain a set of chips for use at gambling tables. These chips shall be designed, manufactured, and constructed so as to prevent the counterfeiting of such chips, and licensees may be required to submit their chips to the Bureau for approval.
NOTE
Authority cited: Sections 19826 and 19827, Business and Professions Code. Reference: Section 19924, Business and Professions Code.
HISTORY
1. Renumbering and readoption of former section 1505 to new section 2051, including amendment of section heading and section and new Note, filed 10-12-99; operative 10-12-99 pursuant to Government Code section 11343.4(d) (Register 99, No. 42).
2. Change without regulatory effect amending Note filed 1-6-2004 pursuant to section 100, title 1, California Code of Regulations (Register 2004, No. 2).
3. Change without regulatory effect amending section filed 5-28-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 22).
§2052. Information To Be Furnished by Licensees.
Note • History
(a) On or before January 1 and July 1 of each year, the gambling establishment shall submit to the Bureau a written report which identifies every person who at any time during the prior six months, received, or had a right to receive, payments which were calculated or based upon the earnings, profits or receipts generated from controlled gambling at the gambling establishment.
(b) On or before January 1 and July 1 of each year, the gambling establishment shall submit to the Bureau a written report which identifies every person to whom, at any time during the prior six months, any interest in the assets, earnings, profits or receipts of the gambling establishment have been pledged or hypothecated.
(c) Within five days of any owner licensee or key employee obtaining knowledge or notice of any possible violation of the Act or these regulations, a written report shall be submitted to the Bureau, which details the nature of the violation, the identities of those persons involved in the violation, and describes what actions have been taken to address the violation.
NOTE
Authority cited: Sections 19826(f) and 19827, Business and Professions Code. Reference: Section 19924, Business and Professions Code.
HISTORY
1. Renumbering and readoption of former section 1502 to new section 2052, including amendment of section and new Note, filed 10-12-99; operative 10-12-99 pursuant to Government Code section 11343.4(d) (Register 99, No. 42).
2. Change without regulatory effect amending Note filed 1-6-2004 pursuant to section 100, title 1, California Code of Regulations (Register 2004, No. 2).
3. Change without regulatory effect amending section filed 5-28-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 22).
Note • History
(a) The Bureau may require a gambling establishment to present satisfactory evidence that there is adequate financing available to protect the public's health, safety and welfare.
(b) A gambling establishment shall maintain a separate, specifically designated, insured account with a licensed financial institution in an amount not less than the total value of the chips in use by the gambling establishment. The funds from that account may only be used to redeem the chips of that gambling establishment. That account may not be used as collateral, or encumbered or hypothecated in any fashion. Alternatively, the Bureau may allow the gambling establishment to provide some other form of security acceptable to the Bureau, in lieu of maintaining the required account.
(c) A gambling establishment shall maintain a separate, specifically designated, insured account with a licensed financial institution in an amount not less than the total amount of the monies that patrons of that gambling establishment have on deposit with the gambling establishment. The funds from that account may only be used to return to the patrons the balance of monies on deposit with the gambling establishment. That account may not be used as collateral, or encumbered or hypothecated in any fashion. Alternatively, the Bureau may allow the gambling establishment to provide some other form of security acceptable to the Bureau, in lieu of maintaining the required account.
NOTE
Authority cited: Sections 19826(f) and 19827, Business and Professions Code. Reference: Sections 19920 and 19924, Business and Professions Code.
HISTORY
1. New section filed 10-12-99; operative 10-12-99 pursuant to Government Code section 11343.4(d) (Register 99, No. 42).
2. Change without regulatory effect amending Note filed 1-6-2004 pursuant to section 100, title 1, California Code of Regulations (Register 2004, No. 2).
3. Change without regulatory effect amending section filed 5-28-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 22).
Article 6. General Reporting
Note • History
(a) Upon request of the Bureau, a licensee shall promptly supply a list of all employees and each employee's job classification and job description.
(b) Within 10 days after making any changes in the organizational structure, an owner licensee shall submit to the Bureau an updated chart identifying such changes.
(c) On or before January 15 and July 15 of each year, each owner licensee shall submit a report identifying key employees, on a form provided by the Bureau, Key Employee Report, form BGC-LIC. 101 (Rev. 11-07), incorporated by reference into Title 4, CCR, section 12342.
NOTE
Authority cited: Sections 19826(f) and 19827, Business and Professions Code; and Stats. 1997, c. 867 (S.B.8), Section 66.5. Reference: Sections 19805(q) and 19826, Business and Professions Code.
HISTORY
1. New article 6 (section 2060), renumbering, readoption and amendment of former section 1302 heading to new section 2060 heading and renumbering and readoption of former sections 1301.1, 1301.2 and first paragraph of section 1301.3 to new subsections 2060(a)-(c), including amendment of sections and new Note, filed 10-12-99; operative 10-12-99 pursuant to Government Code section 11343.4(d) (Register 99, No. 42).
2. Change without regulatory effect amending subsection (c) and Note filed 11-10-2003 pursuant to section 100, title 1, California Code of Regulations (Register 2003, No. 46).
3. Change without regulatory effect amending section filed 5-28-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 22).
Article 7. Games
§2070. Unsuitable Gaming Activities.
Note • History
It shall be an unsuitable method of operation for a gambling establishment to:
(a) Offer for play any game that is prohibited or made unlawful by statute, local ordinance, regulation, or final judgment by a competent court of law;
(b) Offer to play any gaming activity which is not authorized by the Bureau pursuant to the Act and these regulations for play at that gambling establishment;
(c) Fail to display at every table where a game is offered, the specific name of the game, or the variation thereof, that is then available for play at the table;
(d) Fail to give ample notice of the fee collection rates applicable to each table to the patrons of the gambling establishment;
(e) Fail to determine and collect applicable fees from all players at the table prior to the start of play of any hand or round; and
(f) Fail to place in a conspicuous place, or make readily available to the patrons, a printed list of the rules of play for each gaming activity offered at the gambling establishment.
NOTE
Authority cited: Sections 19826 and 19827, Business and Professions Code. Reference: Sections 19801, 19826, 19866 and 19920, Business and Professions Code.
HISTORY
1. New article 7 (sections 2070-2072), renumbering, readoption and amendment of former section 1701 heading to new section 2070 heading, renumbering, readoption and amendment of former sections 1701.1 and 1701.2 to new subsections 2070(a)-(c), new subsections (d)-(f) and new Note filed 10-12-99; operative 10-12-99 pursuant to Government Code section 11343.4(d) (Register 99, No. 42).
2. Change without regulatory effect amending Note filed 1-6-2004 pursuant to section 100, title 1, California Code of Regulations (Register 2004, No. 2).
3. Change without regulatory effect amending subsection (b) filed 5-28-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 22).
§2071. Gaming Activity Authorization.
Note • History
(a) As part of the application for initial licensure, every applicant shall submit to the Bureau a report identifying all gaming activities proposed to be offered at the gambling establishment. The report shall include, but not be limited to, the following:
(1) The name of each gaming activity;
(2) The rules for each gaming activity, including, where applicable, a description of the event that determines the winner of the gaming activity, the wagering conventions, and the fee collection and assessment methods;
(3) A glossary of distinctive terms or phrases used in each gaming activity;
(4) A statement for each gaming activity that explains why that gaming activity is not prohibited or made unlawful by statute, local ordinance, regulation, or final judgment by a competent court of law; and
(5) Such other information the Bureau, is its discretion, requests. Unless a reported gaming activity is specifically disapproved by the Bureau, all gaming activities identified in the required report shall be deemed authorized upon issuance of the initial license. It shall be an unsuitable method of operation to offer for play any gaming activity that was not specifically identified in the required report, without first obtaining authorization from the Bureau to do so.
(b) At any time after initial licensure, a gambling establishment may request the Bureau to authorize a gaming activity which has not been previously authorized by the Bureau, for use at that establishment. Within 30 days of a request for authorization of a gaming activity, the Bureau shall review the request for completeness and notify the licensee of any deficiencies in the request, or that the request is complete. Within 90 days from the date a licensee is notified that the request is complete, the Bureau shall act on the request. The request shall include, but not be limited to, the following:
(1) The name of each requested gaming activity;
(2) The rules for each requested gaming activity, including, where applicable, a description of the event that determines the winner of the gaming activity, the wagering conventions, and the fee collection and assessment methods;
(3) A glossary of distinctive terms or phrases used in each gaming activity;
(4) A statement for each gaming activity that explains why that gaming activity is not prohibited or made unlawful by statute, local ordinance, regulation, or final judgment by a competent court of law; and,
(5) Such other information the Bureau, in its discretion, requests. It shall be an unsuitable method of operation to offer for play any requested gaming activity without first obtaining authorization from the Bureau to do so.
(c) The Bureau, in its sole discretion, may temporarily authorize the play of a gaming activity during the pendency of the Bureau's review. The Bureau, in its sole discretion, may withdraw this temporary authorization at any time. Such temporary authorization does not create any presumption as to the suitability or lawfulness of the gaming activity, nor does it create any right, of any nature whatsoever, to the continuing play of the temporarily authorized gaming activity at the establishment.
(d) If upon subsequent review it is determined by the Bureau that a gaming activity is prohibited or made unlawful by statute, local ordinance, regulation, or final judgment by a competent court of law, then the authorization for that gaming activity shall be withdrawn.
(e) Within 10 days of service of notice from the Bureau either disapproving of, or withdrawing authorization for, a gaming activity as provided in subdivisions (a), (b) and (d) above, an objection thereto may be filed with the Chief. The Chief, in his or her discretion, may then grant or deny the objection. Judicial review of the Chief's decision is subject to the limitation of Business and Professions Code Section 19804.
NOTE
Authority cited: Sections 19826 and 19827, Business and Professions Code. Reference: Sections 19801, 19826, 19865, 19866, 19920, 19924 and 19932, Business and Professions Code.
HISTORY
1. New section filed 10-12-99; operative 10-12-99 pursuant to Government Code section 11343.4(d) (Register 99, No. 42).
2. Change without regulatory effect amending Note filed 1-6-2004 pursuant to section 100, title 1, California Code of Regulations (Register 2004, No. 2).
3. Change without regulatory effect amending section filed 5-28-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 22).
§2072. Report of Gaming Activities.
Note • History
On or before January 1 and July 1 of each year, each licensed gambling establishment shall submit a report to the Bureau identifying all gaming activities offered at the gambling establishment at any time during the prior six months. The report shall include, but not be limited to, the following:
(a) The name of each gaming activity;
(b) The rules for each gaming activity, including, where applicable, a description of the event that determines the winner of the gaming activity, the wagering conventions, and the fee collection and assessment methods;
(c) A glossary of distinctive terms or phrases used in each gaming activity;
(d) The dates on which each gaming activity was offered;
(e) Copies or transcripts of all advertisements used to promote the gaming activity; and,
(f) Such other information the Division, in its discretion, requests.
NOTE
Authority cited: Sections 19826 and 19827, Business and Professions Code. Reference: Sections 19826 and 19866, Business and Professions Code.
HISTORY
1. New section filed 10-12-99; operative 10-12-99 pursuant to Government Code section 11343.4(d) (Register 99, No. 42).
2. Change without regulatory effect amending Note filed 1-6-2004 pursuant to section 100, title 1, California Code of Regulations (Register 2004, No. 2).
3. Change without regulatory effect amending first paragraph filed 5-28-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 22).
Article 13. Transitional Provisions
Note • History
For purposes of this Article, the following terms have the following meanings:
(a) “Annual registration” means a registration issued under the former Gaming Registration Act (former Business and Professions Code Section 19800 et seq.).
(b) “Conditional registration” means a registration issued pursuant to former Business and Professions Code Section 19807(c).
(c) “Provisional license” means a license that is either granted by operation of law pursuant to Statutes of 1997, Chapter 867, Section 62, or is issued by the Chief pursuant to that section.
NOTE
Authority cited: Sections 19826(f) and 19827, Business and Professions Code. Reference: Stats. 1997, c. 867 (S.B.8), Section 62.
HISTORY
1. New article 13 (sections 2140-2142), renumbering and readoption of former section 1901 heading to new section 2140 heading, new first paragraph, renumbering, readoption and amendment of former sections 1901.1 and 1901.4 to new subsections 2140(a)-(b), new subsection (c) and new Note filed 10-12-99; operative 10-12-99 pursuant to Government Code section 11343.4(d) (Register 99, No. 42).
2. Change without regulatory effect amending Note filed 1-6-2004 pursuant to section 100, title 1, California Code of Regulations (Register 2004, No. 2).
3. Change without regulatory effect amending subsection (c) filed 5-28-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 22).
Note • History
(a) A provisional license is held subject to the same conditions, restrictions, and limitations on the authorization granted by the predecessor annual or conditional registration.
(b) A provisional license is held subject to all terms and conditions under which a state gambling license is held pursuant to the Act.
(c) A provisional license creates no vested right to the issuance of a state gambling license.
NOTE
Authority cited: Sections 19826(f) and 19827, Business and Professions Code. Reference: Stats. 1997, c. 867 (S.B.8), Section 62(a) and (b)(1).
HISTORY
1. Renumbering, readoption and amendment of former section 1902 heading to new section 2141 heading, renumbering, readoption and amendment of former sections 1902.1-1902.3 to new subsections 2141(a)-(c) and new Note filed 10-12-99; operative 10-12-99 pursuant to Government Code section 11343.4(d) (Register 99, No. 42).
2. Change without regulatory effect amending Note filed 1-6-2004 pursuant to section 100, title 1, California Code of Regulations (Register 2004, No. 2).
§2142. Presumption of Suitability.
Note • History
(a) Every natural person who holds a provisional license as a result of holding a valid and unexpired annual registration on December 31, 1997, shall be rebuttably presumed to be suitable for licensure pursuant to the Act.
(b) The rebuttable presumption described in Stats. 1997, ch. 867, section 62(g) subdivision (a) shall not apply to any other holder of a provisional license.
NOTE
Authority cited: Sections 19826(f) and 19827, Business and Professions Code. Reference: Stats. 1997, c. 867 (S.B.8), Section 62(c) and (g).
HISTORY
1. Renumbering, readoption and amendment of former section 1903 heading to new section 2142 heading, renumbering, readoption and amendment of former sections 1903.1-1903.2 to new subsections 2142(a)-(c) and new Note filed 10-12-99; operative 10-12-99 pursuant to Government Code section 11343.4(d) (Register 99, No. 42).
2. Change without regulatory effect amending subsection (b) and Note filed 1-6-2004 pursuant to section 100, title 1, California Code of Regulations (Register 2004, No. 2).
Division 4. Proposition 65 Private Enforcement
Chapter 1.
Note • History
This chapter sets forth procedures necessary to comply with Health and Safety Code section 25249.7(e) and (f) as amended by Ch.599, statutes of 1999 and Chapter 578, statutes of 2001. Any private person proceeding “in the public interest” pursuant to Health and Safety Code § 25249.7(d) or bringing any other action (hereinafter “Private Enforcer”), who alleges the existence of violations of the Safe Drinking Water and Toxic Enforcement Act of 1986 (Health and Safety Code sections 25249.5 or 25249.6) (hereinafter “Proposition 65”), shall comply with the applicable requirements of this chapter.
NOTE
Authority cited: Section 25249.7(f), Health and Safety Code. Reference: Sections 25249.7(e) and (f), Health and Safety Code.
HISTORY
1. New division 4, chapter 1 (sections 3000-3008, Appendices A-D) and section filed 6-1-2001; operative 7-1-2001 (Register 2001, No. 22).
2. Amendment filed 12-31-2001 as an emergency; operative 1-1-2002 (Register 2002, No. 1). A Certificate of Compliance must be transmitted to OAL by 5-1-2002 or emergency language will be repealed by operation of law on the following day.
3. Amendment refiled 4-23-2002 as an emergency; operative 5-1-2002 (Register 2002, No. 17). A Certificate of Compliance must be transmitted to OAL by 8-29-2002 or emergency language will be repealed by operation of law on the following day.
4. Amendment refiled 8-29-2002 as an emergency; operative 8-29-2002 (Register 2002, No. 35). A Certificate of Compliance must be transmitted to OAL by 12-27-2002 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 8-29-2002 order, including further amendment of section, transmitted to OAL 12-4-2002 and filed 1-17-2003 (Register 2003, No. 3).
Note • History
(a) “Subject to a Settlement” means that a written settlement agreement has been signed by the private enforcer and the alleged violator, or an oral agreement has been stated on the record in court in such manner as to render the agreement enforceable pursuant to Code of Civil Procedure section 664.6, even if the settlement is contingent on the entry of a judgment pursuant to stipulation or other judicial approval.
(b) “Subject to a Judgment,” means that the court has entered a judgment pursuant to stipulation, or that the court has entered an order entitling a party to entry of judgment (e.g., order granting a motion for summary judgment, order sustaining demurrer), regardless of whether the actual form of judgment has yet been prepared, approved, or filed.
(c) “Private Proposition 65 Action,” means any complaint filed by a Private Enforcer in court in which a violation of Proposition 65 is alleged and the Private Enforcer is proceeding pursuant to Health and Safety Code section 25249.7(d).
(d) “Other Private Action Alleging Violations of Proposition 65” means a complaint filed by a Private Enforcer in which a violation of Proposition 65 is alleged, but the plaintiff is not proceeding pursuant to Health and Safety Code section 25249.7(d).
(e) “Settlement” means any agreement to resolve all or part of an action, including any settlement by which injunctive relief, whether permanent or preliminary, is agreed upon, and also includes any agreement pursuant to which the case is dismissed, except for a voluntary dismissal in which no consideration is received from the defendant. Private Enforcers shall comply with these requirements for each partial settlement and any final settlement.
NOTE
Authority cited: Section 25249.7(f), Health and Safety Code. Reference: Sections 25249.7(e) and (f), Health and Safety Code.
HISTORY
1. New section filed 6-1-2001; operative 7-1-2001 (Register 2001, No. 22).
2. Amendment of subsection (c) filed 12-31-2001 as an emergency; operative 1-1-2002 (Register 2002, No. 1). A Certificate of Compliance must be transmitted to OAL by 5-1-2002 or emergency language will be repealed by operation of law on the following day.
3. Amendment of subsection (c) refiled 4-23-2002 as an emergency; operative 5-1-2002 (Register 2002, No. 17). A Certificate of Compliance must be transmitted to OAL by 8-29-2002 or emergency language will be repealed by operation of law on the following day.
4. Amendment of subsection (c) refiled 8-29-2002 as an emergency; operative 8-29-2002 (Register 2002, No. 35). A Certificate of Compliance must be transmitted to OAL by 12-27-2002 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 8-29-2002 order, including further amendment of section, transmitted to OAL 12-4-2002 and filed 1-17-2003 (Register 2003, No. 3).
Note • History
A Private Enforcer who commences a Private Proposition 65 Action or an Other Private Action Alleging Violations of Proposition 65 shall serve a file-endorsed copy of the complaint, and a completed version of the Report of Civil Complaint Filing form attached as Appendix A to these regulations, upon the Attorney General within five days after receipt of the file-endorsed copy of the complaint from the court. Any amended complaint shall be served upon the Attorney General within five days after filing with the court along with a Supplemental Report of Civil Complaint Filing.
NOTE
Authority cited: Section 25249.7(f), Health and Safety Code. Reference: Sections 25249.7(e) and (f), Health and Safety Code.
HISTORY
1. New section filed 6-1-2001; operative 7-1-2001 (Register 2001, No. 22).
2. Amendment filed 1-17-2003; operative 1-17-2003 pursuant to Government Code section 11343.4 (Register 2003, No. 3).
Note • History
(a) Settlements of Private Proposition 65 Actions. The Private Enforcer shall serve the Settlement on the Attorney General with a Report of Settlement in the form set forth in Appendix B within five days after the action is Subject to a Settlement, or concurrently with service of the motion for judicial approval of settlement pursuant to Health and Safety Code section 25249.7(f)(4), whichever is sooner. The motion and all supporting papers and exhibits shall be served on the Attorney General no later than forty-five days prior to the date of the hearing of the motion. If court rules or other applicable orders do not permit a forty-five day period, the Private Enforcer shall apply for permission to file the motion with a forty-five day notice period. If court rules or other applicable orders do not permit a forty-five day period, the Private Enforcer shall apply for permission to file the motion with a forty-five day notice period. If the court denies the request in whole or in part, the motion shall be noticed for the maximum time permitted by the court, and a copy of the application seeking a forty-five day time period and the court's order shall be served on the Attorney General with the motion for approval. The forty-five day period shall not apply in any case in which the Attorney General is a plaintiff in consolidated or related matters with the Private Enforcer and the settlement is a Consent Judgment entered into by the Attorney General and the Private Enforcer. The submission to the Attorney General shall contain the entire agreement between the parties. The papers filed with the court shall advise the court that the fact that the Attorney General does not object or otherwise respond to a settlement shall not be construed as endorsement of or concurrence in any settlement.
(b) Settlements of Other Private Actions Alleging Proposition 65 Violations. The Private Enforcer shall serve the Attorney General with the Settlement and a Report of Settlement in the form set forth in Appendix B within two days after the action is Subject to a Settlement. The Attorney General shall have thirty days after actual receipt to review the settlement. During the thirty-day period, the settlement shall not be submitted to the court, unless required by court order or rule or the Attorney General has stated in writing that he does not object to entry of the settlement. The fact that the Attorney General does not object or otherwise respond to a settlement shall not be construed as endorsement of or concurrence in any settlement.
NOTE
Authority cited: Section 25249.7(f), Health and Safety Code. Reference: Sections 25249.7(e) and (f), Health and Safely Code.
HISTORY
1. New section filed 6-1-2001; operative 7-1-2001 (Register 2001, No. 22).
2. Amendment filed 12-31-2001 as an emergency; operative 1-1-2002 (Register 2002, No. 1). A Certificate of Compliance must be transmitted to OAL by 5-1-2002 or emergency language will be repealed by operation of law on the following day.
3. Amendment refiled 4-23-2002 as an emergency; operative 5-1-2002 (Register 2002, No. 17). A Certificate of Compliance must be transmitted to OAL by 8-29-2002 or emergency language will be repealed by operation of law on the following day.
4. Amendment refiled 8-29-2002 as an emergency; operative 8-29-2002 (Register 2002, No. 35). A Certificate of Compliance must be transmitted to OAL by 12-27-2002 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 8-29-2002 order, including further amendment of section, transmitted to OAL 12-4-2002 and filed 1-17-2003 (Register 2003, No. 3).
Note • History
Within ten days after a case is subject to a judgment, a Private Enforcer shall serve on the Attorney General a copy of any judgment or order entitling a party to entry of judgment entered in a Private Proposition 65 Action or Other Private Action Alleging Violations of Proposition 65 and a completed version of the Report of Entry of Judgment form attached as Appendix C to this regulation. If the judgment does not become final because a notice of appeal is filed, the Private Enforcer shall serve a copy of the notice of appeal on the Attorney General within ten days after receipt. The Private Enforcer shall serve on the Attorney General a copy of any decision of an appellate court concerning the validity of the judgment within five working days after receipt.
NOTE
Authority cited: Section 25249.7(f), Health and Safety Code. Reference: Sections 25249.7(e) and (f), Health and Safety Code.
HISTORY
1. New section filed 6-1-2001; operative 7-1-2001 (Register 2001, No. 22).
2. Amendment filed 1-17-2003; operative 1-17-2003 pursuant to Government Code section 11343.4 (Register 2003, No. 3).
Note • History
All documents required to be filed pursuant to sections 3002, 3003, and 3004 shall be filed electronically, by submitting the forms and the documents on-line to the Attorney General's website, unless the website states that electronic filing is not currently available, or is not functioning for a twenty-four hour period when electronic filing is attempted.
NOTE
Authority cited: Section 25249.7(f), Health and Safety Code. Reference: Sections 25249.7(e) and (f), Health and Safety Code.
HISTORY
1. New section filed 6-1-2001; operative 7-1-2001 (Register 2001, No. 22).
Note • History
When this chapter requires that any document or information be provided to the Attorney General, unless the document is served electronically pursuant to section 3005, service shall be in a manner prescribed by Code of Civil Procedure section 1010-1020, except that any settlement shall be served by hand delivery or overnight mail service. The envelope in which the document is transmitted shall state prominently “Proposition 65 Private Enforcement Matter.” After receipt of the Complaint, the Attorney General may then specify that future documents required by this chapter to be filed in that case be served upon a particular office and deputy.
NOTE
Authority cited: Section 25249.7(f), Health and Safety Code. Reference: Sections 25249.7(e) and (f), Health and Safety Code.
HISTORY
1. New section filed 6-1-2001; operative 7-1-2001 (Register 2001, No. 22).
Note • History
For matters in which violations with respect to occupational exposures are alleged, compliance with the Director of the Division of Occupational Safety and Health's Special Procedures for Supplementary Enforcement of State Plan Requirements concerning Proposition 65, 8 Cal.Code Regs., § 338, as adopted on October 12, 2000, constitutes compliance with these requirements, except for the filing of the Affidavit of Compliance required by section 3008 and the requirements of section 3003(a). That regulation is set forth in Appendix D to these regulations.
NOTE
Authority cited: Section 25249.7(f), Health and Safety Code. Reference: Sections 25249.7(e) and (f), Health and Safety Code.
HISTORY
1. New section filed 6-1-2001; operative 7-1-2001 (Register 2001, No. 22).
2. Amendment filed 12-31-2001 as an emergency; operative 1-1-2002 (Register 2002, No. 1). A Certificate of Compliance must be transmitted to OAL by 5-1-2002 or emergency language will be repealed by operation of law on the following day.
3. Amendment refiled 4-23-2002 as an emergency; operative 5-1-2002 (Register 2002, No. 17). A Certificate of Compliance must be transmitted to OAL by 8-29-2002 or emergency language will be repealed by operation of law on the following day.
4. Amendment refiled 8-29-2002 as an emergency; operative 8-29-2002 (Register 2002, No. 35). A Certificate of Compliance must be transmitted to OAL by 12-27-2002 or emergency language will be repealed by operation of law on the following day.
5. Certificate of Compliance as to 8-29-2002 order, including further amendment of section, transmitted to OAL 12-4-2002 and filed 1-17-2003 (Register 2003, No. 3).
§3008. Affidavit of Compliance.
Note • History
A Private Enforcer shall file with the court a declaration or affidavit, meeting all applicable requirements of the Code of Civil Procedure, verifying compliance with all requirements of this chapter.
(a) In a Private Proposition 65 Action, the declaration or affidavit shall be filed when reply papers in support of the motion for approval of the settlement would be filed, and shall include:
(1) Proper proof of service on the Attorney General of all documents required to be served on the Attorney General by this regulation.
(2) If the case is resolved by settlement, a statement that at least forty-five days (or the shorter time period allowed by the court pursuant to section 3003), will elapse between service of the settlement on the Attorney General and the hearing date. Any written response by the Attorney General to the settlement shall be submitted to the court with any additional papers submitted to the court by the moving party, or at the hearing on the motion, if permitted by the court. The affidavit shall expressly advise the court that pursuant to section 3003 of this regulation, the failure of the Attorney General to comment on a settlement shall not be construed as endorsement of or concurrence in the settlement.
(b) In an Other Private Action Alleging Proposition 65 Violations, if the case is resolved by settlement, the declaration or affidavit shall be filed or lodged with the court at the same time as the judgment pursuant to stipulation or other order disposing of the case is submitted to the court, and shall include a statement that at least thirty days have elapsed since service of the settlement on the Attorney General or that fewer than thirty days have elapsed but the Attorney General has stated in writing that he does not object to entry of the settlement. Any written response by the Attorney General to the settlement shall be made an exhibit to the declaration or affidavit. The affidavit shall expressly advise the court that pursuant to section 3003 of this regulation, the failure of the Attorney General to comment on a settlement shall not be construed as endorsement of or concurrence in the settlement.
NOTE
Authority cited: Section 25249.7(f), Health and Safety-Code. Reference: Sections 25249.7(e) and (f), Health and Safety Code.
HISTORY
1. New section and Appendices A-D filed 6-1-2001; operative 7-1-2001 (Register 2001, No. 22).
2. Amendment of first paragraph and subsection (b) filed 4-23-2002 as an emergency; operative 5-1-2002 (Register 2002, No. 17). A Certificate of Compliance must be transmitted to OAL by 8-29-2002 or emergency language will be repealed by operation of law on the following day.
3. Amendment of first paragraph and subsection (b) refiled 8-29-2002 as an emergency; operative 8-29-2002 (Register 2002, No. 35). A Certificate of Compliance must be transmitted to OAL by 12-27-2002 or emergency language will be repealed by operation of law on the following day.
4. Certificate of Compliance as to 8-29-2002 order, including further amendment of section, transmitted to OAL 12-4-2002 and filed 1-17-2003 (Register 2003, No. 3).
Appendix A. Report of Civil Complaint Filing
Appendix B. Report of Settlement
Appendix C. Report of Entry of Judgment
Appendix D. Director of the Division of Occupational Safety and Health's Special Procedures for Supplementary Enforcement of State Plan Requirements Concerning Proposition 65, 8 Cal. Code Regs., § 338, as adopted on October 12, 2000
§338. Special Procedures for Supplementary Enforcement of State Plan Requirements Concerning Proposition 65.
(a) This section sets forth special procedures necessary to comply with the terms of the approval by the United States Department of Labor of the California Hazard Communication Standard, pertaining to the incorporation of the occupational applications of the California Safe Drinking and Toxic Enforcement Act (hereinafter Proposition 65), as set forth in 62 Federal Register 31159 (June 6, 1997). This approval specifically placed certain conditions on the enforcement of Proposition 65 with regard to occupational exposures, including that it does not apply to the conduct of manufacturers occurring outside the State of California. Any person proceeding “in the public interest” pursuant to Health and Safety Code §25249.7(d) (hereinafter “Supplemental Enforcer”) or any district attorney or city attorney or prosecutor pursuant to Health and Safety Code §25249.7(c) (hereinafter “Public Prosecutor”), who alleges the existence of violations of Proposition 65, with respect to occupational exposures as incorporated into the California Hazard Communication Standard (hereinafter “Supplemental Enforcement Matter”), shall comply with the requirements of this section. No Supplemental Enforcement Matter shall proceed except in compliance with the requirements of this section.
(b) 22 CCR §12903, setting forth specific requirements for the content and manner of service of sixty-day notices under Proposition 65, in effect on April 22, 1997, is adopted and incorporated by reference. In addition, any sixty-day notice concerning a Supplemental Enforcement Matter shall include the following statement:
“This notice alleges the violation of Proposition 65 with respect to occupational exposures governed by the California State Plan for Occupational Safety and Health. The State Plan incorporates the provisions of Proposition 65, as approved by Federal OSHA on June 6, 1997. This approval specifically placed certain conditions with regard to occupational exposures on Proposition 65, including that it does not apply to the conduct of manufacturers occurring outside the State of California. The approval also provides that an employer may use the means of compliance in the general hazard communication requirements to comply with Proposition 65. It also requires that supplemental enforcement is subject to the supervision of the California Occupational Safety and Health Administration. Accordingly, any settlement, civil complaint, or substantive court orders in this matter must be submitted to the Attorney General.”
(c) A Supplemental Enforcer or Public Prosecutor who commences a Supplemental Enforcement Matter shall serve a file-endorsed copy of the complaint upon the Attorney General within ten days after filing with the Court.
(d) A Supplemental Enforcer or Public Prosecutor shall serve upon the Attorney General a copy of any motion, or opposition to a motion for summary judgment or summary adjudication of issues, a demurrer, motion for preliminary or injunctive relief, or other dispositive motion, and all memoranda of points and authorities in support of or opposing such motions. These materials shall be served upon the Attorney General on the same day which they are served on the opposing party. A Supplemental Enforcer or Public Prosecutor shall serve upon the Attorney General any decision or order of a court granting or denying summary adjudication, a demurrer, preliminary or final injunctive relief, penalties, or damages relating to a Supplemental Enforcement Matter within five working days after receipt.
(e) A Supplemental Enforcer or Public Prosecutor who agrees to a settlement of a Supplemental Enforcement Matter shall serve the settlement upon the Attorney General within two working days after the agreement is signed by the parties. Where the settlement is submitted to a court for its approval, the Supplemental Enforcer or Public Prosecutor shall notify the court in writing upon presentation of the settlement of its submission to the Attorney General pursuant to this regulation. The submission to the Attorney General shall contain the entire agreement between the parties.
(f) When this section requires that any document or information be provided to the Attorney General, service shall be in a manner prescribed by Code of Civil Procedure §1010 et seq. The envelope in which the document is transmitted shall state prominently “Hazard Communication Standard/Proposition 65 Supplemental Enforcement Matter.” The Attorney General may then specify that further documents be served upon a particular office and deputy.
(g) The special procedures set forth in subsections (a) through (f) shall be followed for motions or other applications for judicial enforcement of any existing or future settlement agreements pertaining to Proposition 65, with reference to occupational exposures.
(h) Where, in the judgment of the Director and the Attorney General, a Supplemental Enforcer or Public Prosecutor has not complied with the provisions of this section, or the provisions of the OSHA approval decision of June 6, 1997, the Attorney General may seek to intervene in the action, or take such actions within his authority as he deems appropriate to assure compliance.
NOTE
Authority cited: Sections 54, 55 and 6380, Labor Code; and 62 Fed. Reg. 31159 (June 6, 1997). Reference: Sections 54, 55 and 6380, Labor Code; and 62 Fed. Reg. 31159 (June 6, 1997).
Chapter 2. Certificates of Merit
Note • History
Any notice of alleged violations provided pursuant to Health and Safety Code section 25249.7(d) in which violations of Health and Safety Code section 25249.6 are alleged shall include a Certificate of Merit. The Certificate of Merit shall be attached to, and be served with, all copies of the notice of alleged violations. A second copy of the entire notice and Certificate of Merit shall be served on the Attorney General, clearly marked “Attorney General Copy: Contains Official Information Pursuant to Evidence Code Section 1040” and shall attach all supporting documentation required by Section 3102. The designated Attorney General Copy is deemed Official Information pursuant to Evidence Code section 1040.
NOTE
Authority cited: Section 25249.7(d), (h) and (i), Health and Safety Code. Reference: Section 25249.7(d), (h) and (i), Health and Safety Code.
HISTORY
1. New chapter 2 (sections 3100-3103) and section filed 1-17-2003; operative 1-17-2003 pursuant to Government Code section 11343.4 (Register 2003, No. 3).
Note • History
(a) Health and Safety Code section 25249.7(d)(1) requires that the certifier state that he or she “has consulted with one or more persons with relevant and appropriate experience or expertise who has reviewed facts, studies, or other data regarding the exposure to the listed chemical that is the subject of the action, and that, based on that information, the person executing the certificate believes there is a reasonable and meritorious case for the private action.” “Reasonable and meritorious case for the private action” requires not only documentation of exposure to a listed chemical, but a reasonable basis for concluding that the entire action has merit. The certifier must have a basis to conclude that there is merit to each element of the action on which the plaintiff will have the burden of proof. The certifier does not need to have a basis to conclude that it will be able to negate all affirmative defenses, but must certify that the information relied upon does not prove that any affirmative defense has merit.
(b) The Certificate of Merit shall contain all of the following statements, and appear in the following form:
CERTIFICATE OF MERIT
Health and Safety Code Section 25249.7(d)
I, (name of certifier), hereby declare:
1. This Certificate of Merit accompanies the attached sixty-day notice(s) in which it is alleged the parties identified in the notices have violated Health and Safety Code section 25249.6 by failing to provide clear and reasonable warnings.
2. I am the (noticing party/attorney for the noticing party).
3. I have consulted with one or more persons with relevant and appropriate experience or expertise who has reviewed facts, studies, or other data regarding the alleged exposure to the listed chemical that is the subject of the action.
4. Based on the information obtained through those consultations, and on all other information in my possession, I believe there is a reasonable and meritorious case for the private action. I understand that “reasonable and meritorious case for the private action” means that the information provides a credible basis that all elements of the plaintiffs' case can be established and the information did not prove that the alleged violator will be able to establish any of the affirmative defenses set forth in the statute.
5. The copy of this Certificate of Merit served on the Attorney General attaches to it factual information sufficient to establish the basis for this certificate, including the information identified in Health and Safety Code section 25249.7(h)(2), i.e., (1) the identity of the persons consulted with and relied on by the certifier, and (2) the facts, studies, or other data reviewed by those persons.
Dated:
(Signature)
NOTE
Authority cited: Section 25249.7(d), (h) and (i), Health and Safety Code. Reference: Section 25249.7(d), (h) and (i), Health and Safety Code.
HISTORY
1. New section filed 1-17-2003; operative 1-17-2003 pursuant to Government Code section 11343.4 (Register 2003, No. 3).
§3102. Supporting Documentation.
Note • History
(a) The “Attorney General Copy” of the notice of violation and Certificate of Merit shall physically attach the information set forth below. Supporting documentation shall be provided in a legible and organized format. References to studies or other information are not sufficient.
(b) Identification of the person or persons with relevant and appropriate experience or expertise shall include: (1) their full name and address; and (2) sufficient information concerning their background, training and knowledge to establish that they possess the necessary experience or expertise to render a competent opinion on the subject matter for which they have been consulted.
(c) The “facts, studies, or other data regarding the exposure to the listed chemical that is the subject of the action” sufficient to establish the basis of the certificate of merit, i.e., that there is merit to each element of the claim on which the plaintiff will have the burden of proof, shall support each violation alleged in the notice as follows:
(1) For consumer product exposures, sufficient facts, studies, or other data shall be submitted for each consumer product or service, or each specific type of consumer product or service that cause the alleged violation as set forth in the notice;
(2) For occupational exposures, sufficient facts, studies, or other data shall be submitted for each occupational exposure set forth in the notice, whether described by location of the employees, type of task performed, or product used by the employees;
(3) For environmental exposures, sufficient facts, studies, or other data shall be submitted for each location and source of exposure set forth in the notice.
(d) The supporting documentation is not required to contain any information concerning the carcinogenicity or reproductive toxicity of the listed chemical or chemicals to which an exposure is alleged.
NOTE
Authority cited: Section 25249.7(d), (h) and (i), Health and Safety Code. Reference: Section 25249.7(d), (h) and (i), Health and Safety Code.
HISTORY
1. New section filed 1-17-2003; operative 1-17-2003 pursuant to Government Code section 11343.4 (Register 2003, No. 3).
§3103. Effect of Failure to Comply.
Note • History
(a) Where a sixty-day notice does not attach a copy of the Certificate of Merit meeting the requirements of subsection 3101(b), the noticing party has no authority to commence an action pursuant to Health and Safety Code section 25249.7(d).
(b) The Attorney General may contact the noticing party orally or in writing concerning the Certificate of Merit. If such communications include material from the supporting documentation, then the portion of the communications containing or specifically describing the supporting documentation shall remain Official Information pursuant to Evidence Code section 1040.
(c) Where the Attorney General makes no response concerning a Certificate of Merit, no inference shall be drawn from the lack of response concerning the adequacy of the Certificate or supporting documentation.
NOTE
Authority cited: Section 25249.7(d), (h) and (i), Health and Safety Code. Reference: Section 25249.7(d), (h) and (i), Health and Safety Code.
HISTORY
1. New section filed 1-17-2003; operative 1-17-2003 pursuant to Government Code section 11343.4 (Register 2003, No. 3).
Chapter 3. Settlement Guidelines
Note • History
This chapter contains the Attorney General's guidelines for review of settlements by persons proceeding “in the public interest” pursuant to Health and Safety Code section 25249.7(f)(4). The provisions of this chapter are guidelines, which are not binding on litigants or the courts, but provide the Attorney General's view as to the legality and appropriateness of various types of settlement provisions, and the type of evidence sufficient for the private plaintiff to sustain its burden of supporting the proposed settlement. The guidelines are not a comprehensive identification of all factors that should be considered in reviewing settlements, but identify particular issues that are likely to occur frequently. This should assist the parties in fashioning settlements to which the Attorney General is unlikely to object, and assist the courts in determining whether to approve settlements.
NOTE
Authority cited: Section 25249.7(f)(4) and (5), Health and Safety Code. Reference: Section 25249.7(f)(4) and (5), Health and Safety Code.
HISTORY
1. New chapter 3 (sections 3200-3204) and section filed 1-17-2003; operative 1-17-2003 pursuant to Government Code section 11343.4 (Register 2003, No. 3).
Note • History
Code of Civil Procedure section 1021.5 permits an award of attorney's fees to a “successful party . . . in any action which has resulted in the enforcement of an important right affecting the public interest if: (a) a significant benefit . . . has been conferred on the general public or a large class of persons, (b) the necessity and financial burden of private enforcement . . . are such as to make the award appropriate, and (c) such fees should not in the interest of justice be paid out of the recovery, if any.” These guidelines are intended to be consistent with existing law interpreting Code of Civil Procedure section 1021.5, but provide assistance to the litigants and the court in applying them to issues commonly arising under Proposition 65. These guidelines apply to settlements under which the basis for a fee award is provided by Code of Civil Procedure section 1021.5. Where there is a different or additional basis for an award of fees, parts of these guidelines may not apply. Since the Legislature has mandated that the court must determine that the attorney's fees in all settlements of Private Proposition 65 actions must be “reasonable under California law,” the fact that the defendant agreed to pay the fee does not automatically render the fee reasonable. The fact that the fee award is part of a settlement, however, may justify applying a somewhat less exacting review of each element of the fee claim than would be applied in a contested fee application.
(a) Successful Party. The fact that a defendant changed its conduct prior to entry of a court order or judgment does not preclude a finding that the plaintiff was successful. If the plaintiff's action was the cause or “catalyst” of the change in conduct, the plaintiff may be deemed successful.
(b) Public Benefit.
(1) In a case alleging failure to warn, a settlement that provides for the giving of a clear and reasonable warning, where there had been no warning provided prior to the sixty-day notice, for an exposure that appears to require a warning, is presumed to confer a significant benefit on the public. If there is no evidence of an exposure for which a warning plausibly is required; there is no public benefit, even if a warning is given. If the relief consists of minor or technical changes in the language, appearance, or location of a warning in a manner that is not likely to significantly increase its visibility or effectiveness in communicating the warning to the exposed persons, there is no significant public benefit. Where a settlement sets forth a standard or formula for when a given product requires a warning, supporting evidence should show that at least some of the products in controversy in the action either are, or at some time were, above the warning level, or the existence of the standard or formula itself may not establish the existence of a public benefit.
(2) Reformulation of a product, changes in air emissions, or other changes in the defendant's practices which reduce or eliminate the exposure to a listed chemical, in lieu of the provision of a warning, constitute a sufficient showing of public benefit.
(3) In a case alleging violations of Health and Safety Code section 25249.5, the reduction or elimination of the discharge of listed chemicals establishes a significant public benefit.
(c) Necessity of Private Enforcement. To establish necessity of private enforcement, the plaintiff should establish that its continued prosecution of the action was necessary to obtain the relief in the settlement. For example, where a defendant proposed in writing to provide certain relief, and the settlement or judgment does not provide any significant additional relief, additional fees incurred after the time that the offer was rejected may not be reasonable or necessary.
(d) Reasonable Fees. Hourly fees should be those reasonable for attorney of similar skill and experience in the relevant market area. Once a lodestar fee is a calculated, a multiplier of that amount is not reasonable unless a showing is made that the case involved a substantial investment of time and resources with a high risk of an adverse result, and obtained a substantial public benefit. No fees should be awarded based on additional time spent in response to the Attorney General's inquiries or participation in the case, unless specifically identified and approved by the court.
(e) Documentation. All attorney's fees should be justified by contemporaneously kept records of actual time spent, which describe the nature of the work performed. Declarations relying on memory or recreated, non-contemporaneously kept records may raise an issue concerning the accuracy of the time estimate.
(f) “Contingent Fee” Awards. A “contingent” fee is an attorney's fee paid pursuant to an agreement between the plaintiff and the plaintiff's attorney under which the attorney will be paid a specified amount or percentage of the total recovery obtained for the plaintiff. Where a plaintiff obtains an award of funds that belong exclusively to the plaintiff without any restriction, these fees generally are not considered to have been awarded by the court, and are reviewed by courts only under specified circumstances (e.g., compromise of a claim of a minor). In Proposition 65 cases, however, there typically is no award of damages or other unrestricted funds to the plaintiff (other than the plaintiff's 25% of any civil penalty recovery). Accordingly, simply denominating a fee award as “contingent” and based on the total monetary recovery does not necessarily render the fee amount “reasonable under California law,” and such fees should be justified under Code of Civil Procedure section 1021.5 or another applicable theory.
NOTE
Authority cited: Section 25249.7(f)(4) and (5), Health and Safety Code. Reference: Section 25249.7(f)(4) and (5), Health and Safety Code.
HISTORY
1. New section filed 1-17-2003; operative 1-17-2003 pursuant to Government Code section 11343.4 (Register 2003, No. 3).
§3202. Clear and Reasonable Warnings.
Note • History
Health and Safety Code section 25249.7(f)(4)(A) requires that, in order to approve a settlement, the court must find that “Any warning that is required by the settlement complies with” the clear and reasonable warning requirement of Proposition 65. This guideline provides additional information concerning the Attorney General's interpretation of the statute and existing regulations governing clear and reasonable warnings and factors that will be considered in his review of settlements. Nothing in this guideline shall be construed to authorize any warning that does not comply with the statute and regulations, or to preclude any warning that complies with the statute and regulations or to conflict with regulations adopted by the Office of Environmental Health Hazard Assessment. This guideline is intended to address some of the types of warnings commonly found in settlements, not to provide comprehensive standards.
(a) Supporting evidence. In order to sustain its burden of producing evidence sufficient to support the conclusion that the warning is legal, the plaintiff should provide (1) the text and appearance of the warning, along with a sufficient description of where the warning will appear in order to ascertain whether the warning will be “reasonably conspicuous” under the circumstances of purchase or use of the product; and (2) sufficient proof that the product causes exposure to a listed chemical to enable a finding that the warning would be truthful.
(b) Warning language. Where the settling parties agree to language other than the “safe harbor” language set forth in the governing regulations (22 CCR § 12601(b)) the warning language should be analyzed to determine whether it is clear and reasonable. Certain phrases or statements in warnings are not clear and reasonable, such as (1) use of the adverb “may” to modify whether the chemical causes cancer or reproductive toxicity (as distinguished from use of “may” to modify whether the product itself causes cancer or reproductive toxicity); (2) additional words or phrases that contradict or obfuscate otherwise acceptable warning language. Certain other deviations from the safe-harbor warnings are generally clear and reasonable, such as (1) Using the language “Using this product will expose you to a chemical . . .” in lieu of “This product contains a chemical . . .”; or (2) deleting the reference to “the state of California” from the safe-harbor language.
(c) Premises warnings for environmental tobacco smoke. A number of cases involve provision of warnings due to exposure to environmental tobacco smoke caused by entry of persons (other than employees) on premises where smoking is permitted at any location on the premises.
1. Location of signs. (A) For hotels or apartment buildings in which entry to guest rooms or apartments is on an enclosed hallway and there is a common ventilation system, the sign should be posted at main and subsidiary entrances to the building (including any entrance from a parking structure), and at the registration counter or administrative office open to the public or guests. (B) For hotels or apartment complexes in which entry to guest rooms or apartments is to areas open to ambient air; signs should be posted at a kiosk or gate where cars drive in, if any, and at the registration counter or other administrative office open to the public or guests.
2. Language of Signs. The following language is appropriate and legally sufficient:
“WARNING: This facility allows smoking in some areas. Tobacco smoke, and many of the chemicals in it, are known to the state of California to cause cancer, and birth defects or other reproductive harm. [Optional: Smoking is permitted only in the following areas of this facility: (identify areas, e.g., “swimming pool area,” “foyers,” “designated guest rooms,” “outdoor patios.”]”
3. Successful parties. The plaintiff is not successful and has not conferred a substantial public benefit if the defendant had posted signs substantially complying with subparagraphs (1) and (2); and the only additional relief obtained is the posting of additional signs in guest rooms or in hallways that lead to guest rooms in which smoking is permitted.
(d) Environmental Exposure Warnings. In determining whether environmental exposure warnings comply with the law, the parties should consider 22 CCR section 12601(d)(2), which requires, among other things, that the warning “be provided in a conspicuous manner and under such conditions as to make it likely to be read, seen or heard and understood by an ordinary individual in the course of normal daily activity, and reasonably associated with the location and source of the exposure.” 22 CCR section 12601(d)(1) also requires that such warnings “target the affected area.” Settlements meeting these requirements should:
(1) include a warning other than signs posted at the facility wherever the area for which the exposure occurs at a level requiring a warning extends beyond the boundaries of the facility to an area of persons who do not actually enter or walk by the facility.
(2) Use hand-delivered or mail-delivered notices rather than media advertisements unless the area of persons to be warned is so large as to make such delivery substantially more expensive than media advertisements;
(3) If newspaper notices are used, they should appear in the main news section of the newspaper with the largest circulation in the area for which a warning is given, be at least 1/4 page in size, and contain a graphic depiction of the location of the facility for which the warning is given and the area for which the warning is given.
NOTE
Authority cited: Section 25249.7(f)(4) and (5), Health and Safety Code. Reference: Section 25249.7(f)(4) and (5), Health and Safety Code.
HISTORY
1. New section filed 1-17-2003; operative 1-17-2003 pursuant to Government Code section 11343.4 (Register 2003, No. 3).
§3203. Reasonable Civil Penalty.
Note • History
Penalties will be evaluated based on the factors set forth in the Health and Safety Code section 25249.7(b)(2). The following factors are “[other factors] which justice may require” to be considered within the meaning of Health and Safety Code section 25249.7(b)(2)(G):
(a) A settlement with little or no penalty may be entirely appropriate. Civil penalties, however (75% of which must be provided to the Department of Toxic Substances Control) should not be “traded” for payments of attorney's fees.
(b) Where a settlement provides additional payments to an entity in lieu of a civil penalty (including, for example, funds for environmental activities, public education programs, and funds to the plaintiff for additional enforcement of Proposition 65 or other laws), such payments may be a proper “offset” to the penalty amount or cy pres remedy, but are only proper if the following requirements are met:
(1) The funded activities have a nexus to the basis for the litigation, i.e., the funds should address the same public harm as that allegedly caused by the defendant(s) in the particular case.
(2) The recipient should be an entity that is accountable, i.e., is able to demonstrate how the funds will be spent and can assure that the funds are being spent for the proper, designated purpose.
(3) If the entity receiving the funds will in turn make grants of funds to other entities for specified purposes, the method of selection of the ultimate recipient of settlement funds must be set forth in the settlement agreement or in a separate public document referenced in the agreement. The selection procedure may vary depending on the facts of the particular case, but must give significant weight to a prospective grantee's ability to perform the funded task and its reliability and accountability.
(c) Where a settlement provides that certain penalties are assessed, but may be waived in exchange for certain conduct by the defendant, the necessary actions must be related to the purposes of the litigation, provide environmental and public health benefits, and provide a clear mechanism for verification that the qualifying conditions have been satisfied.
NOTE
Authority cited: Section 25249.7(f)(4) and (5), Health and Safety Code. Reference: Sections 25249.7(b)(2) and 25249.7(f)(4) and (5), Health and Safety Code.
HISTORY
1. New section filed 1-17-2003; operative 1-17-2003 pursuant to Government Code section 11343.4 (Register 2003, No. 3).
Note • History
Certain other provisions of a settlement may either be unlawful or contrary to public policy, and could provide the basis for an objection by the Attorney General.
(a) Releases or other language describing the intended scope of claims resolved or barred by the settlement shall not purport to:
(1) Be on behalf of the People of the State of California. Appropriate language is that the plaintiffs “suing `in the public interest' pursuant to Health and Safety Code section 25249.7(d)” and “suing `in the interest of . . . the general public' pursuant to Business and Professions Code section 17204” (whichever applies to the action).
(2) Release or resolve any claim by individuals with personal injuries, unless those claims were properly raised in the complaint and litigated in the action.
(3) Release or resolve any claim concerning listed chemicals that are not present in the product at the time of entry of judgment, or any claim concerning chemicals that are not on the list of chemicals known to the state to cause cancer or reproductive toxicity, but may become listed in the future.
(4) Release or resolve any claim concerning chemicals or exposures not set forth in the sixty-day notice of violation.
(5) Immunize any defendant from any duty caused by a change in law, or to impose a duty that is removed by a change in law.
NOTE
Authority cited: Section 25249.7(f)(4) and (5), Health and Safety Code. Reference: Section 25249.7(f)(4) and (5), Health and Safety Code.
HISTORY
1. New section filed 1-17-2003; operative 1-17-2003 pursuant to Government Code section 11343.4 (Register 2003, No. 3).
Division 5. Firearms Regulations
Chapter 1. Bureau of Firearms Fees
Note • History
As authorized pursuant to Penal Code sections 28230 and 28240, subdivisions (a) and (b), the Bureau of Firearms fees for Dealers' Records of Sale (DROS) are as follows:
(a)(1) DROS fee for a single handgun: $19
(2) DROS fee for each additional handgun submitted at the same time as first DROS: $15
(b) DROS fee for one or more rifles or shotguns: $19
NOTE
Authority cited: Sections 28220, 28225, 28230 and 28240, Penal Code. Reference: Sections 27540, 28220, 28225, 28230, 28235, 28240, 28490 and 31115, Penal Code.
HISTORY
1. New division 5 (chapter 1), chapter 1 (sections 4001-4006) and section filed 11-1-2004 as an emergency; operative 11-1-2004 (Register 2004, No. 45). A Certificate of Compliance must be transmitted to OAL by 3-1-2005 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 11-1-2004 order transmitted to OAL 3-1-2005 and filed 4-11-2005 (Register 2005, No. 15).
3. Change without regulatory effect amending chapter heading, first paragraph and Note filed 12-27-2011 pursuant to section 100, title 1, California Code of Regulations (Register 2011, No. 52).
§4002. Miscellaneous Report Fees.
Note • History
As authorized pursuant to Penal Code sections 28230 and 28240, subdivision (c), the Bureau of Firearms fees for voluntary firearm ownership report, intra-familial transfer of handgun or handgun acquired by operation of law report, new resident's importation of handgun report, and curio and relic (C & R) collector's out-of-state acquisition of C & R handgun report are as follows:
(a) Fee for voluntary firearm ownership report: $19 per firearm reported
(b) Fee for intra-familial transfer of handgun or handgun acquired by operation of law report: $19 for one or more handguns reported
(c) Fee for new resident's importation of handgun report: $19 per handgun reported
(d) Fee for C & R collector's out-of-state acquisition of C & R handgun report: $19 per handgun reported
NOTE
Authority cited: Sections 28230 and 28240, Penal Code. Reference: Sections 27560, 27875, 27920, 28230, 28235 and 28240, Penal Code.
HISTORY
1. New section filed 11-1-2004 as an emergency; operative 11-1-2004 (Register 2004, No. 45). A Certificate of Compliance must be transmitted to OAL by 3-1-2005 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 11-1-2004 order transmitted to OAL 3-1-2005 and filed 4-11-2005 (Register 2005, No. 15).
3. Change without regulatory effect amending first paragraph and Note filed 12-27-2011 pursuant to section 100, title 1, California Code of Regulations (Register 2011, No. 52).
§4003. POST Certification Fees.
Note • History
As authorized pursuant to Penal Code section 13511.5, the Bureau of Firearms fee for Peace Officer Standards Training (POST) firearms clearance certification is $19.
NOTE
Authority cited: Section 13511.5, Penal Code. Reference: Section 13511.5, Penal Code.
HISTORY
1. New section filed 11-1-2004 as an emergency; operative 11-1-2004 (Register 2004, No. 45). A Certificate of Compliance must be transmitted to OAL by 3-1-2005 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 11-1-2004 order transmitted to OAL 3-1-2005 and filed 4-11-2005 (Register 2005, No. 15).
3. Change without regulatory effect amending section filed 12-27-2011 pursuant to section 100, title 1, California Code of Regulations (Register 2011, No. 52).
§4004. Peace Officer Candidate Firearms Clearance Fees.
Note • History
As authorized pursuant to Penal Code section 832.15, subdivision (c), the Bureau of Firearms fee for peace officer candidate firearms clearance is $19.
NOTE
Authority cited: Section 832.15, Penal Code. Reference: Section 832.15, Penal Code.
HISTORY
1. New section filed 11-1-2004 as an emergency; operative 11-1-2004 (Register 2004, No. 45). A Certificate of Compliance must be transmitted to OAL by 3-1-2005 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 11-1-2004 order transmitted to OAL 3-1-2005 and filed 4-11-2005 (Register 2005, No. 15).
3. Change without regulatory effect amending section filed 12-27-2011 pursuant to section 100, title 1, California Code of Regulations (Register 2011, No. 52).
§4005. Security Guard Firearms Clearance Fees.
Note • History
As authorized pursuant to Business and Professions Code section 7583.26, subdivision (a), the Bureau of Firearms fees for security guard firearm clearances are as follows:
(a) Initial fee for two-year security guard firearms clearance: $38
(b) Renewal fee for two-year security guard firearms clearance: $38
NOTE
Authority cited: Section 7583.26, Business and Professions Code. Reference: Section 7583.26, Business and Professions Code.
HISTORY
1. New section filed 11-1-2004 as an emergency; operative 11-1-2004 (Register 2004, No. 45). A Certificate of Compliance must be transmitted to OAL by 3-1-2005 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 11-1-2004 order transmitted to OAL 3-1-2005 and filed 4-11-2005 (Register 2005, No. 15).
3. Change without regulatory effect amending section filed 12-27-2011 pursuant to section 100, title 1, California Code of Regulations (Register 2011, No. 52).
Note • History
As authorized pursuant to Penal Code section 26190, subdivision (a), the Bureau of Firearms fees for licenses to carry concealed weapons (CCW) are as follows:
(a)(1) Initial fee for 90-day employment CCW license: $22
(2) Renewal fee for 90-day employment CCW license: $22
(b)(1) Initial fee for 2-year resident CCW license: $44
(2) Renewal fee for for 2-year resident CCW license: $44
(c)(1) Initial fee for 3-year judicial CCW license: $66
(2) Renewal fee for 3-year judicial CCW license: $66
(d)(1) Initial fee for 4-year reserve peace officer CCW license: $88
(2) Renewal fee for 4-year reserve peace officer CCW license: $88
NOTE
Authority cited: Section 26190, Penal Code. Reference: Section 26190, Penal Code.
HISTORY
1. New section filed 11-1-2004 as an emergency; operative 11-1-2004 (Register 2004, No. 45). A Certificate of Compliance must be transmitted to OAL by 3-1-2005 or emergency language will be repealed by operation of law on the following day.
2. Certificate of Compliance as to 11-1-2004 order transmitted to OAL 3-1-2005 and filed 4-11-2005 (Register 2005, No. 15).
3. Change without regulatory effect amending section and Note filed 12-27-2011 pursuant to section 100, title 1, California Code of Regulations (Register 2011, No. 52).
Chapter 2. Centralized List of Firearms Dealers
Article 1. Title, Scope, and Definitions
Note • History
This chapter shall be known as the “Department of Justice Regulations for the Centralized List of Firearms Dealers.” The provisions of these regulations shall apply to the Centralized List of Firearms Dealers and the firearms dealer inspections conducted by the Department of Justice (DOJ).
NOTE
Authority cited: Sections 26715 and 26720, Penal Code. Reference: Sections 16585, 26700, 26715, 26720, 28100, 28150, 28155, 28160, 28165, 28170, 28175, 28180, 28205, 28210, 28215, 28220 and 31700, Penal Code; and Sections 478.124, 478.124a and 478.125, Code of Federal Regulations.
HISTORY
1. Change without regulatory effect renumbering division 1, chapter 13.4 (articles 1-4, sections 986-989) to division 5, chapter 2 (articles 1-4, sections 4016-4024) and renumbering section 986 to section 4016 filed 6-28-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 26).
2. Change without regulatory effect amending chapter heading, section and Note filed 12-27-2011 pursuant to section 100, title 1, California Code of Regulations (Register 2011, No. 52).
§4017. Definition of Key Terms.
Note • History
(a) “Centralized List” means the list, maintained by the DOJ, of all persons licensed to sell firearms pursuant to Penal Code section 26715.
(b) “Contact person” means a person authorized to act on behalf of a firearms dealer.
(c) “DOJ representative” means an employee of the DOJ authorized to conduct firearms dealer compliance inspections.
(d) “Firearms dealer” or “dealer” means an individual listed on the Centralized List of Firearms Dealers pursuant to Penal Code section 26700.
(e) “Firearms transaction records” mean records related to a dealer's firearms business, including: DOJ Dealer Records of Sale (DROS); DOJ Basic Firearms Safety Certificate records; Bureau of Alcohol, Tobacco and Firearms (ATF) Acquisition and Disposition records; and any ATF Forms 4473.
(f) “Reasonable access” means that items to be inspected by a DOJ representative are free from physical obstruction or other impediments that would make access difficult or unsafe.
(g) “Removal from the Centralized List” means the removal of a dealer from the Centralized List who knowingly or with gross negligence violates the provisions of Penal Code section 16575 including any applicable DOJ regulations. The term does not include expiration from the Centralized List for dealer failure to maintain and submit to the DOJ, current federal, state and local licenses or permits required pursuant to Penal Code section 26700, nor for dealer failure to renew the annual placement on the Centralized List.
NOTE
Authority cited: Sections 26715 and 26720, Penal Code. Reference: Sections 16585, 26700, 26715, 26720, 28100, 28150, 28155, 28160, 28165, 28170, 28175, 28180, 28205, 28210, 28215, 28220 and 31700, Penal Code; and Sections 478.124, 478.124a and 478.125, Code of Federal Regulations.
HISTORY
1. Change without regulatory effect renumbering section 986.1 to section 4017 filed 6-28-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 26).
2. Change without regulatory effect amending subsections (a), (c)-(d), (g) and Note filed 12-27-2011 pursuant to section 100, title 1, California Code of Regulations (Register 2011, No. 52).
Article 2. Centralized List Applications, Fees, and Placement Terms
Note • History
Applications for annual placement on the Centralized List shall be filed on DOJ form BOF 4080 (Rev. 01/2012) which will require the following information signed, dated, and certified under penalty of perjury: applicant's name; dealership name; dealership physical address; dealership mailing address; dealership telephone number; dealership telephone facsimile number (if any); days and hours of operation; local licensing authority; local law enforcement agency; local inspection authority (if any); DOJ Certificate of Eligibility (COE) number and expiration date; Federal Firearms License (FFL) number and expiration date; local firearms license number and expiration date; and, the State Board of Equalization Seller's Permit number. The application shall include copies of the current FFL, COE, local firearms license, and State Board of Equalization Seller's Permit.
NOTE
Authority cited: Section 26715, Penal Code. Reference: Section 26715, Penal Code.
HISTORY
1. Change without regulatory effect renumbering section 987 to section 4018 filed 6-28-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 26).
2. Change without regulatory effect amending section and Note filed 12-27-2011 pursuant to section 100, title 1, California Code of Regulations (Register 2011, No. 52).
Note • History
Centralized List placement applications shall be accompanied by the appropriate fees as follows:
(a) A Centralized List initial fee and subsequent annual fee of $20 for each applicant at a single location shall be submitted. The annual fee shall be due on January 31st of each year regardless of the date of initial placement on the Centralized List.
(b) A dealer inspection initial fee and subsequent annual fee of $95 per dealership location shall be submitted. The annual fee shall be due on January 31st of each year regardless of the date of initial placement on the Centralized List. Dealers whose place of business is located in a jurisdiction with a local firearms dealer compliance inspection program are not subject to this $95 inspection fee. Upon request, an annual list of such jurisdictions is available from the DOJ.
NOTE
Authority cited: Sections 26720 and 26725, Penal Code. Reference: Sections 26720 and 26725, Penal Code.
HISTORY
1. Change without regulatory effect renumbering section 987.1 to section 4019 filed 6-28-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 26).
2. Change without regulatory effect amending subsection (b) and Note filed 12-27-2011 pursuant to section 100, title 1, California Code of Regulations (Register 2011, No. 52).
§4020. Processing Times. [Repealed]
Note • History
NOTE
Authority cited: Sections 15376 and 15378, Government Code. Reference: Sections 15376 and 15378, Government Code.
HISTORY
1. Change without regulatory effect renumbering section 987.2 to section 4020 filed 6-28-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 26).
2. Change without regulatory effect repealing section filed 12-27-2011 pursuant to section 100, title 1, California Code of Regulations (Register 2011, No. 52).
§4021. Term of Centralized List Placement.
Note • History
(a) The term of a Centralized List placement shall be from January 1 through December 31. The effective date shall begin upon actual placement on the Centralized List.
(b) The term of a Centralized List placement shall expire for any of the following reasons:
(1) failure to submit an application for continued placement pursuant to sections 4018, and 4019 of these regulations; or
(2) failure to maintain and submit copies of renewals of current federal, state, and local licenses or permits within 30 days after their respective expirations.
NOTE
Authority cited: Sections 26715 and 26720, Penal Code. Reference: Sections 26715 and 26720, Penal Code.
HISTORY
1. Change without regulatory effect renumbering section 987.3 to section 4021, including amendment of subsection (b)(1), filed 6-28-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 26).
2. Change without regulatory effect amending Note filed 12-27-2011 pursuant to section 100, title 1, California Code of Regulations (Register 2011, No. 52).
Article 3. Compliance Inspections
§4022. Firearms Dealer Inspections.
Note • History
(a) The DOJ may conduct on-site inspections at a dealer's business premises to determine compliance with firearms laws pursuant to Penal Code section 16575, including the following:
(1) firearms transfer requirements pursuant to Penal Code sections 16585, 26805, 26815, 26825, 26830, 26840 through 26870, 27500 through 27520, 27530 through 27545, 27555, and 28050 through 28065; and
(2) firearms dealer records and record retention requirements pursuant to Penal Code sections 16585, 26850, 26900 through 26910, 27525, 27550, 27555, 28060, 28100, 28160 through 28180, 28205 through 28220, and 31700; and
(3) firearms dealership facility requirements pursuant to Penal Code sections 26810, 26820, 26835, 26875, 26885, and 26890.
(b) The dealer or contact person shall ensure that the DOJ representative has reasonable access to all firearms transaction records, the firearms inventory, security features, and all areas within the business premises to which the DOJ representative may need access to conduct the inspection. Upon request by the DOJ representative, the dealer or contact person shall:
(1) make available for inspection all dealer licenses and permits required pursuant to Penal Code section 26700; and
(2) locate firearms that are in the waiting period according to the dealers records or records of the DOJ; and
(3) clarify or explain illegible, unclear, or conflicting entries contained in the firearms transaction records; and
(4) identify the type and location of security measures and devices used at the business premises.
NOTE
Authority cited: Section 26720, Penal Code. Reference: Sections 16585, 26805, 26810, 26815, 26820, 26825, 26830, 26835, 26840, 26845, 26850, 26855, 26860, 26865, 26870, 26875, 26885, 26890, 26900, 26905, 26910, 27500, 27505, 27510, 27515, 27520, 27525, 27530, 27535, 27540, 27545, 27550, 27555, 28050, 28055, 28060, 28065, 28100, 28160, 28165, 28170, 28175, 28180, 28205, 28210, 28215, 28220 and 31700, Penal Code; and Title 47, Parts 478.124, 478.124a and 478.125, Code of Federal Regulations.
HISTORY
1. Change without regulatory effect renumbering section 988 to section 4022 filed 6-28-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 26).
2. Change without regulatory effect amending section and Note filed 12-27-2011 pursuant to section 100, title 1, California Code of Regulations (Register 2011, No. 52).
§4023. Notification of Inspection Results and Corrective Action.
Note • History
(a) The DOJ will notify the dealer, in writing, of the results of the inspection as soon as possible upon completion of the inspection.
(b) If the dealer fails to comply with any of the firearm laws in Penal Code section 16575, including any applicable DOJ regulations, the notification will cite the violations and may specify corrective action requirements. The notification will include an acknowledgment prepared by the DOJ, that the dealer is aware of the violation(s) and has performed all specific and general corrective actions necessary to correct past violations and to ensure future violations do not occur.
(1) The dealer shall comply with the corrective action requirements if any, including the return of the acknowledgment, signed by the dealer or contact person, and postmarked no later than 30 days after the date of the notification, unless the DOJ determines the violation requires more immediate attention. If immediate attention is required, the dealer must comply within the time frame specified in the DOJ's notification.
(2) The DOJ may conduct a follow-up inspection to confirm the dealer has complied with the corrective action. If a follow-up inspection is conducted and the dealer is found to have complied with the corrective action the DOJ will notify the dealer of such no later than 30 days after the follow-up inspection.
NOTE
Authority cited: Sections 26715 and 26720, Penal Code. Reference: Sections 26715 and 26720, Penal Code.
HISTORY
1. Change without regulatory effect renumbering section 988.1 to section 4023 filed 6-28-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 26).
2. Change without regulatory effect amending section and Note filed 12-27-2011 pursuant to section 100, title 1, California Code of Regulations (Register 2011, No. 52).
Article 4. Removal from Centralized List
§4024. Removal from Centralized List.
Note • History
(a) If a dealer does not comply with corrective action requirements, or upon determination by the DOJ that a dealer has otherwise knowingly or with gross negligence violated firearms laws pursuant to Penal Code section 16575, including any applicable DOJ regulations, the DOJ may remove the dealer from the Centralized List.
(b) All hearings related to the removal of a dealer from the Centralized List shall be conducted in accordance with Government Code section 11500 et seq.
NOTE
Authority cited: Sections 26715 and 26720, Penal Code. Reference: Sections 26715 and 26720, Penal Code; Sections 11500, 11501, 11502, 11503, 11504, 11504.5, 11506, 11507, 11507.3, 11507.5, 11507.6, 11507.7, 11508, 11509, 11511, 11511.5, 11511.7, 11512, 11513, 11514, 11515, 11516, 11517, 11518, 11518.5, 11519, 11519.1, 11520, 11521, 11522, 11523, 11524, 11526, 11527, 11528 and 11529, Government Code.
HISTORY
1. Change without regulatory effect renumbering section 989 to section 4024 filed 6-28-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 26).
2. Change without regulatory effect amending section and Note filed 12-27-2011 pursuant to section 100, title 1, California Code of Regulations (Register 2011, No. 52).
Chapter 3. Non-Dealer Sales or Transfers of Firearms Through Licensees or Dealers and Issuance of Certificates of Eligibility
Article 1. General
Note • History
The provisions of these regulations apply to sales and other transfers of firearms, as defined in subdivision (a) of section 4031, by individuals through dealers pursuant to Penal Code sections 28050 through 28070, and to the issuance of Certificates of Eligibility by the Department of Justice (DOJ) to persons described in Penal Code sections 16800, 26525, 26585, 26700, and 26710.
NOTE
Authority cited: Sections 16800, 26525, 26585, 26700, 26710 and 28060, Penal Code. Reference: Sections 16520, 16800, 26525, 26585, 26700, 26710, 27005, 27535, 27545, 27670, 28050, 28055, 28060, 28065, 28070, 29050, 29120, 30312 and 31700, Penal Code.
HISTORY
1. Change without regulatory effect renumbering division 1, chapter 13 (articles 1-4, sections 980-985), to division 5, chapter 3 (articles 1-4, sections 4030-4041) and renumbering section 980 to section 4030, including amendment of section, filed 6-28-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 26).
2. Change without regulatory effect amending chapter heading, section and Note filed 12-27-2011 pursuant to section 100, title 1, California Code of Regulations (Register 2011, No. 52).
Article 2. Definitions
§4031. Definition of Key Terms.
Note • History
(a) The term “firearm” means any firearm within the definition of Penal Code section 16520.
(b) The term “dealer” means a person having a valid license to sell firearms issued pursuant to Penal Code section 26700.
(c) The term “section 28050 transaction” means the transfer of a firearm as provided in Penal Code section 28050.
(d) The term “transferor” means any person who wishes to sell or otherwise transfer a firearm through a dealer pursuant to Penal Code section 28050.
(e) The term “transferee” means any person who wishes to acquire a firearm in a transaction pursuant to Penal Code section 28050.
(f) The term “personal information” means personal information as defined in Civil Code section 1798.3.
(g) The term “Certificate of Eligibility” means a certificate which states that the DOJ has checked its records and determined that the applicant is not prohibited from acquiring or possessing firearms pursuant to Penal Code sections 29800, 29805, 29815 through 29825, and 29900, and Welfare and Institutions Code sections 8100 and 8103, or Title 27, Part 478.32 of the Code of Federal Regulations at the time the check was performed.
(h) The term “applicant” means a person applying to obtain a Certificate of Eligibility.
NOTE
Authority cited: Sections 16800, 26525, 26585, 26710 and 28060, Penal Code. Reference: Sections 16520, 16800, 26525, 26585, 26700, 26710, 27535, 27545, 28050, 28055, 28060, 28065, 28070, 29800, 29805, 29815, 29820, 29825 and 29900, Penal Code; Sections 8100 and 8103, Welfare and Institutions Code; Section 1798.3, Civil Code; and Title 27, Parts 478.32 and 478.41, Code of Federal Regulations.
HISTORY
1. Change without regulatory effect renumbering section 981 to section 4031 filed 6-28-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 26).
2. Change without regulatory effect amending section and Note filed 12-27-2011 pursuant to section 100, title 1, California Code of Regulations (Register 2011, No. 52).
Article 3. Transfers
§4032. Transfers of Concealable Firearms.
Note • History
Except as provided in Penal Code sections 27600 through 27615, and 27850 through 27965, no person shall sell, lease or transfer any firearm to a person who is not a dealer unless the transaction is processed by a dealer pursuant to Penal Code section 28050.
NOTE
Authority cited: Sections 27545 and 28060, Penal Code. Reference: Sections 26700, 26710, 27535, 27545, 27600, 27605, 27610, 27615, 27850, 27855, 27860, 27865, 27870, 27875, 27880, 27885, 27890, 27895, 27900, 27905, 27910, 27915, 27920, 27925, 27930, 27935, 27940, 27945, 27950, 27955, 27960, 27965, 28050 and 28060, Penal Code.
HISTORY
1. Change without regulatory effect renumbering section 982 to section 4032 filed 6-28-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 26).
2. Change without regulatory effect amending section and Note filed 12-27-2011 pursuant to section 100, title 1, California Code of Regulations (Register 2011, No. 52).
§4033. Criteria for Processing Section 28050 Transactions.
Note • History
(a) All dealers shall process a section 28050 transaction upon the request of the transferor. All such requests shall:
(1) Be in writing and contain all of the terms of the transaction, and
(2) Be signed by the transferor and the transferee.
(b) Except as otherwise provided in Penal Code sections 28050 through 28070, a dealer shall process a section 28050 transaction in the same manner as if it were a dealer retail sale.
NOTE
Authority cited: Section 28060, Penal Code. Reference: Sections 26700, 26710, 26825, 27535, 27545, 28100, 28160, 28165, 28210 and 28215, Penal Code.
HISTORY
1. Change without regulatory effect renumbering section 982.1 to section 4033 filed 6-28-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 26).
2. Change without regulatory effect amending section heading, section and Note filed 12-27-2011 pursuant to section 100, title 1, California Code of Regulations (Register 2011, No. 52).
Note • History
All dealers shall display on the business premises where it can easily be seen, a schedule of fees for processing section 28050 transactions and, prior to processing, the dealer shall notify the parties of the specific fee(s) to be charged for the transaction. The dealer may also require payment of all fees prior to initiating a section 28050 transaction.
NOTE
Authority cited: Section 28060, Penal Code. Reference: Sections 28055 and 26875, Penal Code.
HISTORY
1. Change without regulatory effect renumbering section 982.2 to section 4034 filed 6-28-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 26).
2. Change without regulatory effect amending section and Note filed 12-27-2011 pursuant to section 100, title 1, California Code of Regulations (Register 2011, No. 52).
§4035. Confidentiality of Records.
Note • History
Except as otherwise provided in Penal Code sections 28210 and 28215, personal information obtained by dealers in compliance with those sections is confidential and shall not be disclosed by the dealer except in the manner provided in Civil Code section 1798.24 for the disclosure of personal information by government agencies.
NOTE
Authority cited: Section 28060, Penal Code. Reference: Section 1798.24, Civil Code.
HISTORY
1. Change without regulatory effect renumbering section 982.3 to section 4035 filed 6-28-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 26).
2. Change without regulatory effect amending section and Note filed 12-27-2011 pursuant to section 100, title 1, California Code of Regulations (Register 2011, No. 52).
Article 4. Certificate of Eligibility
Note • History
(a) Applicant must be at least 18 years old.
(b) Applicant must not be in a class of persons described in Penal Code sections 29800, 29805, 29815 through 29825, or 29900, or Welfare and Institutions Code section 8100 or 8103, or Title 27, Part 478.32 of the Code of Federal Regulations.
NOTE
Authority cited: Sections 16800, 26525, 26585 and 26710, Penal Code. Reference: Sections 16800, 26525, 26585, 26700, 26710, 27535, 27545, 29800, 29805, 29815-29825 and 29900, Penal Code; Sections 8100 and 8103, Welfare and Institutions Code; and Title 27, Part 478.32, Code of Federal Regulations.
HISTORY
1. Change without regulatory effect renumbering section 983 to section 4036 filed 6-28-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 26).
2. Change without regulatory effect amending subsection (b) and Note filed 12-27-2011 pursuant to section 100, title 1, California Code of Regulations (Register 2011, No. 52).
§4037. Application for Certificate of Eligibility.
Note • History
(a) Applicant shall complete and submit an application form prescribed by the DOJ which will require the following information: name, address, date of birth, driver's license number, telephone number; business information, if applicable, to include business name, primary business address, and business telephone number. The application shall also require additional information requesting responses to questions asking the applicant if he or she: 1) has ever been convicted of a felony or an offense specified in Penal Code sections 23515, 29800, 29805, 29815 through 29825, or 29900; 2) is a mental patient or on leave of absence from a mental hospital; 3) has ever been adjudicated by a court to be a danger to self or others, found not guilty by reason of insanity of any crime, or found incompetent to stand trial for any crime, pursuant to Welfare and Institutions Code section 8103; or 4) is currently under a restraining order.
(b) Applicant shall also submit two current DOJ fingerprint cards (Form BID-7), with complete sets of fingerprints prepared by the DOJ, or any other agency which is qualified to provide fingerprinting services. For this purpose the DOJ shall make applicant fingerprint cards available to local law enforcement agencies at no charge. This subdivision does not apply to applications for renewal of a Certificate of Eligibility.
(c) Applicant shall submit the appropriate Certificate of Eligibility fees as set forth in section 4040, subdivision (b), of these regulations.
NOTE
Authority cited: Sections 11105(i), 16800, 26525, 26585 and 26710, Penal Code. Reference: Sections 16800, 26525, 26585, 26700, 26710, 27535, 27545, 29800, 29805, 29815, 29820, 29825 and 29900, Penal Code; and Sections 8100 and 8103, Welfare and Institutions Code; and Title 27, Part 478, Code of Federal Regulations.
HISTORY
1. Change without regulatory effect renumbering section 983.1 to section 4037, including amendment of subsection (c), filed 6-28-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 26).
2. Change without regulatory effect amending section and Note filed 12-27-2011 pursuant to section 100, title 1, California Code of Regulations (Register 2011, No. 52).
§4038. Processing Time. [Repealed]
Note • History
NOTE
Authority cited: Sections 15376 and 15378, Government Code. Reference: Sections 15376 and 15378, Government Code.
HISTORY
1. Change without regulatory effect renumbering section 983.2 to section 4038 filed 6-28-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 26).
2. Change without regulatory effect repealing section filed 12-27-2011 pursuant to section 100, title 1, California Code of Regulations (Register 2011, No. 52).
§4039. Term of Certificate of Eligibility.
Note • History
The term of a Certificate of Eligibility shall not exceed one year from the date issued.
NOTE
Authority cited: Section 26710, Penal Code. Reference: Section 26710, Penal Code.
HISTORY
1. Change without regulatory effect renumbering section 984 to section 4039 filed 6-28-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 26).
2. Change without regulatory effect amending Note filed 12-27-2011 pursuant to section 100, title 1, California Code of Regulations (Register 2011, No. 52).
Note • History
As authorized pursuant to Penal Code section 26710, subdivision (d), the Bureau of Firearms fees for a Certificate of Eligibility are as follows:
(a) Fee for initial application: $22
(b) Fee for renewal application: $22
NOTE
Authority cited: Section 26710, Penal Code. Reference: Sections 16800, 26710 and 29050, Penal Code; and Section 12101, Health and Safety Code.
HISTORY
1. Change without regulatory effect renumbering section 984.1 to section 4040 filed 6-28-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 26).
2. Change without regulatory effect amending first paragraph and Note filed 12-27-2011 pursuant to section 100, title 1, California Code of Regulations (Register 2011, No. 52).
§4041. Applicant Denial Review Process.
Note • History
Upon the denial of an application, the applicant may seek review of the records upon which the denial was based pursuant to Penal Code section 11121 and may seek to have those records changed pursuant to Penal Code section 11126. If within one year of the original application date, the applicant is successful in correcting the records to show that the applicant is not in any prohibited class of persons, the applicant may resubmit the application without additional charge.
NOTE
Authority cited: Sections 16800, 26525, 26585 and 26710, Penal Code. Reference: Sections 16800, 26525, 26585, 26700 and 26710, Penal Code.
HISTORY
1. Change without regulatory effect renumbering section 985 to section 4041 filed 6-28-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 26).
2. Change without regulatory effect amending section and Note filed 12-27-2011 pursuant to section 100, title 1, California Code of Regulations (Register 2011, No. 52).
Chapter 4. Evidence of Residency Documentation
§4045. Definitions and Requirements.
Note • History
The following definitions and requirements apply to documents intended to serve as evidence of residency for the acquisition of a handgun pursuant to Penal Code section 26845:
a.1. “Utility bill” means a statement of charges for providing direct service to the individual's residence by either a physical connection (i.e., hard wired telephone or cable connection, or a water or gas pipeline connection), or a telemetric connection (i.e., satellite television or radio broadcast service) to a non-mobile, fixed antenna reception device.
2. The utility bill statement date must be within three months of the current date.
3. The utility bill must bear on its face the individual's name and either of the following:
A. The individual's current residential address as declared on the Dealer's Record of Sale (DROS) form.
B. The individual's residential address as it appears on his or her California Driver License or California Identification Card, or change of address attachment thereto.
b.1. “Residential lease” means either of the following:
A. A signed and dated contract by which the individual (tenant) agrees to pay a specified monetary sum or provide other consideration for the right to occupy an abode for a specified period of time.
B. A signed and dated rental agreement by which the individual (tenant) agrees to pay a specified monetary sum or provide other consideration at fixed intervals for the right to occupy an abode.
2. The residential lease must bear the individual's name and either of the following:
A. The individual's current residential address as declared on the DROS form.
B. The individual's address as it appears on his or her California Driver License or California Identification Card, or change of address attachment thereto.
c.1. “Property deed” means either of the following:
A. A valid deed of trust for the individual's property of current residence that identifies the individual as a grantee of the trust.
B. A valid Certificate of Title issued by a licensed title insurance company that identifies the individual as a title holder to his or her property of current residence.
2. The property deed must bear the individual's name and either of the following:
A. The individual's current residential address as declared on the DROS form.
B. The individual's address as it appears on his or her California Driver License or California Identification Card, or change of address attachment thereto.
d. “Other evidence of residency as permitted by the Department of Justice” means either of the following:
1. A current, government-issued (city, county, special district, state, or federal) license, permit, or registration, other than a California Driver License or California Identification Card, that has a specified expiration date or period of validity. The license, permit, or registration must bear the individual's name and either of the following:
A. The individual's current residential address as declared on the DROS form.
B. The individual's address as it appears on his or her California Driver License or California Identification Card, or change of address attachment thereto.
2. A valid peace officer credential issued by a California law enforcement agency to an active, reserve, or retired peace officer.
NOTE
Authority cited: Section 26845, Penal Code. Reference: Sections 26845 and 27550, Penal Code.
HISTORY
1. Change without regulatory effect renumbering division 1, chapter 13.8 (section 996) to division 5, chapter 4 (section 4045) filed 6-28-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 26).
2. Change without regulatory effect amending first paragraph, paragraphs b.2.A., c.2.A. and d.1.A. and Note filed 12-27-2011 pursuant to section 100, title 1, California Code of Regulations (Register 2011, No. 52).
Chapter 5. Laboratory Certification and Handgun Testing
Article 1. General: Title; Scope; Extensions for Compliance
Note • History
This chapter shall be known as “The Department of Justice Regulations for the “Laboratory Certification and Handgun Testing,” may be cited as such, and is referred to herein as “these regulations.”
NOTE
Authority cited: Sections 32005, 32010, 32015, 32020, 32025 and 32030, Penal Code. Reference: Sections 16380, 16900, 17140, 31900, 31905, 31910, 32005, 32010, 32015, 32020, 32025, 32030, 32100, 32105 and 32110, Penal Code.
HISTORY
1. Change without regulatory effect renumbering division 1, chapter 12.4 (articles 1-10, sections 968.10-968.99), to division 5, chapter 5 (articles 1-10, sections 4046-4074) and renumbering section 968.10 to section 4046 filed 6-28-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 26).
2. Change without regulatory effect amending chapter heading, section and Note filed 12-27-2011 pursuant to section 100, title 1, California Code of Regulations (Register 2011, No. 52).
Note • History
The provisions of these regulations will implement, interpret, and make specific the laboratory certification and handgun testing programs mandated by California Penal Code sections 16380, 16900, 17140, 31900 through 31910 (entire article), 32000 through 32030 (entire article), and 32100 through 32110 (entire article). These regulations will also establish procedures to create and maintain both a roster of Department of Justice (DOJ)-Certified Laboratories and a roster of certified handguns. These regulations will apply to any person, firm, and/or corporation who wishes to become certified as a handgun testing laboratory and, with specified exemptions, to any person in this state who manufactures or causes to be manufactured, imports into the state for sale, keeps for sale, offers or exposes for sale, gives, or lends any pistol, revolver, or other firearm capable of being concealed upon the person.
NOTE
Authority cited: Sections 16380, 16900, 17140, 31900, 31905, 31910, 32000, 32005, 32010, 32015, 32020, 32025, 32030, 32100, 32105 and 32110, Penal Code. Reference: Sections 16380, 16900, 17140, 31900, 31905, 31910 and 32005, Penal Code.
HISTORY
1. Change without regulatory effect renumbering section 968.11 to section 4047 filed 6-28-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 26).
2. Amendment filed 1-31-2011; operative 3-2-2011 (Register 2011, No. 5).
3. Change without regulatory effect amending section and Note filed 12-27-2011 pursuant to section 100, title 1, California Code of Regulations (Register 2011, No. 52).
§4048. Extensions for Compliance.
Note • History
If a DOJ-Certified Laboratory provides written proof that through no fault of its own it is not able to meet a deadline provided for in these regulations, the DOJ may grant a temporary extension of time to meet that deadline. Any such extension will be in writing and will designate a specific time period for the extension.
NOTE
Authority cited: Sections 32005, 32010, 32015, 32020, 32025 and 32030, Penal Code. Reference: Sections 32005, 32010, 32015, 32020, 32025 and 32030, Penal Code.
HISTORY
1. Change without regulatory effect renumbering section 968.12 to section 4048 filed 6-28-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 26).
2. Change without regulatory effect amending Note filed 12-27-2011 pursuant to section 100, title 1, California Code of Regulations (Register 2011, No. 52).
Article 2. Definition of Key Terms
§4049. Definition of Key Terms.
Note • History
(a) “ATF” means the United States Department of Justice, Bureau of Alcohol, Tobacco, Firearms and Explosives.
(b) “COE” means a Certificate of Eligibility issued by the California Department of Justice pursuant to Penal Code section 26710, subdivisions (a) through (c) after a check of state and federal files has determined that at the time the check was performed, and based upon available information, the applicant was not a person who was prohibited from possessing firearms pursuant to state and federal laws.
(c) “Completed Application” means a completed Application for DOJ-Certification, Form BOF 019 (Rev. 01/2012); copies of any applicable licenses and/or certificates; any additional sheets used to provide full and complete answers to questions on the application; copies of the laboratory's written procedures relating to security and prohibited persons; and the application fee.
(d) “Compliance Test Report” means a report completed by a DOJ-Certified Laboratory after a handgun model has met the requirements of Penal Code sections 31900 and 31905 and these regulations.
(e) “Corporation” means any entity organized under California Corporations Code section 102, subdivision (a) or similar statute if not a California corporation.
(f) “Day” means a calendar day unless otherwise specified in these regulations.
(g) “DOJ” means the California Department of Justice.
(h) “DOJ-Certification” means the DOJ certificate issued as evidence of compliance with the DOJ laboratory certification requirements as set forth in these regulations.
(i) “DOJ-Certified Laboratory” means a laboratory that has applied for and been granted DOJ-Certification.
(j) “FIN” means the firearm identification number comprised of a unique array of characters that identify the make, model, and serial number of each pistol subject to the microstamping requirement for semiautomatic pistols set forth in Penal Code section 31910, subdivision (b)(7) and which can be used to identify the pistol when it is traced through DOJ's Automated Firearms System (AFS). The FIN shall consist of at least eight, but no more than 12, unique alpha and/or numeric characters that must begin with the manufacturer's NCIC MAK code.
(k) “Firm” means a business unit, enterprise, or partnership of two or more persons, that is not recognized as a legal person distinct from the members comprising the entity.
(l) “Identical magazines” means magazines submitted for, and used during, testing shall not be of a higher functional quality, which might result in improved performance from those provided to retail customers.
(m) “Local license” means any regulatory and/or business license issued by a city, county, and/or other local government agency.
(n) “Manufacturer/Importer” means either a manufacturer of domestically produced handguns or, if one exists, a legal successor in interest or another person with the consent of the manufacturer; and/or a federally licensed importer of foreign manufactured handguns.
(o) “Model” means the manufacturer's/importer's designation which uniquely identifies a specific design of handgun subject to the descriptive limitations imposed by Penal Code section 32030, subdivision (a).
(p) “Pistol” means a handgun in which the chamber is part of the barrel. A pistol can either be semiautomatic or non-semiautomatic, but not fully automatic.
(q) “Reasonable access” means that areas and/or items to be inspected by an authorized DOJ employee are free from physical obstruction and/or other impediments that would make access difficult and/or unsafe.
(r) “Refined or modified” means an improvement applied to the test handguns, that is not made to retail handguns, which may result in improved performance during testing. Refining or modifying a handgun includes, but is not limited to, using material preparation, assembly techniques, or break-in processes that are different from those used to produce retail models.
(s) “Responsible party” includes, but is not limited to, firearm manufacturers/importers and law enforcement agencies.
(t) “Revolver” means a handgun with a cylinder having several chambers so arranged as to rotate around an axis and be discharged successively by the same firing mechanism through a common barrel.
(u) “Roster of Certified Handguns” means a list of all pistols and revolvers that have been tested by a DOJ-Certified Laboratory, have been determined not to be unsafe handguns, and that may be sold in California pursuant to Penal Code section 32010. The roster will list, for each firearm, the manufacturer, model number, model name, and other information deemed necessary by the DOJ to facilitate identifying that handgun model.
(v) “Similar” means a handgun listed on the Roster of Certified Handguns that was not subject to testing because it satisfied the requirements of Penal Code section 32030.
(w) “Standard ammunition” means commercially produced factory loaded ammunition which is available for purchase at consumer-level retail outlets.
NOTE
Authority cited: Sections 16380, 16900, 17140, 31900, 31905, 31910, 32005, 32010, 32015, 32020, 32025 and 32030, Penal Code. Reference: Sections 16380, 16900, 17140, 23515, 26710, 29800, 29805, 29815, 29820, 29825, 29900, 31900, 31905, 31910, 32000, 32005, 32010, 32015, 32020, 32025, 32030, 32100, 32105 and 32110, Penal Code; Section 102, subdivision (a), Corporations Code; and Chapter 44 Sections 920 et seq., Title 18 of the United States Code.
HISTORY
1. Change without regulatory effect renumbering section 968.20 to section 4049 filed 6-28-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 26).
2. Repealer and new section filed 1-31-2011; operative 3-2-2011 (Register 2011, No. 5).
3. Change without regulatory effect amending section and Note filed 12-27-2011 pursuant to section 100, title 1, California Code of Regulations (Register 2011, No. 52).
Article 3. DOJ-Certification: Who Must Be DOJ-Certified; Application for DOJ-Certification; Pre-DOJ-Certification Requirements; Grounds for Denial; DOJ-Certification Period; Appeal Process
§4050. Who Must Be DOJ-Certified.
Note • History
(a) Any laboratory wishing to participate in the California Handgun Testing Program described in these regulations must apply for and obtain a DOJ-Certification.
(b) Any proposed change in the ownership of five percent or more of a DOJ-Certified Laboratory from that reported on the initial application shall require the submission of an Application for DOJ-Certification, Form BOF 019 (Rev. 01/2012), by the proposed ownership entity or owners.
NOTE
Authority cited: Section 32010, Penal Code. Reference: Sections 16380, 16900, 17140, 31900, 31905, 31910, 32010 and 32030, Penal Code.
HISTORY
1. Change without regulatory effect renumbering section 968.30 to section 4050 filed 6-28-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 26).
2. Amendment of subsection (b) filed 1-31-2011; operative 3-2-2011 (Register 2011, No. 5).
3. Change without regulatory effect amending article heading, subsection (b) and Note filed 12-27-2011 pursuant to section 100, title 1, California Code of Regulations (Register 2011, No. 52).
§4051. Application for DOJ-Certification.
Note • History
The DOJ will accept completed applications from laboratories seeking DOJ-Certification. Application for DOJ-Certification shall be made on Form BOF 019 (Rev. 01/2012) which shall include the following:
(a) Laboratory information: name of applicant laboratory; physical and mailing addresses; telephone and fax numbers; local licensing authority, business license number, and expiration date; the local law enforcement agency with jurisdiction over the laboratory; federal firearms license number, type, and expiration date (if licensed); business hours; e-mail address (if applicable); and copies of licenses and/or certificates identified on the application.
(b) COE holder information: name, title, COE number, and COE expiration date of any owner, chief executive officer, or person who possesses or has applied for a COE pursuant to section 4052, subdivision (a) of these regulations.
(c) Ownership information: ownership structure; the name, title/relation to laboratory/percentage owned and/or controlled, address, telephone and fax numbers, state corporation/partnership number and expiration date, and local business license number and expiration date of any owner that is not a natural person; and the name, title/relation to laboratory/percentage owned and/or controlled, address, and telephone number of each owner, partner, officer, director and any person who owns and/or exercises control of five percent or more of outstanding common stock; and if a corporation or partnership either original certified copies of the articles of incorporation or a current roster of general and limited partners.
(d) Facility management and testing supervision information: name and title of the manager or director of the laboratory and/or unit of the laboratory that will conduct handgun tests, the persons supervising handgun tests, and persons participating and/or performing handgun tests; a copy of the laboratory's security procedures; the name, address, and telephone number of any 24-hour security service or monitored alarm system that is employed by the laboratory, and a copy of the contract for services; and a copy of the procedures for ensuring that persons prohibited from possessing firearms will not have access to firearms and a description of the method to be used to identify any such persons.
(e) Required equipment information: whether the laboratory will obtain the required equipment at the time the application is submitted or at a later date.
(f) Off-site location information, if applicable: name of the owner; telephone number; physical address; and the testing to be performed and/or equipment to be used at the off-site location.
(g) Authorized representative information: name and title of the person who has the legal authority to sign the application and attest to the required matters on behalf of the applicant laboratory.
(h) A signed certification stating that the laboratory and/or owner is free from any conflicts of interest as defined by section 4053, subdivision (a)(3), (7), (8), and (9) of these regulations.
(i) A signed certification regarding: the informing of staff of laws relating to prohibitions against firearms possession; the ensuring that prohibited persons do not have access to, come into contact with, and/or possess firearms; the fact that the laboratory obtains and maintains any required federal, state, and/or local licenses; and the fact that the laboratory does comply with all applicable federal, state, and/or local laws and/or regulations.
(j) A signed certification regarding: the possession of the required equipment; the maintenance and calibration of that equipment; and the laboratory does comply with safety, design, operation, and licensing and approval requirements.
(k) The initial application processing fee required by section 4065, subdivision (b)(1) of these regulations.
NOTE
Authority cited: Section 32010, Penal Code. Reference: Sections 16380, 16850, 16900, 17140, 23515, 25610, 26710, 29800, 29805, 29815, 29820, 29825, 29900, 31900, 31905, 31910, 32005, 32010, 32015, 32020, 32025 and 32030, Penal Code.
HISTORY
1. Change without regulatory effect renumbering section 968.31 to section 4051, including amendment of subsections (b) and (h), filed 6-28-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 26).
2. Amendment of first paragraph and subsections (b), (h) and (k) filed 1-31-2011; operative 3-2-2011 (Register 2011, No. 5).
3. Change without regulatory effect amending section and Note filed 12-27-2011 pursuant to section 100, title 1, California Code of Regulations (Register 2011, No. 52).
§4052. Pre-DOJ-Certification Requirements.
Note • History
(a) Pursuant to Penal Code section 26710, subdivisions (a) through (c), the DOJ issues COEs. One or more of the owner(s), chief executive officer(s), or person(s) with primary responsibility for the operation of the laboratory shall obtain and maintain a valid COE as a condition of obtaining and maintaining DOJ-Certification.
(b) Once a completed application has been received, the DOJ will schedule an on-site inspection of the applicant laboratory. During this inspection the applicant laboratory shall demonstrate its ability to conduct handgun testing by doing all of the following:
(1) Have available for inspection by DOJ staff, a microscope system equipped as follows:
(A) Have a stereo zoom microscope with a low magnification of 25x or less, and a high magnification of at least 60x. The microscope must also be equipped with a ring-light for illumination and with polarizing filters to aid in reflection control.
(B) Have a digital camera with the ability to capture digital images sufficient to adequately document the markings made on the cartridge cases by the microstamp.
(2) For the firing test:
(A) Fire 100 rounds through a semiautomatic pistol, stopping for 5 to 10 minutes after the first 50 rounds have been fired to allow the weapon to cool, and stopping as needed to refill the empty magazine to capacity before continuing. After the 100 rounds have been fired, tighten any loose screws and clean the gun in accordance with the manufacturer's instructions.
(B) Fire 100 rounds through a revolver, stopping for 5 to 10 minutes after the first 50 rounds have been fired to allow the weapon to cool, and stopping as needed to refill the empty cylinder to capacity before continuing. After the 100 rounds have been fired, tighten any loose screws and clean the gun in accordance with the manufacturer's instructions.
(C) Demonstrate the method to be used to determine whether there is any crack or breakage of an operating part of the handgun that increases the risk of injury to the user as set forth in Penal Code section 31905, subdivision (c)(2).
(3) For the drop tests:
(A) Have the following testing equipment available for inspection by DOJ staff:
(i) a drop test fixture capable of dropping a handgun from a drop height of 1 m + 1 cm - 0 cm (39.4 in. + 0.4 in. - 0 in.).
(ii) a height gauge capable of measuring the required drop height.
(iii) one or more concrete slabs with minimum dimensions of 7.5 X 15 X 15 cm (3 X 6 X 6 in.).
(B) Demonstrate that the drop test fixture is in proper working order by dropping an object of the approximate size and weight of a handgun from the fixture. The object shall drop and come to rest without interference on or near the required concrete slab which shall rest upon a firm surface.
(C) Demonstrate the ability to position a handgun in the drop fixture at the required drop height and in each of the six drop positions identified in Penal Code section 31900.
(c) The handguns and ammunition used during the demonstration shall be supplied by the applicant laboratory. The DOJ reserves the right to supply the handguns and ammunition used during the demonstration.
NOTE
Authority cited: Sections 16380, 16900, 17140, 31900, 31905, 31910, 32010 and 32030, Penal Code. Reference: Sections 16380, 16900, 17140, 26710, 31910 and 32010, Penal Code.
HISTORY
1. Change without regulatory effect renumbering section 968.32 to section 4052 filed 6-28-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 26).
2. Amendment of section and Note filed 1-31-2011; operative 3-2-2011 (Register 2011, No. 5).
3. Change without regulatory effect amending subsections (a), (b)(2)(C), (b)(3)(A)(i) and (b)(3)(C) and amending Note filed 12-27-2011 pursuant to section 100, title 1, California Code of Regulations (Register 2011, No. 52).
Note • History
(a) An initial application for DOJ-Certification shall be denied if the applicant laboratory:
(1) Makes false statements on the application.
(2) Fails to meet the security requirements identified in section 4057, subdivision (a)(1) of these regulations.
(3) Is wholly or partly owned by, a part of, financed by, or in any other way financially supported by any manufacturer/importer, wholesaler, distributor, or dealer of handguns. As used in this subdivision, financial support does not apply to situations wherein an applicant laboratory provides testing services to a manufacturer/importer, wholesaler, distributor, or dealer of handguns.
(4) Fails to demonstrate the ability to conduct the required testing in an impartial, technically sound manner as set forth in of section 4052, subdivision (b) of these regulations, including having and using the equipment required by subdivision (b)(1) of that section.
(5) Fails to obtain the required COE(s).
(6) Fails to comply with any required local, state, and/or federal laws and/or licensing requirements relating to handgun testing.
(7) Has any present or planned contractual, organizational, employment or other financial involvement and/or relationship (spouse(s), children, sibling(s), parent(s), or in-law(s)) with any manufacturer/importer, wholesaler, distributor, or dealer of handguns. This shall also apply to any employee(s) directly involved in handgun testing, owner(s), shareholder(s), partner(s), officer(s), and/or director(s) of the applicant laboratory who has any such involvement or relationship.
(8) Is currently or plans to be a manufacturer/importer, wholesaler, distributor, or dealer of handguns. This shall also apply to any employee(s) directly involved in handgun testing, owner(s), shareholder(s), partner(s), officer(s), and/or director(s) of the applicant laboratory.
(9) Has a present or planned direct, indirect, and/or beneficial interest aggregating $1,000 or more in any entity that is a manufacturer/importer, wholesaler, distributor, or dealer of handguns. This shall also apply to any employee(s) directly involved in handgun testing, owner(s), shareholder(s), partner(s), officer(s), and/or director(s) of the applicant laboratory.
(b) If the DOJ denies an application for DOJ-Certification, a Notice of Denial will be provided to the applicant laboratory. The Notice shall specify all grounds on which the denial is based.
(c) An applicant laboratory that has been served with a Notice of Denial may request a hearing. The written request must be received by the DOJ no later than 20 days from the date of service of the Notice of Denial. If a hearing is requested, it will be conducted in accordance with the Administrative Procedure Act, Government Code section 11500 et seq. Failure to make a written request for a hearing within the time specified above constitutes a waiver of the right to a hearing. If this failure occurs or if the applicant laboratory withdraws its appeal, the denial shall be final.
NOTE
Authority cited: Section 32010, Penal Code. Reference: Sections 16380, 16850, 16900, 17140, 25610, 31900, 31905, 31910 and 32010, Penal Code; and Sections 11500, 11501, 11502, 11503, 11504, 11504.5, 11506, 11507, 11507.3, 11507.5, 11507.6, 11507.7, 11508, 11509, 11511, 11511.5, 11511.7, 11512, 11513, 11514, 11515, 11516, 11517, 11518, 11518.5, 11519, 11519.1, 11520, 11521, 11522, 11523, 11524, 11526, 11527, 11528 and 11529, Government Code.
HISTORY
1. Change without regulatory effect renumbering section 968.33 to section 4053, including amendment of subsections (a)(2) and (a)(4), filed 6-28-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 26).
2. Amendment of subsections (a)(2) and (a)(4) filed 1-31-2011; operative 3-2-2011 (Register 2011, No. 5).
3. Change without regulatory effect amending subsections (a)(2), (a)(4), (a)(7)-(9) and (c) and amending Note filed 12-27-2011 pursuant to section 100, title 1, California Code of Regulations (Register 2011, No. 52).
§4054. DOJ-Certification Period.
Note • History
The DOJ-Certification shall be valid for two years from the date of issuance.
NOTE
Authority cited: Section 32010, Penal Code. Reference: Sections 16380, 16900, 17140, 31900, 31905, 31910, 32000, 32005 and 32010, Penal Code.
HISTORY
1. Change without regulatory effect renumbering section 968.34 to section 4054 filed 6-28-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 26).
2. Change without regulatory effect amending Note filed 12-27-2011 pursuant to section 100, title 1, California Code of Regulations (Register 2011, No. 52).
§4055. Appeal Process. [Repealed]
Note • History
NOTE
Authority cited: Sections 15374-15378, Government Code. Reference: Sections 15374-15378, Government Code; and Section 12130, Penal Code.
HISTORY
1. Change without regulatory effect renumbering section 968.36 to section 4055 filed 6-28-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 26).
2. Repealer filed 1-31-2011; operative 3-2-2011 (Register 2011, No. 5).
Article 4. Operational Requirements: Absence of Conflict of Interest; Security and Safety Requirements; Licensing/Minimum Standards Compliance; Which Handguns Must Be Tested, Who May Submit Handguns, Submission Requirements; Testing Procedures; Test Reporting; Required Records, Retention Periods, Reporting Changes; Off-Site Locations; Inspections
§4056. Absence of Conflict of Interest.
Note • History
The DOJ-Certified Laboratory shall at all times ensure that:
(a) It is not wholly or partly owned by, a part of, financed by, or in any other way financially supported by any manufacturer/importer, wholesaler, distributor, or dealer of handguns. As used in this subdivision, financial support does not apply to situations wherein an applicant laboratory provides testing services to a manufacturer/importer, wholesaler, distributor, or dealer of handguns.
(b) None of the employee(s) directly involved in handgun testing, owner(s), shareholder(s), partner(s), officer(s), and/or director(s) of the DOJ-Certified Laboratory:
(1) Has any contractual, organizational, employment or other financial involvement and/or relationship (spouse(s), children, sibling(s), parent(s), or in-law(s)) with any manufacturer/importer, wholesaler, distributor, or dealer of handguns.
(2) Is a manufacturer/importer, wholesaler, distributor, or dealer of handguns.
(3) Has any direct, indirect, or beneficial interest aggregating $1,000 or more in any entity that is a manufacturer/importer, wholesaler, distributor, or dealer of handguns.
NOTE
Authority cited: Section 32010, Penal Code. Reference: 31900, 31905 and 32000, Penal Code.
HISTORY
1. Change without regulatory effect renumbering section 968.40 to section 4056 filed 6-28-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 26).
2. Change without regulatory effect amending subsection (b) and Note filed 12-27-2011 pursuant to section 100, title 1, California Code of Regulations (Register 2011, No. 52).
Note • History
(a) The DOJ-Certified Laboratory shall have written security procedures if handguns are to be stored and/or transported by the DOJ-Certified Laboratory. DOJ-Certified Laboratory staff shall be informed of these written procedures which shall be available upon request, and include all of the following:
(1) The handgun(s) shall be stored unloaded in a safe or a secure room which shall be locked while unattended, and shall meet all of the following requirements:
(A) A safe shall be certified to/listed as meeting Underwriters Laboratories Residential Security Container rating standards by a Nationally Recognized Testing Laboratory (NRTL).
(B) A secure room shall be away from any general living or work area. All doors leading into a secure storage room shall be solid core with a dead-bolt lock or the equivalent, or the handgun(s) shall be stored in an anchored, locked metal box in the room. Anchored is defined as either permanently mounted to the floor or having a gross weight of 1,000 pounds or more so that heavy equipment or tools would be required to remove the box. Any secure storage room with direct entries, including windows and skylights, from the exterior of the building shall have: steel window guards (not recommended for private residences); an audible, silent or sonic alarm to detect entry; or a 24-hour security guard service.
(2) If the handgun(s) will be stored at a location different from the principal place of business, or at the applicant's residence and that residence is rented/leased, the applicant shall submit to the DOJ written approval from the owner and the location shall meet all security requirements.
(3) Ammunition shall be stored separately from the handguns in a secure room, cabinet or box which shall be locked while unattended.
(4) When transporting a handgun for delivery to an authorized recipient or off-site testing location, the handgun shall be transported as required by Penal Code sections 16850 and 25610, or as required by any applicable federal, state, and/or local statute and/or ordinance if outside of California.
(5) Any handgun not actively being tested shall be locked in the safe or the secure room or box. Upon receipt, a handgun shall be placed in the laboratory's safe or the secure room or box until testing is commenced. Any handgun to be shipped from the laboratory shall be kept in the safe or secure room or locked metal box until arrival of the person authorized to receive the handgun or until laboratory personnel are prepared to transport the handgun for delivery to an authorized recipient.
(6) Any handgun that is lost or stolen shall be reported within ten (10) working days to the submitting manufacturer/importer, local law enforcement agency, and DOJ. The DOJ-Certified Laboratory shall maintain the following records relating to any such handguns: the type, make, model, caliber, barrel length, category, and serial number of the lost/stolen handgun; the date of the loss/theft; the date the loss/theft was reported to the submitting manufacturer/importer, local law enforcement, and DOJ; and any case/report number(s) assigned by the local law enforcement agency to the loss/theft. The DOJ-Certified Laboratory shall maintain these records for at least ten (10) years.
(b) The DOJ-Certified Laboratory shall at all times ensure that:
(1) All persons conducting, supervising and/or observing handgun testing under this program have and use personal safety equipment that meets or exceeds applicable current federal, state and/or local standards and the requirements of any occupational and/or industrial safety agency having jurisdiction over the laboratory and its activities.
(2) The design and operation of the laboratory's facilities meet or exceed applicable current federal, state and/or local standards and/or requirements.
(3) Laboratory testing staff are familiar with and exercise safe firearms handling and operational practices as defined in all applicable federal, state, and/or local laws.
(4) The following warning in block letters not less than one inch in height is conspicuously posted within all areas where drop testing is performed:
“NO AMMUNITION SHALL BE PRESENT IN OR AROUND THIS DROP TESTING AREA OR IN THE POSSESSION OF ANY PERSONNEL ACTIVELY ENGAGED IN CONDUCTING DROP TESTS.”
NOTE
Authority cited: Section 32010, Penal Code. Reference: Sections 16850, 25610 and 32010, Penal Code.
HISTORY
1. Change without regulatory effect renumbering section 968.41 to section 4057 filed 6-28-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 26).
2. Amendment of subsections (a)(1)(A) and (a)(4) filed 1-31-2011; operative 3-2-2011 (Register 2011, No. 5).
3. Change without regulatory effect amending subsections (a)(3)-(4) and Note filed 12-27-2011 pursuant to section 100, title 1, California Code of Regulations (Register 2011, No. 52).
§4058. Licensing/Minimum Standards Compliance.
Note • History
The DOJ-Certified Laboratory shall at all times:
(a) Comply with all applicable local, state, and/or federal laws relating to handgun testing.
(b) Ensure that any required licensing and/or approvals by any federal, state, and/or local agency having jurisdiction over this laboratory have been obtained and are maintained while holding a DOJ-Certification, including the required COE(s).
(c) Inform staff of any applicable federal, state, and/or local laws, which apply to the jurisdiction in which the laboratory does business, that prohibit a person from possessing firearms, and ensure that persons known to be prohibited from possessing firearms do not have access to, come into contact with, or possess firearms.
(d) Have in its possession at all times while holding DOJ-Certification the equipment identified in section 4052, subdivision (b)(1) of these regulations. The DOJ-Certified Laboratory shall maintain and/or calibrate the equipment in accordance with the equipment manufacturer's recommendations and requirements. The DOJ-Certified Laboratory shall ensure that records of such maintenance and calibration are available for use by testing personnel and for inspection by DOJ staff.
NOTE
Authority cited: Section 32010, Penal Code. Reference: Sections 23515, 26710, 29800, 29805, 29815, 29820, 29825, 29900, 31900 and 32010, Penal Code.
HISTORY
1. Change without regulatory effect renumbering section 968.42 to section 4058, including amendment of subsection (d), filed 6-28-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 26).
2. Amendment of subsection (d) filed 1-31-2011; operative 3-2-2011 (Register 2011, No. 5).
3. Change without regulatory effect amending subsection (d) and Note filed 12-27-2011 pursuant to section 100, title 1, California Code of Regulations (Register 2011, No. 52).
§4059. Which Handguns Must Be Tested, Who May Submit Handguns, Submission Requirements.
Note • History
(a) Pursuant to Penal Code section 32010, subdivision (a), any pistol, revolver, or other firearm capable of being concealed upon the person manufactured in this state, imported into the state for sale, kept for sale, or offered or exposed for sale, shall be tested by a DOJ-Certified Laboratory. The handguns submitted for testing shall not be modified in any way from those that would be sold if certification is granted. If it is determined by the DOJ that the handguns submitted for testing are modified in any way from those that are being sold after certification has been granted, that model will be immediately removed from the Roster of Certified Handguns.
(b) Pursuant to Penal Code section 32030, a handgun model shall be deemed not to be unsafe if another handgun model has already been determined not to be unsafe and the untested handgun differs from the tested handgun only as specified in subdivision (a) of that section. Such handguns will be reviewed on a case-by-case basis by the DOJ to determine whether or not a new test will be required.
(c) Other than the DOJ, only the manufacturer/importer of a handgun model is authorized to submit that handgun model to a DOJ-Certified Laboratory for testing.
(d) Three handguns of each model to be tested shall be submitted to the DOJ-Certified Laboratory. Manufacturers/Importers may supply any information that they believe may be needed by the laboratory for proper and safe operation of the handgun. The following information shall be supplied in the English language with each handgun model submitted for testing:
(1) Instructions for field disassembly/assembly and diagram(s) identifying all parts.
(2) Cleaning instructions. These may be different from and in addition to the instructions that are provided when the handgun model is sold.
(3) A description of each safety feature designed into the handgun, how each safety feature is intended to function, and for those under shooter control, how the shooter should operate (activate/deactivate) each safety feature.
(4) A statement regarding the ammunition the manufacturer/importer markets and/or recommends that the handgun being tested is designed to handle. This may also include information on ammunition known to be beyond the design limits of the handgun and/or known not to function in the handgun.
(5) On or after January 1, 2010, upon DOJ's certification that the microstamping technology described in Penal Code section 31910, subdivision (b)(7) is available to more than one manufacturer unencumbered by any patent restrictions, a statement by the manufacturer indicating that for each handgun of the make and model of semiautomatic pistol submitted for testing: (i) the pistol is designed and equipped with a FIN etched or otherwise imprinted in two or more places on the interior surface or internal working parts of the pistol that are transferred by imprinting on each cartridge case expended from the pistol when the pistol is fired; and (ii) the pistol's complete FIN can be identified from the one or more etchings on each cartridge casing.
(6) On or after January 1, 2010, upon DOJ's certification that the microstamping technology described in Penal Code section 31910, subdivision (b)(7) is available to more than one manufacturer unencumbered by any patent restrictions, the FIN for each handgun of the make and model of semiautomatic pistol to be tested. The FIN shall also be displayed or recorded on the manufacturer's packaging of any semiautomatic pistol which is manufactured, caused to be manufactured, imported into the state for sale, kept for sale, offered or exposed for sale, given, or lent in the state and subject to the microstamping requirement set forth in Penal Code section 31910, subdivision (b)(7). The FIN must be clearly marked as the FIN wherever the serial number of the pistol is displayed or recorded on the packaging of such a pistol.
(e) The manufacturer/importer shall be allowed, but not required, to provide the standard ammunition to be used during the firing test provided that, if applicable, it is the more powerful cartridge marketed/recommended by the manufacturer/importer. The manufacturer/importer shall be allowed to inspect any laboratory supplied standard ammunition before testing begins. The manufacturer/importer or DOJ-Certified Laboratory shall indicate the ammunition lot number on the Compliance Test Report. Notwithstanding the above, the DOJ may allow a handgun to be tested with newly designed non-standard ammunition that is not yet “available for purchase at consumer-level retail outlets.” Any such ammunition shall be commercially produced and factory loaded.
NOTE
Authority cited: Sections 31900, 31905 and 32010, Penal Code. Reference: Sections 16380, 16900, 17140, 31900, 31905, 31910, 32005, 32010, 32015, 32020, 32025 and 32030, Penal Code.
HISTORY
1. Change without regulatory effect renumbering section 968.43 to section 4059 filed 6-28-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 26).
2. Amendment of subsections (a) and (b), new subsections (d)(5)-(6) and amendment of subsection (e) filed 1-31-2011; operative 3-2-2011 (Register 2011, No. 5).
3. Change without regulatory effect amending subsections (a)-(b) and (d)(5)-(6) and amending Note filed 12-27-2011 pursuant to section 100, title 1, California Code of Regulations (Register 2011, No. 52).
Note • History
(a) The only persons allowed to conduct handgun testing are authorized staff of the DOJ-Certified Laboratory. In addition to this staff, representatives of the manufacturer/importer and/or the DOJ shall be allowed to be present during testing. Any such representative(s) shall not participate in the testing. However, if deemed necessary by the staff of the DOJ-Certified Laboratory, representative(s) of the manufacturer/importer may be asked to provide advice and/or guidance regarding the characteristics, handling, and/or operation of the handgun.
(b) Prior to beginning the required testing the DOJ-Certified Laboratory shall determine whether the safety device described in Penal Code section 31910(a)(1) or (b)(1) is present.
(1) If the DOJ-Certified Laboratory needs guidance in making this determination, the information required by section 4059, subdivision (d) of these regulations should be consulted. If the DOJ-Certified Laboratory is still not able to make this determination, they should contact the manufacturer/importer for additional information. Any additional information received from the manufacturer/importer shall be included with the information submitted pursuant to section 4059, subdivision (d) of these regulations.
(2) If a DOJ-Certified Laboratory is still uncertain whether a positive manually operated safety device is present on a pistol even after it receives additional information, the firing and drop tests should be performed. If the pistol passes these tests, the laboratory should submit the pistol to the DOJ with a letter explaining the steps taken to determine whether the positive manually operated safety device is present. The laboratory must indicate its preliminary decision regarding the positive manually operated safety device. The letter should also include any information that would support the position taken by the laboratory. This includes a description of the positive manually operated safety device(s) incorporated into the pistol's design and an explanation of how this design replicates the positive manually operated safety device of a pistol design that has already been determined to meet the standards promulgated by the ATF. The DOJ will use this information to determine whether the pistol can be sold in California.
(c)(1) Commencing May 22, 2006, the DOJ-Certified Laboratory shall conduct the required testing of a center-fire semiautomatic pistol only after ascertaining the firearm has a functioning chamber load indicator or a functioning magazine disconnect mechanism.
(2) Commencing January 1, 2007, the DOJ-Certified Laboratory shall conduct the required testing of a center-fire semiautomatic pistol which accepts a detachable magazine only after ascertaining the firearm has both a functioning chamber load indicator and a functioning magazine disconnect mechanism.
(3) Commencing May 22, 2006, the DOJ-Certified Laboratory shall conduct the required testing of a rim-fire semiautomatic pistol which accepts a detachable magazine only after ascertaining the firearm has a functioning magazine disconnect mechanism.
(4) On or after January 1, 2010, upon DOJ's certification that the microstamping technology described in Penal Code section 31910, subdivision (b)(7) is available to more than one manufacturer unencumbered by any patent restrictions, the DOJ-Certified Laboratory shall verify that every semiautomatic pistol complies with the microstamping requirement for semiautomatic pistols set forth in Penal Code section 31910, subdivision (b)(7) by following the procedures set forth in subdivisions (e),(g), and (h) of this section.
(d)(1) A functioning chamber load indicator must meet all of the following conditions:
(A) Explanatory text and/or graphics either incorporated within the chamber load indicator or adjacent to the chamber load indicator is/are permanently displayed by engraving, stamping, etching, molding, casting, or other means of permanent marking.
(B) Each letter of explanatory text must have a minimum height of 1/16 inch.
(C) The explanatory text and/or graphics shall be of a distinct visual contrast to that of the firearm.
(D) The “loaded” indication, that portion of the chamber load indicator that visually indicates there is a round in the chamber, shall be of a distinct color contrast to the firearm.
(E) Only when there is a round in the chamber, the “loaded” indication is visible on the firearm from a distance of at least twenty-four inches. When there is no round in the chamber, the “loaded” indication must not be visible.
(F) The text and/or graphics and the “loaded” indication together inform a reasonably foreseeable adult user of the pistol, that a round is in the chamber, without requiring the user to refer to a user's manual or any other resource other than the pistol itself.
(2) A functioning magazine disconnect mechanism must prevent the ammunition primer from being struck with a pull of the trigger or attempted pull of the trigger whenever a detachable magazine is not inserted in the pistol.
(e) Prior to conducting the “firing requirements for handguns” test of a semiautomatic pistol required by Penal Code section 31905, the DOJ-Certified Laboratory shall fire each handgun of that make and model of semiautomatic pistol two times. After firing the pistol two times, the DOJ-Certified Laboratory shall collect the two cartridge casings expended from that pistol, store the casings in a container labeled with the FIN of the pistol from which they were expended and indicating that the two cartridges were expended immediately preceding the firing test, and retain the casings for possible later analysis. The cartridge casings shall be analyzed pursuant to the procedures set forth in subdivision (h) of this section only upon successful completion of the “firing requirements for handguns” test of the semiautomatic pistol.
(f) The “firing requirement for handguns” is the first test to be undertaken by the DOJ-Certified Laboratory. The firing test shall be conducted in the manner prescribed in Penal Code section 31905 and in accordance with the following:
(1) For the purposes of determining whether a handgun passes the “firing requirement for handguns,” “malfunction” includes any failure to operate as designed including the failure of a pistol's slide to remain open after a manufacturer-approved magazine has been expended, provided that the handgun was designed by the manufacturer to remain open.
(2) If the manufacturer/importer markets and/or recommends that the handgun model is designed to handle multiple cartridges, the standard ammunition used during the firing test shall be the more powerful marketed/recommended cartridge. However, the DOJ-Certified Laboratory shall not use any standard ammunition known to be beyond the design limits of the handgun and/or known not to function in the handgun.
(3) If a pistol has multiple chambers the 600 rounds shall be evenly apportioned between the chambers.
(4) The DOJ-Certified Laboratory shall determine whether there is any crack or breakage of an operating part of the handgun that increases the risk of injury to the user, as set forth in Penal Code section 31905, subdivision (a)(2).
(5) Should a handgun fail the “firing requirements for handguns” test, three handguns of that make and model must be re-submitted for the firing test. Handguns that do not pass the “firing requirements for handguns” test may not be submitted for the “drop safety requirement for handguns” testing.
(g) As soon as possible after successful completion of the “firing requirements for handguns” test of a semiautomatic pistol, the DOJ-Certified Laboratory shall fire each handgun of that make and model of semiautomatic pistol two additional times. After firing the pistol two additional times, the DOJ-Certified Laboratory shall collect the two cartridge casings expended from that pistol and store the cartridges in a container labeled with the FIN of the pistol, indicating that the two cartridges were expended immediately following the firing test, and keeping them separate and apart from the cartridge casings expended and collected from the same pistol prior to conducting the “firing requirements for handguns” test pursuant to subdivision (e) of this section.
(h) In order to verify compliance with the microstamping requirement for semiautomatic pistols set forth in Penal Code section 31910, subdivision (b)(7), the DOJ-Certified Laboratory shall use the following procedures and criteria to examine the cartridge casings collected from each tested semiautomatic pistol (pursuant to subdivisions (e) and (g) of this section) to determine whether a FIN was transferred by imprinting onto each cartridge case when the pistol was fired.
(1) Using a stereo zoom microscope described in section 4052 of these regulations, the DOJ-Certified Laboratory shall examine each of the cartridge casings collected prior to and after the “firing requirements for handguns” test to verify that the pistol has transferred an imprint or etching in at least two places on each cartridge casing. So long as the pistol's complete FIN can be identified from the one or more etchings on each cartridge casing, the pistol will meet the microstamping requirements of Penal Code section 31910, subdivision (b)(7).
(2) The DOJ-Certified Laboratory shall take digital photographs sufficient to adequately document the markings made on the cartridge cases by the microstamp.
(3) The DOJ-Certified Laboratory shall repeat the examination process described above for each set of cartridge casings expended from each tested pistol of that make and model of semiautomatic pistol. If each cartridge casing from each set of expended cartridge casings satisfies paragraph (1) above, then the DOJ-Certified Laboratory shall certify that the model of semiautomatic pistol complies with the microstamping requirement set forth in Penal Code section 31910, subdivision (b)(7).
(i) The “drop safety requirement for handguns” is the last test to be undertaken by the DOJ-Certified Laboratory. The drop tests shall be conducted in the manner prescribed in Penal Code section 31900 and in accordance with the following:
(1) The drop height of 1 m + 1 cm - 0 cm (39.4 in. + 0.4 in. - 0 in.) shall be measured from the lowermost portion of the handgun as situated in the drop fixture to the top surface of the required concrete slab. The required concrete slab shall rest upon a firm surface and the face of the slab shall be perpendicular to the direction of the drop. If a handgun has an exposed hammer, the hammer shall be fully cocked during each drop test. When dropped the handgun shall initially strike the face of the required concrete slab and then come to rest without interference.
(2) The primed cases used during the drop test shall be produced by the ammunition manufacturer of and made from the same cases and primers as the standard ammunition that is used during the firing test as set forth in sections 4059, subdivision (e) and 4060, subdivision (e)(2) of these regulations.
(3) If a pistol has multiple chambers and/or firing pins, the tests shall be conducted as follows. For each of the drop tests a primed case will be placed in each chamber. If the hammer or firing pin alternates between chambers, the pistol will be dropped once for each hammer or firing pin position.
(4) Minimal damage, such as broken grips or sights, can and will occur during the course of the drop testing. Damage and/or breakage that affects the overall dimensions of the handgun shall be repaired prior to continuing the drop tests. After each of the first five drop tests the DOJ-Certified Laboratory shall determine whether the handgun has been rendered incapable of firing a primed case prior to conducting the next drop test. If so, the handgun model shall either be repaired, or the test shall be stopped and three new handguns must be submitted for testing beginning with the “firing requirement for handguns.”
(5) After examining the primed case(s) for indentations after each drop test, each primed case shall be fired to determine whether the primer was functional. If not, the drop test shall be repeated with a new primed case(s). A new primed case(s) will be used for the next drop test.
(6) Should a handgun fail the “drop safety requirement for handguns,” or be found incapable of firing a primed case, three new handguns of that make and model must be submitted for testing beginning with the “firing requirements for handguns” test.
(j) A DOJ representative may request and shall be provided with spent or unspent rounds of and/or the packaging for the standard ammunition that is being used for firing tests. A DOJ representative may also request and shall be provided with the packaging for and/or used or unused primed cases that are being used for drop tests.
(k) The same three handguns that pass the “firing requirements for handguns” test must also pass the “drop safety requirement for handguns” before that make and model can be considered for certification.
(l) The DOJ-Certified Laboratory shall report a handgun to the DOJ as “not unsafe” only if it has passed the required testing, has been found to comply with the microstamping requirement for semiautomatic pistols pursuant to subdivision (h) of these regulations, if applicable, and the laboratory has confirmed that any chamber load indicator and/or magazine disconnect identified pursuant to subdivisions (c) and (d) of this section continues to function upon completion of the required testing.
NOTE
Authority cited: Sections 16380, 16900, 17140, 31900, 31905, 31910 and 32010, Penal Code. Reference: Sections 16380, 16900, 17140, 31900, 31905, 31910, 32000, 32005, 32010, 32015, 32020, 32025 and 32030, Penal Code.
HISTORY
1. Change without regulatory effect renumbering section 968.44 to section 4060, including amendment of subsections (b)(1) and (f)(2), filed 6-28-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 26).
2. Amendment filed 1-31-2011; operative 3-2-2011 (Register 2011, No. 5).
3. Change without regulatory effect amending subsections (b)-(b)(1), (c)(4), (e)-(f), (f)(4), (h)-(h)(1) and (h)(3)-(i)(2) and amending Note filed 12-27-2011 pursuant to section 100, title 1, California Code of Regulations (Register 2011, No. 52).
Note • History
(a) If a handgun model is certified as having passed the required testing, the DOJ-Certified Laboratory shall submit to the DOJ a completed Compliance Test Report and one of the tested handguns in accordance with Penal Code section 32010, all expended casings collected from that one pistol pursuant to section 4060, subdivisions (e) and (g) of these regulations, and all photographs of expended casings taken pursuant to subdivision (h) of section 4060 of these regulations. The Compliance Test Report shall be on Form BOF 021 (Rev. 01/2012) which shall require all of the information identified in subdivision (a) of section 4062 of these regulations, and be signed by the person authorized to sign on behalf of the DOJ-Certified Laboratory. The DOJ will allow DOJ-Certified Laboratories to develop and use automated formats for the Compliance Test Report provided the proposed format presents the information in the same order and with the same wording as Form BOF 021 (Rev. 01/2012).
(b) The Compliance Test Report shall be submitted by the DOJ-Certified Laboratory within ten (10) working days of the completion of the testing. Failure to submit the required Compliance Test Report to the DOJ within the time frame identified above shall not invalidate the results of the testing. However, the DOJ-Certified Laboratory may be subject to inspection by the DOJ to determine whether grounds exist to revoke the DOJ-Certification.
(c) Manufacturers/Importers are prohibited from placing any statement on the handgun itself, the labeling, and/or accompanying user information that in any way states, implies, and/or otherwise suggests that the model has been determined not to be unsafe until such time as the model has successfully completed testing at a DOJ-Certified Laboratory, and a letter of compliance for the model tested has been issued to the manufacturer by the DOJ. At that time, the manufacturer/importer may place the following statement in the required user information:
“The manufacturer/importer certifies that this model of handgun has been tested and has been determined not to be an unsafe handgun as defined in California Penal Code section 31910.”
NOTE
Authority cited: Section 32010, Penal Code. Reference: Sections 31900, 31905, 32005, 32010, 32015, 32020, 32025 and 32030, Penal Code.
HISTORY
1. Change without regulatory effect renumbering section 968.45 to section 4061, including amendment of subsection (a), filed 6-28-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 26).
2. Amendment of subsection (a) filed 1-31-2011; operative 3-2-2011 (Register 2011, No. 5).
3. Change without regulatory effect amending subsections (a) and (c) and amending Note filed 12-27-2011 pursuant to section 100, title 1, California Code of Regulations (Register 2011, No. 52).
§4062. Required Records, Retention Periods, Reporting Changes.
Note • History
(a) The DOJ-Certified Laboratory shall for a minimum of five (5) years from the date of the Compliance Test Report maintain sufficient records to support the results of any and all such reports. The information required to be recorded, reported, and maintained is:
(1) The name and address of the DOJ-Certified Laboratory that conducted the test and the name of the person who should be contacted if there are any questions regarding the testing and/or the report.
(2) The name and address of the manufacturer/importer which submitted the handgun model for testing. If the DOJ submitted the model, this shall be noted in the records.
(3) The date and location of the testing. This includes any off-site equipment and/or facilities that are used during any portion of the testing.
(4) A unique reference number/identifier issued by the DOJ-Certified Laboratory for the testing.
(5) The type (pistol or revolver), make, model, caliber, barrel length, construction material, and serial numbers of all handguns that were tested. This includes “replacement” handguns as allowed by Penal Code section 31905, subdivision (b) and section 4060, subdivision (f)(4) of these regulations. The serial number of the handgun which was submitted to the DOJ shall also be identified.
(6) The manufacturer, cartridge, caliber, bullet weight and type, and the lot number of the standard ammunition that was used during the firing test.
(7) The manufacturer of the case and primer for the primed cases that were used during the drop test.
(8) Whether the required safety device was present or any information supporting the preliminary determination regarding the required safety device.
(9) Statement confirming the presence of any chamber load indicator and/or magazine disconnect required pursuant to Penal Code sections 16380, 16900, 17140, 31910, subdivision (b), and section4060, subdivisions (c), (d), and (h) of these regulations.
(10) The results of each phase of the following required testing: the initial 20 rounds; the entire 600 rounds; the normal firing position, barrel horizontal drop; the upside down, barrel horizontal drop; the on grip, barrel vertical drop; the on muzzle, barrel vertical drop; the on either side, barrel horizontal drop; and the exposed hammer/rearmost point of the device or handgun drop.
(11) The date the Compliance Test Report was submitted to the DOJ.
(12) A certification signed under penalty of perjury that standard ammunition was used during the firing test and that, if applicable, it was the more powerful cartridge marketed/recommended by the manufacturer/importer.
(13) The results of the examination of all expended cartridge casings collected pursuant to section 4060, subdivisions (e) and (g) of these regulations and examined pursuant to subdivision (h) of section 4060 of these regulations.
(b) The following records shall also be maintained by all DOJ-Certified Laboratories:
(1) A listing of any and all off-site locations that have been reported to the DOJ, and are or may be used by the DOJ-Certified Laboratory for handgun testing.
(2) A current agreement or contract for any 24 hour security guard system that is used to comply with section 4057, subdivision (a)(1)(B) of these regulations.
(3) A listing of all current employees who are directly involved in handgun testing as well as the COE number for those employees who possess a COE.
(4) Records relating to the current ownership of the laboratory.
(c) The DOJ-Certified Laboratory may record and maintain any other handgun testing records it deems necessary.
(d) The DOJ-Certified Laboratory shall report within ten (10) working days any changes:
(1) In the ownership, involvements, relationships, license prohibitions, and/or interests identified in section 4056 of these regulations and ensure that any such change would not constitute grounds for denial of an Application for DOJ-Certification, Form BOF 019 (Rev. 01/2012).
(2) Involving: management personnel, handgun testing supervisor(s) and/or personnel, persons authorized to sign Compliance Test Reports, person(s) who hold COE(s); and/or the handgun testing equipment and/or facilities of the laboratory.
NOTE
Authority cited: Sections 16380, 16900, 17140, 31910, 32005 and 32010, Penal Code. Reference: Sections 16380, 16900, 17140, 23515, 29800, 29805, 29815, 29820, 29825, 29900, 31900, 31905, 31910, 32000, 32005, 32010, 32015, 32020, 32025 and 32030, Penal Code.
HISTORY
1. Change without regulatory effect renumbering section 968.46 to section 4062, including amendment of subsections (a)(5), (a)(9) and (d)(1), filed 6-28-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 26).
2. Amendment filed 1-31-2011; operative 3-2-2011 (Register 2011, No. 5).
3. Change without regulatory effect amending subsections (a)(5), (a)(9), (a)(13), (b)(2) and (d)(1) and amending Note filed 12-27-2011 pursuant to section 100, title 1, California Code of Regulations (Register 2011, No. 52).
Note • History
(a) A DOJ-Certified Laboratory shall not be allowed to utilize any handgun testing equipment and/or facilities that are physically situated at a location other than the primary business address of the laboratory unless all of the following conditions are met:
(1) The off-site location is not more than 100 miles from the primary business address.
(2) The DOJ-Certified Laboratory provides the following information to the DOJ prior to beginning any testing at the off-site location: the name of the facility/owner, telephone number, physical address of the location; and the type of equipment and/or facilities to be used and/or the testing to be performed at each location.
(b) Notwithstanding subdivision (a) of this section, if more than one off-site location is needed for testing purposes, the applicant or DOJ-Certified Laboratory must submit a completed Request to Utilize an Additional Off-Site Location, Form BOF 020 (Rev. 01/2012) for each such location. As set forth in section 4065, subdivision (b)(4) of these regulations, the DOJ-Certified Laboratory shall pay the actual reasonable costs incurred by the DOJ during an on-site inspection of the location.
(c) The DOJ reserves the right to prohibit a DOJ-Certified Laboratory from conducting handgun tests at an off-site location if the results of any such testing could not be rendered fairly, impartially, and independent of any manufacturer, importer or other entity which has any direct and/or indirect economic interest in the results of the testing.
NOTE
Authority cited: Section 32010, Penal Code. Reference: Sections 31900, 31905 and 32010, Penal Code.
HISTORY
1. Change without regulatory effect renumbering section 968.47 to section 4063, including amendment of subsection (b), filed 6-28-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 26).
2. Amendment of subsection (b) filed 1-31-2011; operative 3-2-2011 (Register 2011, No. 5).
3. Change without regulatory effect amending subsection (b) and Note filed 12-27-2011 pursuant to section 100, title 1, California Code of Regulations (Register 2011, No. 52).
Note • History
(a) At any time during regular business hours and/or when testing is being conducted, the DOJ-Certified Laboratory shall allow reasonable access by any authorized DOJ employee(s), upon presentation of proper identification. The DOJ employee(s) will inspect facilities and records relating to handgun testing and observe any handgun tests being performed to ensure compliance with any applicable federal, state, and/or local law(s) and these regulations.
(b) Within six months of the date of DOJ-Certification the DOJ will conduct a follow-up on-site compliance inspection of the DOJ-Certified Laboratory to observe actual handgun testing and inspect equipment and facilities. As set forth in section 4065, subdivision (b)(3) of these regulations, the DOJ-Certified Laboratory shall pay the reasonable transportation costs incurred by the DOJ during this inspection.
(c) The DOJ-Certified Laboratory will be notified in writing of the results of any inspection conducted pursuant to this section within 15 days from the date of the completion of the inspection. The notification will include a list of any and all violations of any statute and/or these regulations and the action required to correct each violation.
(d) The corrective action(s) shall be completed within 15 days of the date of notification. An acknowledgment prepared by the DOJ to be signed by the owner, chief executive officer, or person with primary responsibility for the operation of the laboratory that they have been made aware of the violation(s), that the necessary corrective action(s) have been performed, and that all necessary action(s) will be taken to ensure that future violations do not occur. The acknowledgment shall be signed and returned to the DOJ within 15 days from the date of service of the notification unless the DOJ has determined that the violation requires immediate attention. If immediate attention is required, the DOJ-Certified Laboratory shall take the corrective action(s) within the time specified by the DOJ in the notification.
NOTE
Authority cited: Section 32010, Penal Code. Reference: Sections 16380, 16900, 17140, 31900, 31905, 31910, 32000, 32005 and 32010, Penal Code.
HISTORY
1. Change without regulatory effect renumbering section 968.48 to section 4064, including amendment of subsection (b), filed 6-28-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 26).
2. Amendment of subsection (b) and repealer of subsection (e) filed 1-31-2011; operative 3-2-2011 (Register 2011, No. 5).
3. Change without regulatory effect amending subsection (b) and Note filed 12-27-2011 pursuant to section 100, title 1, California Code of Regulations (Register 2011, No. 52).
Article 5. Application Fees
Note • History
(a) Pursuant to Penal Code sections 32010, subdivision (b), and 32015 through 32025, the DOJ shall recover the full costs of laboratory certifications and renewals.
(b) Standard Fees:
(1) Initial Application for DOJ-Certification, Form BOF 019 (Rev. 01/2012), including the costs of the pre-certification on-site inspection (staff salaries/wages, travel, lodging) as set forth in section4052, subdivision (b) of these regulations: $1,600.
(2) The actual costs associated with the post-DOJ-Certification follow-up on-site compliance inspection(s) as set forth in section 4064, subdivision (b) of these regulations, not to exceed $1,500.
(3) Renewal Application for DOJ-Certification, Form BOF 019 (Rev. 01/2012), including the costs of one on-site inspection (staff salaries/wages, travel, lodging) during the two-year term of the certification, as set forth in section 4064 of these regulations: $800.
(4) The actual reasonable costs (staff salaries/wages, travel, lodging) incurred during the inspection of each additional off-site location, not to exceed the state per-diem in effect at the time of the inspection.
NOTE
Authority cited: Section 32010, Penal Code. Reference: Sections 31900, 31905 and 32010, Penal Code.
HISTORY
1. Change without regulatory effect renumbering section 968.50 to section 4065, including amendment of subsections (b)(1) and (b)(2), filed 6-28-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 26).
2. Amendment filed 1-31-2011; operative 3-2-2011 (Register 2011, No. 5).
3. Change without regulatory effect amending section and Note filed 12-27-2011 pursuant to section 100, title 1, California Code of Regulations (Register 2011, No. 52).
Article 6. DOJ-Certification Revocation
§4066. DOJ-Certification Revocation.
Note • History
(a) A DOJ-Certification may be revoked. The following constitute grounds for revocation:
(1) Any act of gross negligence.
(2) Repeated acts of negligence.
(3) Any violation of these regulations and/or any applicable statute.
(4) Any of the grounds for denial stated in section 4053 of these regulations
(5) Refusal to participate in DOJ-initiated retesting or reinstatement testing as prescribed in sections 4073 and 4074 of these regulations.
(b) Any revocation action will be conducted in accordance with the Administrative Procedure Act, Government Code sections 11500 et seq.
(c) Upon revocation the laboratory will be removed from the roster of DOJ-Certified Laboratories.
NOTE
Authority cited: Section 32010, Penal Code. Reference: Sections 31900, 31905 and 32010, Penal Code; and Sections 11500, 11501, 11502, 11503, 11504, 11504.5, 11506, 11507, 11507.3, 11507.5, 11507.6, 11507.7, 11508, 11509, 11511, 11511.5, 11511.7, 11512, 11513, 11514, 11515, 11516, 11517, 11518, 11518.5, 11519, 11519.1, 11520, 11521, 11522, 11523, 11524, 11526, 11527, 11528 and 11529, Government Code.
HISTORY
1. Change without regulatory effect renumbering section 968.60 to section 4066, including amendment of subsection (a)(4) and (a)(5), filed 6-28-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 26).
2. Amendment of subsections (a)(4) and (a)(5) filed 1-31-2011; operative 3-2-2011 (Register 2011, No. 5).
3. Change without regulatory effect amending subsection (b) and Note filed 12-27-2011 pursuant to section 100, title 1, California Code of Regulations (Register 2011, No. 52).
Article 7. DOJ-Certification Renewal: DOJ-Certification Renewal Procedures; DOJ-Certification After Expiration
§4067. DOJ-Certification Renewal Procedures.
Note • History
A DOJ-Certification must be renewed prior to expiration in order to remain valid. The following is the procedure for DOJ-Certification renewal:
(a) The DOJ will mail an application to each DOJ-Certified Laboratory 60 days prior to the expiration date of the DOJ-Certification.
(b) The DOJ-Certified Laboratory wishing to renew the DOJ-Certification shall submit to the DOJ an Application for DOJ-Certification, Form BOF 019 (Rev. 01/2012), with the renewal fee set forth in section 4065, subdivision (b)(3) of these regulations.
(c) Once these requirements are met and the application has been processed, the DOJ will send a renewed DOJ-Certification.
(d) If a laboratory fails to comply with these renewal requirements, the DOJ-Certification shall expire by operation of law at midnight on the expiration date stated on the DOJ-Certification.
NOTE
Authority cited: Section 32010, Penal Code. Reference: Sections 16380, 16850, 16900, 17140, 23515, 25610, 29800, 29805, 29815, 29820, 29825, 29900, 31900, 31905, 31910, 32005, 32010, 32015, 32020, 32025 and 32030, Penal Code.
HISTORY
1. Change without regulatory effect renumbering section 968.70 to section 4067, including amendment of subsection (b), filed 6-28-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 26).
2. Amendment of subsection (b) filed 1-31-2011; operative 3-2-2011 (Register 2011, No. 5).
3. Change without regulatory effect amending article heading, subsection (b) and Note filed 12-27-2011 pursuant to section 100, title 1, California Code of Regulations (Register 2011, No. 52).
§4068. DOJ-Certification After Expiration.
Note • History
When a DOJ-Certification has expired and not been renewed prior to the stated expiration date, the person, firm, or corporation shall make a new application to the DOJ on an Application for DOJ-Certification, Form BOF 019 (Rev. 01/2012), together with the initial application fee set forth in section 4065, subdivision (b)(1) of these regulations.
NOTE
Authority cited: Section 32010, Penal Code. Reference: Sections 31900, 31905, 32000 and 32010, Penal Code.
HISTORY
1. Change without regulatory effect renumbering section 968.71 to section 4068, including amendment of section, filed 6-28-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 26).
2. Amendment filed 1-31-2011; operative 3-2-2011 (Register 2011, No. 5).
3. Change without regulatory effect amending section and Note filed 12-27-2011 pursuant to section 100, title 1, California Code of Regulations (Register 2011, No. 52).
Article 8. Service of Notices, Orders, and Communications
§4069. Service of Notices, Orders, and Communications.
Note • History
(a) Except as otherwise provided by law or in these regulations, notices, orders, and other communications may be sent by United States mail, electronic transmission, and/or common carrier to an applicant or DOJ-Certified Laboratory at the address of the applicant or DOJ-Certified Laboratory as shown on the application or DOJ-Certification.
(b) Notices and orders shall be deemed to have been served upon their deposit, first-class postage prepaid, in the United States mail, and the time specified in any such notice shall commence to run from the date of such mailing.
NOTE
Authority cited: Sections 32005, 32010, 32015, 32020, 32025 and 32030, Penal Code. Reference: Sections 16380, 16900, 17140, 31900, 31905, 31910, 32005, 32010, 32015, 32020, 32025, 32030, 32100, 32105 and 32110, Penal Code.
HISTORY
1. Change without regulatory effect renumbering section 968.80 to section 4069 filed 6-28-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 26).
2. Change without regulatory effect amending Note filed 12-27-2011 pursuant to section 100, title 1, California Code of Regulations (Register 2011, No. 52).
Article 9. Roster of Certified Handguns; Roster of Certified Handgun Listing Renewal Procedures
§4070. Roster of Certified Handguns.
Note • History
(a) Within ten (10) days of the receipt of the Compliance Test Report, Form BOF 021 (Rev. 01/2012), and one prototype handgun, from the DOJ-Certified Laboratory; and the receipt of the initial annual listing fee from the manufacturer/importer, the DOJ will determine whether the handgun is not unsafe and may be sold in California. After the determination that the model may be listed, the DOJ will add the handgun model to the Roster of Certified Handguns. The listing will be valid for one year from the date the model was added to the Roster, and shall be renewed as set forth in section 4071 of these regulations.
(b) Within ten (10) days of the receipt of the initial annual listing fee and a request from a manufacturer/importer to have a handgun model added to the Roster pursuant to Penal Code section 32030, the DOJ will determine whether the handgun model may be listed without testing. After the determination that the model may be listed, the DOJ will add the handgun model to the Roster. The listing will be valid for one year from the date the model was added to the Roster, and shall be renewed as set forth in section 4071 of these regulations.
(c) A handgun model may be removed from the Roster for any of the following reasons:
(1) If the annual maintenance fee is not paid as set forth in Penal Code section 32015, subdivision (b).
(2) If it is determined that the handgun models submitted for testing were modified in any way from those that were sold after certification was granted.
(3) If it is determined that the handgun is in fact unsafe based upon further testing.
(d) A handgun model may remain on the Roster after a manufacturer/importer discontinues manufacturing/importing the model or goes out of business provided that all of the following requirements are met:
(1) Evidence is provided that the manufacturer/importer has either discontinued manufacturing/importing the handgun model or gone out of business.
(2) The manufacturer/importer is no longer offering the handgun model to licensed firearms dealers.
(3) Either a fully licensed wholesaler, distributor, or dealer submits a written request to continue the listing and agrees to pay the annual maintenance fee as set forth in section 4072 of these regulations. The request shall be submitted to the DOJ stating that all of the above conditions have been met.
(e) A manufacturer/importer or other responsible party may submit a written request to list a handgun model that was voluntarily discontinued or was removed for lack of payment of the annual maintenance fee. The written request must state that no modifications have been made to the model and be submitted to the DOJ together with the annual listing fee as set forth in section 4072 of these regulations. If approved, the listing will be valid for one year from the date the model was added to the Roster, and shall be renewed as set forth in section 4071 of these regulations.
NOTE
Authority cited: Sections 32015 and 32030, Penal Code. Reference: Sections 16380, 16900, 17140, 31900, 31905, 31910, 32000, 32005, 32010, 32015, 32020, 32025, 32030, 32100, 32105 and 32110, Penal Code.
HISTORY
1. Change without regulatory effect renumbering section 968.90 to section 4070, including amendment of subsections (a), (b) and (e), filed 6-28-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 26).
2. Amendment filed 1-31-2011; operative 3-2-2011 (Register 2011, No. 5).
3. Change without regulatory effect amending subsections (a)-(b) and (c)(1) and amendment of Note filed 12-27-2011 pursuant to section 100, title 1, California Code of Regulations (Register 2011, No. 52).
§4071. Roster of Certified Handgun Listing Renewal Procedures.
Note • History
A handgun model listing on the Roster of Certified Handguns must be renewed prior to expiration in order to remain valid. The following is the procedure for renewal of a listing:
(a) The DOJ will mail a renewal notice to each manufacturer/importer or other responsible person 60 days prior to the expiration of the handgun model listing.
(b) The manufacturer/importer or other responsible person wishing to renew the listing shall submit to the DOJ a copy of the renewal notice with the annual maintenance fee set forth in section 4072 of these regulations.
(c) Once these requirements are met and the request has been processed, the DOJ will send a notification that the listing has been renewed.
(d) If the manufacturer/importer or other responsible person fails to comply with these renewal requirements, the handgun model listing shall expire by operation of law at midnight on the date of expiration of the listing and the model will be removed from the Roster.
NOTE
Authority cited: Sections 32015 and 32030, Penal Code. Reference: Sections 16380, 16900, 17140, 31900, 31905, 31910, 32000, 32005, 32010, 32015, 32020, 32025, 32030, 32100, 32105 and 32110, Penal Code.
HISTORY
1. Change without regulatory effect renumbering section 968.91 to section 4071, including amendment of subsection (b), filed 6-28-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 26).
2. Amendment of subsection (b) filed 1-31-2011; operative 3-2-2011 (Register 2011, No. 5).
3. Change without regulatory effect amending Note filed 12-27-2011 pursuant to section 100, title 1, California Code of Regulations (Register 2011, No. 52).
Article 10. Fees for the Roster of Certified Handguns
§4072. Fees for the Roster of Certified Handguns.
Note • History
(a) Pursuant to Penal Code section 32015, subdivision (b) the DOJ shall recover the full costs of creating and maintaining the Roster of Certified Handguns by collecting fees from manufacturers/importers of or other parties responsible for handgun models that are listed on the Roster of Certified Handguns.
(b) Standard Fees:
(1) Initial annual listing fee: $200 for each model
(2) Annual maintenance fee for listing: $200 for each model
(c) Annual maintenance fees are non-refundable. There is no refund or rebate for discontinuation prior to completion of a full year's listing on the Roster.
NOTE
Authority cited: Sections 32015 and 32030, Penal Code. Reference: Sections 16380, 16900, 17140, 31910, 32005, 32010, 32015, 32020, 32025 and 32030, Penal Code.
HISTORY
1. Change without regulatory effect renumbering section 968.95 to section 4072 filed 6-28-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 26).
2. Amendment of subsection (a) filed 1-31-2011; operative 3-2-2011 (Register 2011, No. 5).
3. Change without regulatory effect amending subsection (a) and Note filed 12-27-2011 pursuant to section 100, title 1, California Code of Regulations (Register 2011, No. 52).
§4073. Annual Retest of up to 5 Percent of Certified Handgun Models.
Note • History
(a) Handguns may be selected for retesting randomly, or in instances where the DOJ has reason to believe, or the DOJ has received a substantiated written expressed concern, that a handgun may not be compliant with the law, the DOJ may independently choose a model for retesting. The DOJ will randomly select a laboratory to conduct retesting. The selected laboratory will be in good standing and will not have conducted the original test that resulted in the selected handgun's approval.
(b) All three handgun samples selected for retesting shall be identical to the model originally submitted to the DOJ for approval, including, but not limited to: caliber, finish, sights, magazine, and grips. The DOJ will pay all costs associated with the retest under section 4073 of these regulations.
(c) If a handgun model fails retesting, the DOJ shall remove the handgun model from the Roster of Certified Handguns within 48 hours of receipt and review of the Retest Compliance Test Report (on a form prescribed by the DOJ).
(1) If a handgun model selected for retesting fails, and that model was originally tested under Penal Code sections 31905 and 31900, all other handguns that were approved as “similars” under Penal Code section 32030 based on the results of that original test, will simultaneously be removed from the Roster.
(2) If a handgun model selected for retesting fails, and that model was originally approved as a “similar” under Penal Code section 32030, the handgun originally submitted for testing under Penal Code sections 31905 and 31900, as well as all other handguns that were approved as “similars” based on the original test, will simultaneously be removed from the Roster.
(d) Upon receipt and review of a Retest Compliance Test Report showing a handgun failing the testing procedure, a Notice of Removal will be sent by DOJ within 48 hours to the manufacturer or importer who originally submitted the handgun for testing or listing.
(e) Handguns removed from the Roster as a result of failed retesting will not be credited or refunded any fees, including, but not limited to, initial annual listing fees and annual maintenance fees.
NOTE
Authority cited: Section 32020, Penal Code. Reference: Sections 32015, 32020 and 32025, Penal Code.
HISTORY
1. Change without regulatory effect renumbering section 968.97 to section 4073, including amendment of subsection (b), filed 6-28-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 26).
2. Amendment of subsections (b) and (c)(1)-(2) filed 1-31-2011; operative 3-2-2011 (Register 2011, No. 5).
3. Change without regulatory effect amending subsections (c)(1)-(2) and amendment of Note filed 12-27-2011 pursuant to section 100, title 1, California Code of Regulations (Register 2011, No. 52).
§4074. Reinstatement of Handguns Removed from the Roster of Certified Handguns.
Note • History
(a) The DOJ will only recognize reinstatement testing requests made by a responsible party. The requestor will be responsible for the reinstatement testing costs and the annual maintenance fee as set forth in section 4072 of these regulations. Reinstatement testing costs must be paid prior to testing.
(b) Reinstatement testing will be conducted in accordance with section 4073 of these regulations. Reinstatement testing shall be conducted by the same laboratory that performed the original retest, using the same ammunition brand and cartridge, and test personnel, unless otherwise authorized by the DOJ.
(c) Upon the successful reinstatement of a handgun the DOJ may, on a case-by-case basis, reinstate “similar” handguns without retesting in accordance with Penal Code section 32030.
(d) If a handgun model has passed the required reinstatement testing, the DOJ-Certified Laboratory shall submit to the DOJ a completed Reinstatement Test Compliance Report (on a form prescribed by the DOJ) and one of the tested handguns within ten (10) working days of the completion of the testing. The Reinstatement Compliance Report shall require all of the information identified in section 4062, subdivision (a) of these regulations, and be signed by the person authorized to sign on behalf of the DOJ-Certified Laboratory. Failure to submit the required Reinstatement Compliance Test Report to the DOJ within the time frame above shall not invalidate the results. However, the DOJ-Certified Laboratory may be subject to inspection by the DOJ to determine whether grounds exist to revoke the DOJ-Certification.
(e) If the handgun model fails reinstatement testing, the DOJ-Certified Laboratory shall provide to the DOJ a Reinstatement Test Compliance Report (on a form prescribed by the DOJ) within ten (10) working days of the completion of the testing. Failure to submit the required Reinstatement Compliance Test Report to the DOJ within the time frame above shall not invalidate the results. However, the DOJ-Certified Laboratory may be subject to inspection by the DOJ to determine whether grounds exist to revoke the DOJ-Certification.
(f) Reinstatement testing fees are not refundable regardless of test results.
(g) Handguns reinstated to the Roster upon successful completion of the reinstatement process will be subject to renewal at the annual expiration date established prior to removal from the Roster.
NOTE
Authority cited: Section 32025, Penal Code. Reference: Sections 32015, 32020 and 32025, Penal Code.
HISTORY
1. Change without regulatory effect renumbering section 968.99 to section 4074, including amendment of subsections (a), (b) and (d), filed 6-28-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 26).
2. Amendment of subsections (a)-(d) filed 1-31-2011; operative 3-2-2011 (Register 2011, No. 5).
3. Change without regulatory effect amending subsections (c)-(d) and amendment of Note filed 12-27-2011 pursuant to section 100, title 1, California Code of Regulations (Register 2011, No. 52).
§4075. Application for Approval of Alternative Method of Microstamping Technology.
Note • History
(a) On or after January 1, 2010, upon DOJ's certification of a microstamping technology pursuant to Penal Code section 31910, subdivision (b)(7) any person or corporation may apply to the Attorney General for approval of an alternative method of microstamping technology.
(b) The application for such approval must be in writing, and must include the following information:
(1) A description of the alternative method of microstamping technology, including a statement explaining how the alternative microstamping method identifies the specific serial number of a pistol from spent cartridge casings discharged by that pistol.
(2) Verification that the alternative method of microstamping technology is unencumbered by any patent restrictions. For purposes of this paragraph, “verification” includes, but is not limited to, the following information: A search, initiated, and paid for by the applicant and conducted by a licensed patent attorney, of the United States Patent Office records within the past 30 days indicating that the alternative method of microstamping technology is unencumbered by any patent restrictions.
(3) A report from a DOJ-Certified Laboratory indicating that the alternative method of microstamping technology has been tested by the DOJ-Certified Laboratory as follows:
(A) The DOJ-Certified Laboratory conducted a firing test as described in Penal Code section 31905 and complied with section 4060, subdivisions (e) and (g) of these regulations for each of the pistols.
(B) The DOJ-Certified Laboratory examined the first two and last two expended cartridge casings from each pistol (collected pursuant to section 4060, subdivisions (e) and (g) of these regulations) and, using a stereo zoom microscope described in section 4052 of these regulations, was able to identify the specific serial number of the firing pistol on each expended cartridge.
(C) The DOJ-Certified Laboratory took digital photographs sufficient to adequately document the markings made on the cartridge cases by the microstamp and included such photographs in the application for certification of an alternative microstamping method.
(c) Upon receipt of a complete application, the Attorney General shall determine both of the following in order to approve the alternative method of microstamping:
(1) That the alternative method of microstamping technology is a method of equal or greater reliability and effectiveness than the method of microstamping described in Section 4060, subdivision (h) of these regulations based upon findings that (1) the method satisfies the requirements of paragraphs (1) and (2) of subdivision (b) of this section; (2) the method utilizes a unique identifier that can be used to ascertain the serial number of the firing pistol; and (3) the method permits the firing weapon to be identified after examination of the spent cartridge casings through AFS.
(2) Certification that the alternative method of microstamping technology is unencumbered by any patent restrictions.
(d) The Attorney General shall notify the applicant in writing of the intent to approve, or the denial of any application for approval of alternative method of microstamping, within 90 days of receiving a complete application. However, notification of the intent to approve an alternative method of microstamping shall not constitute approval by the Attorney General of that alternative method of microstamping technology.
(e) If the approval or denial determinations are delayed by circumstances beyond the control of the Attorney General, the Attorney General shall notify the applicant in writing about when the approval or denial determinations are expected to be made.
(f) Certification and approval of an alternative method of microstamping technology by the Attorney General shall only be made by notice via regulations adopted by the Attorney General for purposes of implementing the alternative method of microstamping technology.
NOTE
Authority cited: Section 31910, Penal Code. Reference: Sections 16380, 16900, 17140, 31905, 31910 and 32000, Penal Code.
HISTORY
1. New article 11 (section 4075) and section filed 1-31-2011; operative 3-2-2011 (Register 2011, No. 5).
2. Change without regulatory effect amending subsections (a), (b)(3)(A)-(B) and (c)(1) and amendment of Note filed 12-27-2011 pursuant to section 100, title 1, California Code of Regulations (Register 2011, No. 52).
Chapter 6. Certified Firearm Safety Device Laboratories, Firearm Safety Device Standards and Testing, and Standards for Gun Safes
Article 1. General: Title; Scope; Extensions for Compliance
Note • History
(a) This chapter shall be known as “Department of Justice Regulations For Certified Firearm Safety Device Laboratories, Firearm Safety Device Standards and Testing, and Standards For Gun Safes,” may be cited as such, and is herein referred to as “these regulations.”
(b) The provisions of these regulations implement, interpret, and make specific the laboratory certification and firearm safety device (FSD) testing programs mandated by Penal Code sections 16540, 16610, 16870, and 23620 through 23690, which became effective January 1, 2000. These regulations also establish procedures to create and maintain both a roster of FSD laboratories and a roster of certified FSDs. These regulations additionally establish standards for gun safes and FSD standards and testing requirements. These regulations also apply to any person, firm, and/or corporation that wishes to become a Certified FSD Laboratory.
NOTE
Authority cited: Sections 23650 and 23655, Penal Code. Reference: Sections 23650 and 23655, Penal Code.
HISTORY
1. Change without regulatory effect renumbering division 1, chapter 12.6 (articles 1-8, sections 977.10-977.90) to division 5, chapter 6 (articles 1-8, sections 4080-4109) and renumbering section 977.10 to section 4080 filed 6-28-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 26).
2. Change without regulatory effect amending chapter heading, section and Note filed 12-27-2011 pursuant to section 100, title 1, California Code of Regulations (Register 2011, No. 52).
§4081. Extensions for Compliance.
Note • History
If a Certified FSD Laboratory provides the Department of Justice (DOJ) with written proof that through no fault of its own it is not able to meet a deadline provided for in these regulations, the DOJ may grant a temporary extension of time to meet that deadline. Any such extension shall be in writing and shall designate a specific time period for the extension.
NOTE
Authority cited: Sections 23650 and 23655, Penal Code. Reference: Sections 23650 and 23655, Penal Code.
HISTORY
1. Change without regulatory effect renumbering section 977.15 to section 4081 filed 6-28-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 26).
2. Change without regulatory effect amending section and Note filed 12-27-2011 pursuant to section 100, title 1, California Code of Regulations (Register 2011, No. 52).
Article 2. Definition of Key Terms
§4082. Definition of Key Terms.
Note • History
(a) “ATF” means the United States Department of Justice, Bureau of Alcohol, Tobacco, Firearms and Explosives.
(b) “Certified FSD Laboratory” means a laboratory that has been granted FSD Laboratory Certification by the DOJ.
(c) “COE” means a Certificate of Eligibility issued by the DOJ pursuant to Penal Code section 26710, subdivision (a) through (c) and the regulations issued thereunder after a check of state and federal files has determined that at the time the check was performed, and based upon available information, the applicant was not a person who was prohibited from possessing firearms pursuant to state and federal laws.
(d) “Common household tools” means screwdrivers (8 to 10 inches in length, flathead or phillips, flathead sizes up to 5/8 inches), pipe wrenches (9 1/2 to 10 inches in length), vice grip pliers (9 1/2 to 10 inches in length), other pliers (9 1/2 to 10 inches arch joint, 6 to 6 1/2-inch slip joint, 6 to 6 1/2-inch long nose), hacksaws (12-inch standard carbon steel blade), crowbars (16-inch), electric/cordless drills (1/3 horsepower corded/9.6 volt cordless), hammers (16-ounce), chisels (1/4-inch to 1-inch blade width wood chisels), and crescent wrenches (10-inch).
(e) “Completed application” means a completed Application for Firearm Safety Device Laboratory Certification, Form BOF 019A (Rev. 01/2012), including application copies of any applicable licenses and/or certificates; any additional sheets of paper used to provide full and complete answers to questions on the application; and copies of the laboratory's written procedures relating to security and prohibited persons.
(f) “Corporation” means any entity organized under Corporations Code section 102, subdivision (a) or similar statute if not a California corporation.
(g) “Day” means a calendar day unless otherwise specified in these regulations.
(h) “Disabled” means defeating the FSD thereby rendering the firearm capable of firing (expelling a projectile by the force of an explosion or other form of combustion).
(i) “DOJ” means the California Department of Justice.
(j) “DOJ-approved FSD” means an FSD that has been tested by a Certified FSD Laboratory, has been determined to meet the standards for FSDs, and may be sold in California pursuant to Penal Code section 23650.
(k) “Firearms manufacturer/importer” means either a licensed manufacturer of domestically produced firearms or, if one exists, a legal successor-in-interest or other person with the consent of the manufacturer; and/or a federally licensed importer of foreign manufactured firearms.
(l) “FSD” means a device that locks and is designed to prevent children and unauthorized users from firing a firearm. The device may be installed on a firearm, be incorporated into the design of a firearm, or prevent access to the firearm.
(m) “Firearms Safety Device Compliance Test Report” means a report completed by a Certified FSD Laboratory after an FSD has met the requirements of Penal Code section 23650 and these regulations.
(n) “FSD manufacturer or dealer” means either a manufacturer of FSDs or a dealer of FSDs.
(o) “Firing chamber” means the chamber that is lined up with the firing pin or striker.
(p) “Firm” means a business unit, enterprise, or partnership of two or more persons, that is not recognized as a legal person distinct from the members comprising the entity.
(q) “FSD Laboratory Certification” means the DOJ certificate issued as evidence of compliance with the DOJ laboratory certification requirements as set forth in these regulations.
(r) “Keyway” means the opening in a locked cylinder that is shaped to accept a key bit or blade of a proper configuration.
(s) “Local license” means any regulatory and/or business license issued by a city, county, or other local government agency.
(t) “Model” means the manufacturer's designation which uniquely identifies a specific design of FSD.
(u) “Plug” means the part of a cylinder which contains the keyway, with tumbler chambers usually corresponding to those within the cylinder shell.
(v) “Properly installed” means the FSD is installed according to the instructions provided by the FSD manufacturer or dealer.
(w) “Reasonable access” means that areas and/or items to be inspected by an authorized DOJ employee are free from physical obstruction and/or other impediments that would make access difficult and/or unsafe.
(x) “Roster of Approved Firearm Safety Devices” means a DOJ list of all DOJ-approved FSDs. The roster shall list, for each DOJ-approved FSD, the manufacturer, model number, model name, and other information deemed necessary by the DOJ to facilitate identifying that FSD.
(y) “Lock box” means an FSD that fully contains and encloses the firearm(s).
NOTE
Authority cited: Sections 23650 and 23655, Penal Code. Reference: Sections 23650 and 23655, Penal Code.
HISTORY
1. Change without regulatory effect renumbering section 977.20 to section 4082 filed 6-28-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 26).
2. Change without regulatory effect amending section and Note filed 12-27-2011 pursuant to section 100, title 1, California Code of Regulations (Register 2011, No. 52).
Article 3. Certified Firearm Safety Device Laboratories
§4083. Who Must be a Certified Firearm Safety Device Laboratory.
Note • History
(a) Any laboratory wishing to participate in the testing program described in these regulations must first become a Certified FSD Laboratory.
(b) Any proposed change in the ownership of five percent or more of a Certified FSD Laboratory from that reported on the initial application shall require the submission of an Application for Firearms Safety Device Laboratory Certification Form BOF 019A (Rev. 01/2012), by the proposed ownership entity or owners.
NOTE
Authority cited: Sections 23650 and 23655, Penal Code. Reference: Sections 23650 and 23655, Penal Code.
HISTORY
1. Change without regulatory effect renumbering section 977.30 to section 4083 filed 6-28-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 26).
2. Change without regulatory effect amending article heading, section heading, subsection (b) and Note filed 12-27-2011 pursuant to section 100, title 1, California Code of Regulations (Register 2011, No. 52).
§4084. Application for Firearms Safety Device Laboratory Certification.
Note • History
The DOJ shall accept completed applications from laboratories seeking an FSD Laboratory Certification. Application for certification shall be made on an Application for Firearms Safety Device Laboratory Certification Form BOF 019A (Rev. 01/2012), which shall include the following information:
(a) Laboratory information: name of applicant laboratory; physical and mailing addresses; telephone and fax numbers; local licensing authority, business license number, and expiration date; the name of the local law enforcement agency with jurisdiction over the laboratory; state corporation/partnership number and expiration date; federal firearms license number, type, and expiration date (if licensed); business hours; e-mail address (if applicable); and copies of licenses and/or certificates identified on the application.
(b) COE holder information: name, title, COE number, and COE expiration date of any owner, chief executive officer, or person who possesses or has applied for a COE and who is authorized to sign compliance test reports.
(c) Ownership information: ownership structure; the name, title/relation to laboratory/percentage owned and/or controlled, address, telephone and fax numbers, state corporation/partnership number and expiration date, and local business license number and expiration date of any owner that is not a natural person; and the name, title/relation to laboratory/percentage owned and/or controlled, address, and telephone number of each owner, partner, officer, director and any person who owns and/or exercises control of five percent or more of outstanding common stock; and if a corporation or partnership either original certified copies of the articles of incorporation or a current roster of general and limited partners.
(d) Facility management and testing supervision information: name and title of the manager or director of the laboratory and/or unit of the laboratory that will conduct FSD tests, the person(s) supervising FSD tests (if different from the manager or director), and person(s) participating and/or performing FSD tests (if different); a copy of the laboratory's security procedures; the name, address, and telephone number of any 24-hour security service or monitored alarm system that is employed by the laboratory, and a copy of the contract for services; and a copy of the procedures for ensuring that persons prohibited from possessing firearms will not have access to firearms, and a description of the method to be used to identify any such persons.
(e) A signed certification regarding: possession of the required equipment (whether the laboratory will obtain the required equipment at the time the application is submitted or at a later date); the maintenance and calibration of that equipment; compliance with safety, design, operation, and licensing and approval requirements; the signature of the authorized representative; and the county, state, and date of signature.
(f) Off-site location information, if applicable: name of the owner; telephone number; physical address; and the testing to be performed and/or equipment to be used at the off-site location (if more than one off-site location is desired, the applicant must also complete a Request to Utilize an Additional Off-site Location Form BOF 020A (Rev. 01/2012).
(g) Authorized representative information: name and title of the person who has the legal authority to sign the application and attest to the required matters on behalf of the applicant laboratory, signed certification of the authorized representative, the county, state, and date of signature, and statements of certification that the laboratory agrees to give complete and truthful answers to questions that are pertinent to the laboratory's ability to perform FSD tests and to comply with all applicable federal, state, and/or local laws and/or regulations that relate to laboratory certification or FSD testing.
(h) A signed certification stating that the laboratory and/or owner is free from any conflicts of interest as defined by section 4090 of these regulations; the signature of the authorized representative; and the county, state, and date of signature.
(i) A signed certification ensuring: the notification to staff of laws relating to prohibitions against firearms possession, ensuring that prohibited persons do not have access to, come into contact with, and/or possess firearms; the laboratory obtaining and maintaining any required federal, state, and/or local licenses; and the laboratory complying with all applicable federal, state, and/or local laws and/or regulations; the signature of the authorized representative; and the county, state, and date of signature.
NOTE
Authority cited: Sections 23650 and 23655, Penal Code. Reference: Sections 23650 and 23655, Penal Code.
HISTORY
1. Change without regulatory effect renumbering section 977.31 to section 4084, including amendment of subsection (h), filed 6-28-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 26).
2. Change without regulatory effect amending section and Note filed 12-27-2011 pursuant to section 100, title 1, California Code of Regulations (Register 2011, No. 52).
§4085. Pre-Certification Requirements.
Note • History
(a) One or more of the owner(s), chief executive officer(s), or person(s) with primary responsibility for the operation of the laboratory shall obtain and maintain a valid COE as a condition of obtaining and maintaining certification.
(b) Once a completed application has been received, the DOJ shall schedule an on-site inspection of the applicant laboratory. During this inspection the applicant laboratory shall demonstrate its possession of all necessary equipment and its ability to properly conduct all of the procedures and tests described in section 4095 of these regulations.
NOTE
Authority cited: Sections 23650 and 23655, Penal Code. Reference: Sections 23650 and 23655, Penal Code.
HISTORY
1. Change without regulatory effect renumbering section 977.32 to section 4085, including amendment of subsection (b), filed 6-28-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 26).
2. Change without regulatory effect amending Note filed 12-27-2011 pursuant to section 100, title 1, California Code of Regulations (Register 2011, No. 52).
Note • History
(a) An initial Application for FSD Laboratory Certification shall be denied if the applicant laboratory:
(1) Makes false statements on the application.
(2) Fails to meet the security requirements identified in section 4091, subdivision (a) of these regulations.
(3) Is wholly or partly owned by, a part of, financed by, or in any other way financially supported by any firearms and/or FSD manufacturer/importer, wholesaler, distributor, or dealer. As used in this subdivision, financial support does not apply to situations wherein an applicant laboratory provides testing services to a firearms and/or FSD manufacturer/importer, wholesaler, distributor, or dealer.
(4) Fails to demonstrate the ability to conduct the required testing as set forth in section 4095 of these regulations in an impartial, technically sound manner. Failure includes not having and using the equipment required by said subdivision.
(5) Fails to obtain the required COE(s).
(6) Fails to comply with any required local, state, and/or federal laws and/or licensing requirements relating to FSD testing.
(7) Has any present or planned contractual, organizational, employment or other financial involvement and/or relationship (spouse(s), children, sibling(s), parent(s), or in-law(s)) with any firearms and/or FSD manufacturer/importer, wholesaler, distributor, or dealer. This would also apply to any employee(s) directly involved in FSD testing, owner(s), shareholder(s), partner(s), officer(s), and/or director(s) of the applicant laboratory who has any such involvement or relationship.
(8) Is currently or plans to be a firearms and/or FSD manufacturer/importer, wholesaler, distributor, or dealer. This would also apply to any employee(s) directly involved in FSD testing, owner(s), shareholder(s), partner(s), officer(s), and/or director(s) of the applicant laboratory.
(9) Has a present or planned direct, indirect, and/or beneficial interest aggregating $1,000 or more in any entity that is a firearms and/or FSD manufacturer/importer, wholesaler, distributor, or dealer. This would also apply to any employee(s) directly involved in FSD testing, owner(s), shareholder(s), partner(s), officer(s), and/or director(s) of the applicant laboratory.
(b) If the DOJ denies certification, the DOJ shall provide a notice of denial to the applicant laboratory. The notice will specify all grounds on which the denial is based.
(c) An applicant laboratory that has been served with a notice of denial may request a hearing. The written request must be received by the DOJ no later than 20 days from the date of service of the notice of denial. If a hearing is requested, it will be conducted in accordance with Government Code section 11500 et seq. Failure to make a written request for a hearing within the time specified above constitutes a waiver of the right to a hearing. If this occurs or if the applicant laboratory withdraws its appeal, the denial shall be final.
NOTE
Authority cited: Sections 23650 and 23655, Penal Code. Reference: Sections 23650 and 23655, Penal Code.
HISTORY
1. Change without regulatory effect renumbering section 977.33 to section 4086, including amendment of subsection (a)(4), filed 6-28-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 26).
2. Change without regulatory effect amending section and Note filed 12-27-2011 pursuant to section 100, title 1, California Code of Regulations (Register 2011, No. 52).
§4087. Certification Period for Certified Firearm Safety Device Laboratories.
Note • History
The period of certification shall be two years from the date of issuance.
NOTE
Authority cited: Sections 23650 and 23655, Penal Code. Reference: Sections 23650 and 23655, Penal Code.
HISTORY
1. Change without regulatory effect renumbering section 977.34 to section 4087 filed 6-28-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 26).
2. Change without regulatory effect amending section heading and Note filed 12-27-2011 pursuant to section 100, title 1, California Code of Regulations (Register 2011, No. 52).
§4088. Processing Times. [Repealed]
Note • History
NOTE
Authority cited: Section 15376, Government Code; and Sections 12088 and 12088.2, Penal Code. Reference: Section 15376, Government Code; and Sections 12088 and 12088.2, Penal Code.
HISTORY
1. Change without regulatory effect renumbering section 977.35 to section 4088 filed 6-28-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 26).
2. Change without regulatory effect repealing section filed 12-27-2011 pursuant to section 100, title 1, California Code of Regulations (Register 2011, No. 52).
§4089. Appeal Process. [Repealed]
Note • History
NOTE
Authority cited: Section 15378, Government Code; and Sections 12088 and 12088.2, Penal Code. Reference: Section 15378, Government Code; and Sections 12088 and 12088.2, Penal Code.
HISTORY
1. Change without regulatory effect renumbering section 977.36 to section 4089 filed 6-28-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 26).
2. Change without regulatory effect repealing section filed 12-27-2011 pursuant to section 100, title 1, California Code of Regulations (Register 2011, No. 52).
Article 4. Operational Requirements, Firearm Safety Device Standards, Gun Safe Standards, Proof of Purchase or Ownership of a Gun Safe, Affixation of Required Warning
§4090. Absence of Conflict of Interest.
Note • History
The Certified FSD Laboratory shall at all times ensure that:
(a) It is not wholly or partly owned by, a part of, financed by, or in any other way financially supported by any firearms and/or FSD manufacturer/importer, wholesaler, distributor, or dealer. As used in this subdivision, financial support does not apply to situations wherein an applicant laboratory provides testing services to a firearm and/or FSD manufacturer/importer, wholesaler, distributor, or dealer.
(b) None of the employee(s) directly involved in FSD testing, or the owner(s), shareholder(s), partner(s), officer(s), and/or director(s) of the Certified FSD Laboratory will:
(1) Have any contractual, organizational, employment or other financial involvement and/or relationship (spouse(s), children, sibling(s), parent(s), or in-law(s)) with any firearms and/or FSD manufacturer/importer, wholesaler, distributor, or dealer.
(2) Be a firearms and/or FSD manufacturer/importer, wholesaler, distributor, or dealer.
(3) Have any direct, indirect, or beneficial interest aggregating $1,000 or more in any entity that is a firearms and/or FSD manufacturer/importer, wholesaler, distributor, or dealer.
NOTE
Authority cited: Sections 23650 and 23655, Penal Code. Reference: Sections 23650 and 23655, Penal Code.
HISTORY
1. Change without regulatory effect renumbering section 977.40 to section 4090 filed 6-28-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 26).
2. Change without regulatory effect amending article heading, section and Note filed 12-27-2011 pursuant to section 100, title 1, California Code of Regulations (Register 2011, No. 52).
Note • History
(a) The Certified FSD Laboratory shall have written security procedures if firearms are to be stored and/or transported by the laboratory. The laboratory staff shall be informed of these written procedures, and these procedures shall be made available to the DOJ upon request. The procedures shall address, and the laboratory shall comply with, all of the following security and safety procedures:
(1) The firearm(s) shall be stored unloaded by one of the following methods:
(A) Locked in a secure room that is a part of, or that constitutes, the licensee's business premises away from any general living or work area. All doors leading into the room shall be solid core with a dead-bolt lock or the equivalent.
(B) In a locked safe that meets the standards for gun safes as defined in section 4100 of these regulations or a vault in the licensee's business premises.
(2) If the firearm(s) are stored at a location different from the principal place of business, or at the applicant's residence and that residence is rented/leased, the applicant shall submit to the DOJ written approval from the owner and the location shall meet all security requirements.
(3) Ammunition shall be stored separately from the firearms in a secure room, cabinet or box which shall be locked while unattended.
(4) When transporting a firearm for delivery to an authorized recipient or off-site testing location, the firearm shall be transported as required by Penal Code sections 16850 and 25610, or as required by any applicable federal, state, and/or local statute and/or ordinance when outside of California.
(5) Any firearm not actively being used in the testing of an FSD shall be stored pursuant to subdivision (a)(1) of this section. Any firearm to be shipped from the laboratory shall be stored pursuant to subdivision (a)(1) of this section until arrival of the person authorized to receive the firearm or until laboratory personnel are prepared to transport the firearm for delivery to an authorized recipient.
(6) The Certified FSD Laboratory shall maintain proper inventory control and shall report any firearm that is lost or stolen to the submitting party, if applicable, the local law enforcement agency, and the DOJ within ten (10) working days of discovery of the loss or theft. The report shall include, but shall not be limited to, the make, model, serial number, and caliber of the firearm. The laboratory shall maintain the following records relating to any such firearms: the type, make, model, caliber, barrel length, category, and serial number of the lost/stolen firearm; the date of the loss/theft; the date the loss/theft was reported to the submitting party (if applicable), local law enforcement, and the DOJ; and any case/report number(s) assigned by the local law enforcement agency to the loss/theft. The laboratory shall maintain these records for at least ten (10) years.
(b) The Certified FSD Laboratory shall at all times ensure that:
(1) All persons conducting, supervising and/or observing FSD testing under this program have and use personal safety equipment that meets or exceeds applicable current federal, state and/or local standards and the requirements of any occupational and/or industrial safety agency having jurisdiction over the laboratory and its activities.
(2) The design and operation of the laboratory's facilities meet or exceed applicable current federal, state and/or local standards and/or requirements.
(3) Laboratory testing staff are familiar with and exercise safe firearm handling and operational practices as defined in all applicable federal, state, and/or local laws. Staff shall also ensure that no ammunition shall be present in the FSD testing area during testing.
(4) The following warning in block letters not less than one inch in height shall be conspicuously posted within all areas where FSD testing is performed:
“NO AMMUNITION SHALL BE PRESENT IN OR AROUND THIS TESTING AREA DURING FIREARM SAFETY DEVICE TESTING, OR IN THE POSSESSION OF ANY PERSONNEL ACTIVELY ENGAGED IN CONDUCTING FIREARM SAFETY DEVICE TESTS.”
NOTE
Authority cited: Sections 23650 and 23655, Penal Code. Reference: Sections 16850, 23650, 23655 and 25610, Penal Code.
HISTORY
1. Change without regulatory effect renumbering section 977.41 to section 4091, including amendment of subsection (a)(1)(B), filed 6-28-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 26).
2. Change without regulatory effect amending section and Note filed 12-27-2011 pursuant to section 100, title 1, California Code of Regulations (Register 2011, No. 52).
§4092. Licensing/Minimum Standards Compliance.
Note • History
The Certified FSD Laboratory shall at all times:
(a) Comply with all applicable local, state, and federal laws relating to FSD testing.
(b) Ensure that any required licensing and/or approvals by any federal, state, and/or local agency having jurisdiction over the laboratory have been obtained and are maintained, including the required COE(s).
(c) Ensure that staff are informed of all applicable federal, state, and/or local laws, which apply to the jurisdiction in which the laboratory does business, that prohibit a person from possessing firearms, and ensure that persons known to be prohibited from possessing firearms do not have access to, come into contact with, or possess firearms.
(d) Have in its possession the equipment identified in section 4095, subdivision (b) of these regulations. The laboratory shall maintain and/or calibrate the equipment in accordance with the equipment manufacturer's recommendations and requirements. The laboratory shall ensure that records of such maintenance and calibration are available for use by testing personnel and for inspection by DOJ staff.
NOTE
Authority cited: Sections 23650 and 23655, Penal Code. Reference: Sections 23650 and 23655, Penal Code.
HISTORY
1. Change without regulatory effect renumbering section 977.42 to section 4092, including amendment of subsection (d), filed 6-28-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 26).
2. Change without regulatory effect amending subsections (a) and (d) and amending Note filed 12-27-2011 pursuant to section 100, title 1, California Code of Regulations (Register 2011, No. 52).
§4093. Firearms Safety Devices Testing and Submission Requirements.
Note • History
(a) Each FSD submitted for testing shall not be modified in any way from one of the same model that would be sold if certification is granted. If it is determined by the DOJ that a DOJ-approved FSD is modified in any way from those that are being sold after certification has been granted, the DOJ will immediately remove that model of FSD from the Roster of Approved Firearm Safety Devices and may recall the FSD pursuant to Penal Code section 23680.
(b) Four FSDs of each model to be tested shall be submitted to the Certified FSD Laboratory. Three of the devices are to be utilized by the laboratory for testing pursuant to section 4095, subdivision (c) of these regulations, and the other device is to be utilized for testing pursuant to section 4095, subdivisions (d) and (e) of these regulations and forwarded by the laboratory to the DOJ pursuant to section 4096, subdivision (a) of these regulations. FSD manufacturers or dealers may supply any information that they believe may be needed by the laboratory for proper and safe operation of the FSD. The following information shall be provided in the English language with each FSD model submitted for testing:
(1) The model name and model number of the FSD.
(2) A description of the FSD.
(3) A description of how the FSD is intended to function and how the user should install and operate (activate/deactivate) the FSD.
(4) The type, make, or model of firearm(s) for which the FSD is designed.
(c) The DOJ may approve an untested FSD and list that FSD on the Roster of Approved Firearm Safety Devices subject to all of the following:
(1) The DOJ shall review each FSD submitted pursuant to this subdivision on a case-by-case basis to determine whether or not a new test will be required.
(2) A model of FSD made by the same manufacturer must already be listed on the Firearm Safety Device Roster and the device submitted for approval pursuant to this subdivision shall differ from the listed FSD in only the following:
(A) Finish, including, but not limited to, color or engraving.
(B) Any feature that does not in any way alter the material or functioning of any of the components of the FSD. Dimensional changes in an FSD may be approved by the DOJ without additional testing on a case-by-case basis when the dimensional changes do not alter the device's ability to operate in the same manner demonstrated in the laboratory.
(C) Change in name or model number without affecting the design or function of the FSD.
(3) Any manufacturer seeking to have an FSD approved under this subdivision shall provide the DOJ with all of the following:
(A) The model name and model number of the listed FSD.
(B) The model name and model number of each FSD the manufacturer seeks to have listed under this section.
(C) A statement, under oath, that each unlisted FSD for which listing is sought differs from the listed FSD only in one or more of the ways identified by this subdivision and is in all other respects identical to the listed FSD.
(D) The DOJ may, at its discretion and at any time, require a manufacturer to provide to the DOJ an example of any FSD model for which listing is sought under this section, to determine whether the model complies with the requirements of this section.
NOTE
Authority cited: Sections 23650 and 23655, Penal Code. Reference: Sections 23650, 23655 and 23680, Penal Code.
HISTORY
1. Change without regulatory effect renumbering section 977.43 to section 4093, including amendment of subsection (b), filed 6-28-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 26).
2. Change without regulatory effect amending section and Note filed 12-27-2011 pursuant to section 100, title 1, California Code of Regulations (Register 2011, No. 52).
§4094. Firearms Safety Device Standards.
Note • History
(a) The FSD shall be of a design that will not allow its removal or deactivation except by utilizing a key, combination, or other unique method as intended by the manufacturer to allow access only by authorized users, within the standards set forth in these regulations.
(1) Combination locking systems shall have a minimum of 1,000 possible unique combinations consisting of a minimum of three numbers, letters, or symbols per combination.
(2) Key locking systems shall be unique to the manufacturer's FSD(s).
(b) The FSD shall render the firearm inoperable (unable to be fired) while the FSD is properly installed. The firearm shall be rendered inoperable immediately upon installation and activation of the FSD. Lock box style FSDs (devices that fully contain and enclose the firearm) must prevent removal of, and access to, the enclosed firearm.
(c) An FSD shall function by at least one of the following methods:
(1) By blocking travel of the trigger, striker, firing pin, or hammer.
(2) By preventing the action or cylinder from closing.
(3) By preventing the chamber(s) from accepting or holding a live cartridge.
(4) By preventing access to the firearm.
(d) When used in the manner designed and intended by the manufacturer, the FSD shall be capable of repeated use and shall pass the testing procedures described in these regulations.
(e) The FSD shall be capable of withstanding manipulation with common household tools, as described in section 4095 - Testing Procedures, for an approximate ten-minute period without being disabled.
NOTE
Authority cited: Sections 23650 and 23655, Penal Code. Reference: Sections 23650 and 23655, Penal Code.
HISTORY
1. Change without regulatory effect renumbering section 977.44 to section 4094, including amendment of subsection (e), filed 6-28-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 26).
2. Change without regulatory effect amending section and Note filed 12-27-2011 pursuant to section 100, title 1, California Code of Regulations (Register 2011, No. 52).
Note • History
The tests in this section are designed to replicate the forces that would be exerted on FSDs through the use of common household tools for an approximate ten-minute period.
(a) The only persons allowed to conduct FSD testing are authorized staff of the Certified FSD Laboratory. In addition to this staff, representatives of the FSD manufacturer or dealer and/or the DOJ shall be allowed to be present during testing. Any such representative(s) shall not participate in the testing. However, if deemed necessary by the staff of the laboratory, representative(s) of the FSD manufacturer or dealer may be asked to provide advice and/or guidance regarding the characteristics, handling, and/or operation of the FSD.
(b) Each laboratory testing an FSD pursuant to these regulations must comply with the following test criteria relative to each FSD tested:
(1) All tests shall be conducted within the following tolerances as applicable:
(A) Force: 0.5% of working range.
(B) Height: +/- 3mm (0.12 inches).
(C) Torque: 4.0% of reading.
(D) Weight: +/- 10 grams (.02 pounds).
(2) All tests shall be conducted at temperatures between 16 and 27 degrees Celsius (61-81 degrees Fahrenheit).
(3) A tensile loading device having a load and force measuring capacity of 4,450 newtons (1,000 pounds force) shall be utilized for appropriate tests.
(4) The American Society for Testing and Materials Standard Performance Specification for Padlocks (ASTM) F883-97 is incorporated into these regulations by reference. A shock impact fixture shall be constructed utilizing the same design as the shock impactor fixture illustrated and detailed in said specification and a shackle cutting fixture shall be constructed utilizing the same design as the shackle cutting fixture illustrated and detailed in said specification.
(5) A mounting device shall be fashioned and used to align and to support the FSD being tested on the mounting device when being subjected to required shock loads.
(6) The FSD shall be properly installed on a firearm according to the manufacturer's instructions unless otherwise stated in these regulations.
(7) FSDs may be tested when they are not installed on a firearm if it is determined by the test laboratory that the firearm would interfere with the test equipment's ability to apply measurable forces to the FSD. Testing an FSD while it is not installed on a firearm is allowed only when the measurable forces are applied to areas of the FSD that would be exposed when the FSD is properly installed. FSDs shall be tested on a complete firearm whenever possible.
(8) The FSD shall not be of a design to allow it to be disabled or removed from the firearm through the partial destruction of the firearm with common household tools. Partial destruction includes, but is not limited to, cutting an exposed trigger guard or removing the hammer spur of the firearm (if so equipped).
(9) Notwithstanding the FSD manufacturer's instructions, for each of the tests, a primed case will be placed in the firing chamber if the chamber can be closed. The primed case shall be produced by an ammunition manufacturer and consist of the same type of case and primer as standard ammunition recommended by the firearm manufacturer. With the FSD properly installed, the firearm shall be rendered incapable of firing the primed case. If the firearm discharges the primed case during any of the tests, even if only capable of firing once and even if unsafe to do so, the device is deemed to have failed testing.
(10) Notwithstanding the FSD manufacturer's instructions, for each test, the firearm shall be cocked, and the manual safety shall not be applied.
(11) All of the tests designated in subdivisions (c)(1) through (c)(5) of this section shall be performed on a single FSD. The test designated in subdivision (c)(6) of this section shall be performed on a separate single FSD. The test designated in subdivisions (c)(7) through (c)(8) of this section shall be performed on a separate single FSD. The test designated in subdivision (d) or (e) of this section shall be performed on a separate single FSD.
(12) All lock box type devices (devices designed to fully contain and enclose a firearm) shall be tested with a small handgun placed within the device. The small handgun shall be loaded with a primed case and be no greater than 5 inches (L) x 3 inches (H) x 1 1/4 inches (W) in size. The small handgun may be in addition to any other firearm(s) used in testing. Lock boxes designed to accommodate long guns must be tested with at least one long gun placed within the container in addition to the small handgun mentioned above. Lock boxes which cannot prevent the removal of, or access to discharging, the firearm(s) contained within the device will be considered disabled.
(13) Manipulation with a screwdriver, as described in these regulations, is to be applied only to the areas directly affected (weakened) by the proceeding test.
(c) Each Certified FSD Laboratory shall perform all of the following tests on each FSD model submitted to the laboratory for testing pursuant to these regulations in an attempt to defeat the device, cause the firearm to function, or cause the loaded primed case to discharge:
(1) Picking or manipulating test (utilize a new FSD)(does not apply if test cannot be performed on the device). Cylinders in the FSD shall resist picking with the use of paper clips (jumbo size), paper clips (#1 size), and small screwdrivers that fit in the keyway for two minutes each. Time shall be counted only while tools are in contact with the lock. Combination locks shall resist manual manipulation for two minutes. Time shall be counted only while hands are manipulating the combination lock. This test shall be performed by a tester with no specialized training or skills in lock picking or manipulation (e.g. locksmith training or the use of reference guides on lock picking or manipulation). In the case of a key lock, failure occurs if the lock mechanism can be disengaged during six minutes of manipulation. In the case of a combination lock, failure occurs if the combination lock can be disengaged without the proper combination being entered during two minutes of manipulation.
(2) Forced removal inspection. Inspect the firearm and FSD to determine if the FSD is of such a design that it may not be disabled or removed from the firearm through two minutes of partial destruction of the firearm with common household tools. Partial destruction attacks shall be limited to the firearm's trigger guard, hammer spur, or barrel. For example, an FSD that fully encloses the trigger guard of the firearm may pass this inspection, while an FSD that would allow a portion of the trigger guard to be sawed off to allow for removal of the FSD may fail this inspection. Failure occurs if inspection of the firearm and FSD indicates that the FSD may be disabled or removed through the partial destruction of the firearm as described in this subdivision. Failure also occurs if the firearm could be fired, even if unsafe to do so, as a result of the forced removal inspection. Attack by saw shall be performed in accordance with the specifications and limitations of the sawing test (included by reference).
(3) Tensile test (does not apply if test cannot be performed on the device). This test is designed to test the strength of the FSD utilizing a pulling action. Support the firearm and FSD in a fixture designed to enable application of forces in tension along a central axis of the mating locking components of the FSD. Apply 1,000 newtons (225 pounds force) of forces slowly along the central axis of the FSD locking components without interfering or giving support to either of the mating locking components of the FSD. For FSDs that have clamping components, specific fixtures may be required to allow application of the required force to the individual components. Failure occurs if the FSD is disabled or if the firearm is capable of firing during the test. For instance, if the FSD separates far enough to allow for the discharge of the firearm while manipulating the trigger.
(4) Shock test (does not apply if test cannot be performed on the device). This test is designed to test the FSD and locking mechanism's ability to withstand shock. Using the shock impact fixture, drop a one-kilogram (2.2 pound) weight from a distance of one meter + one centimeter (39.4 inches + 0.4 inches) five times to the top of the FSD body aligned to impinge and penetrate the locking keyway or combination lock using a chucked blade-type tool (chucked blade-type tool should be crafted from the shank of a screwdriver with a 1/4 to 5/8-inch (0.63 to 1.6-centimeter) flathead end). Additionally, using the shock impact fixture, drop a one-kilogram (2.2 pound) weight from a distance of one meter (39.4 inches), five times to the top of the FSD body using a chucked steel rod tool. Failure occurs if the FSD is disabled by the shock test. Failure also occurs if following the shock test, subsequent manipulation of the FSD with an 8 to 10-inch (20.3 to 25.4-centimeter) long screwdriver with a 1/4 to 5/8-inch (0.63 to 1.6-centimeter) flathead end for fifteen seconds allows the tester to discharge a primed case.
(5) Shackle or cable cutting test (does not apply if test cannot be performed on the device). This test is designed to determine the FSD's resistance to cutting forces of 4,450 newtons (1,000 pounds force) for solid metal shackles or with hand forces of 445 newtons (100 pounds force) for cables. The shackle of the FSD (if so equipped) shall withstand cutting through when blades made of steel, hardened to a minimum hardness of Rc 50, are used in conjunction with the blade positioning holders of the shackle cutting fixture. The shearing assembly must then be placed in a tensile loading device having a compression load capability and compressed with a force of 4,450 newtons (1,000 pounds force). See the ASTM F883-97 standard for details to build a shackle cutting fixture (this document is incorporated by reference into these regulations). The cable of the FSD (if so equipped) shall withstand cutting through with 9 1/2-inch lineman pliers with a force of 100 pounds (445 newtons) for two minutes. The force shall be applied to the handles of the pliers at a point that is 6 inches (+/- 0.25 inches) from the center of the pliers' pivot pin, and the cable shall be placed between the blades so that the cable's centerline is 0.75 inches (+/- 0.05 inches) from the center of the pliers' pivot pin. The FSD is to be supported on both sides of the point of the shear cut with allowance for blade clearance. Failure occurs if the FSD is disabled.
(6) Plug pulling test (utilize a new FSD)(does not apply if test cannot be performed on the device). This test is designed to test a cylinder lock's ability to withstand a pulling action to dislodge the plug from the cylinder, but not to test the lock's ability to withstand drilling. Drill the keyway with a number 20 (0.161 inch, 0.41 centimeter) diameter drill bit and insert a self tapping screw of size AB 12 at least 0.75 inches (1.90 centimeters) deep. Apply a required tension of 1,000 newtons (225 pounds force) axially between the case and installed screw. Failure occurs if the FSD can be opened by fifteen seconds of manipulation with an 8 to 10-inch (20.3 to 25.4-centimeter) long screwdriver with the largest flat blade (not to exceed 5/8 inch (1.6 centimeter)) that will fit into the keyway at the conclusion of the test. Failure also occurs if the FSD is disabled. If the self-tapping screw cannot be inserted at least 0.75 inches (1.90 centimeters), insert the screw as far as possible, continue with the test and document the depth to which the screw was inserted. The test does not need to be applied to keyways which cannot accept the self-tapping screw due to the keyway's size, design, or materials. In addition, if the FSD is of a design that it breaks the drill bit or self-tapping screw and prevents the test from being performed the test does not apply and does not need to be performed again on this device.
(7) Plug torque test (utilize a new FSD)(does not apply if test cannot be performed on the device). This test is designed to test the ability of an FSD's keyway, if so equipped, to withstand torque pressures. Install the FSD in a rigid fixture such as a vise to support it firmly but not restrict free rotation of the plug in the cylinder. Insert a screwdriver with the largest flat blade (not to exceed 5/8-inch (1.6 centimeter) that will fit into the keyway, so that a torque load of ten newton-meters (89 pounds force-inches) can be applied to the plug. The test technician may lightly tap the screwdriver blade into the keyway so that the blade is seated and torque can be applied. Care should be taken so as not to mar the keyway beyond what is necessary to create enough grip to perform the test. If a keyway resists the insertion of the screwdriver blade or deforms so that torque cannot be applied and the test cannot be performed, this test does not apply and does not need to be performed again on this device. Torque may be applied in any combination of clockwise or counterclockwise directions. Failure occurs if the FSD is disabled.
(8) Sawing test (does not apply if test cannot be performed on the device). Sawing tests shall be performed using a sawing machine or hand held saw. The FSD may be held with an appropriate fixture to hold the device steady while sawing. The sawing test is designed to determine the FSD's resistance to sawing of exposed components. Exposed components may include, but are not limited to, cables, lock bodies and hinges. The testing agent shall accomplish a test using a new standard carbon steel hacksaw blade with 32 teeth per inch (2.54 centimeters) with a constant vertical downward force of ten pounds (44.5 newtons). Only one saw blade shall be used during the test. The test shall consist of 60 cutting cycles per minute for two minutes by sawing machine, or 120 cycles, with no time limit, by hand. One cutting cycle is defined as the combination of one 6-inch forward and one 6-inch backward cutting motion. The saw attack may consist of a series of separate 120 cutting cycle attacks, but in no instance shall more than 120 cutting cycles be applied to any one “specified” location. For example, the testing agent may identify (specify) the hinge and lock body areas of an FSD as vulnerable to attack. A total of 120 cutting cycles may be applied to the hinge of the device and an additional 120 cutting cycles may be applied to the lock body of the device. At the conclusion of the sawing test, the testing agent shall manipulate the FSD for fifteen seconds by hand in an attempt to disable the FSD. Failure occurs if the FSD is disabled.
(d) In addition to the tests specified in subdivision (c) of this section, the Certified FSD Laboratory shall perform the following tests on a model of each FSD in which the firing chamber of the firearm is capable of accommodating a primed case with the firing chamber closed and the FSD properly installed, that is submitted to the laboratory for testing pursuant to these regulations. This requirement does not apply to an FSD that prevents access to the firearm by fully containing and enclosing the firearm (lock box type devices):
(1) (Utilize a new FSD). The FSD shall be activated in accordance with the manufacturer's instructions as specified in paragraphs (6), (9), and (10) of subdivision (b) of this section. The firearm shall be placed in a drop fixture capable of dropping the firearm from a drop height of one meter + one centimeter (39.4 inches + 0.4 inches) onto a slab of concrete having minimum dimensions of 7.5 centimeters X 15 centimeters X 15 centimeters (3 inches X 6 inches X 6 inches). The drop distance shall be measured from the lowermost portion of the weapon to the top surface of the slab. The firearm shall be dropped from a fixture and not from the hand. An approved drop fixture is a short piece of string with the firearm attached at one end and the other end held in an air vise until the drop is initiated. The firearm shall be dropped in the following orientations:
(A) Normal firing position with the barrel horizontal.
(B) Upside down with the barrel horizontal.
(C) If the firearm is a handgun, on the grip with the barrel vertical.
(D) On the muzzle with the barrel vertical.
(E) On either side with the barrel horizontal.
(F) If there is an exposed hammer or striker, on the rearmost point of the device, otherwise on the rearmost point of the weapon.
(2) At the conclusion of the drop test, the tester shall attempt to fire the firearm in an attempt to discharge the primed case. Failure occurs if the firearm can be operated manually, if a primed case is discharged during any of the drop tests, or if the FSD is disabled following any of the orientation drop tests.
(e) In addition to the tests specified in subdivision (c) of this section, the Certified FSD Laboratory shall perform the following tests on a model of each FSD that fully contains and encloses the firearm (lock box type devices) that is submitted to the laboratory for testing pursuant to these regulations. This requirement does not apply to any lock box type FSD that weighs more than 75 pounds (27.99 kilograms) or has a combined length and girth that is greater than or equal to 110 inches (279.4 centimeters):
(1) (Utilize a new FSD. Test shall be conducted with a firearm containing a primed case with the firing chamber closed inside the FSD. This test does not need to be performed with an approved drop fixture and may be performed by hand.) The FSD shall be dropped from a height of one meter + one centimeter (39.4 inches + 0.4 inches) onto a slab of concrete having minimum dimensions of 7.5 centimeters X 15 centimeters X 15 centimeters (3 inches X 6 inches X 6 inches). The drop distance shall be measured from the lowermost portion of the FSD to the top surface of the slab. The FSD shall be dropped in the following orientations:
(A) With the locking mechanism facing directly up.
(B) With the locking mechanism facing directly down.
(2) Failure occurs if the FSD is disabled or the firearm contained within the enclosed container discharges.
(f) Failure of any test occurs if the FSD is disabled, if the firearm is made to function, or if the firearm discharges the primed case during or as a result of the test. A failure of any one FSD in any of the tests constitutes a failure of the complete test.
NOTE
Authority cited: Sections 23650 and 23655, Penal Code. Reference: Sections 23650 and 23655, Penal Code.
HISTORY
1. Change without regulatory effect renumbering section 977.45 to section 4095 filed 6-28-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 26).
2. Change without regulatory effect amending section and Note filed 12-27-2011 pursuant to section 100, title 1, California Code of Regulations (Register 2011, No. 52).
Note • History
(a) If an FSD meets the required standards and has passed the required testing, the Certified FSD Laboratory shall submit to the DOJ a completed Firearm Safety Device Compliance Test Report Form BOF 021A (Rev. 01/2012) and the FSD utilized for the drop-testing under section 4095, subdivision (d) or (e) of these regulations in accordance with Penal Code section 23655, subdivision (c). The Firearm Safety Device Compliance Test Report shall require all of the information identified in section 4097, subdivision (a) of these regulations, and shall be signed by the person authorized to sign on behalf of the laboratory.
(b) The Certified FSD Laboratory shall submit the required report to the DOJ within ten (10) working days of the completion of the testing. Failure to submit said report to the DOJ within the time frame identified above shall not invalidate the results of the testing. However, the DOJ may inspect the laboratory to determine whether grounds exist to revoke the certification of the laboratory.
(c) FSD manufacturers or dealers are prohibited from placing any statement on the FSD itself, the labeling, and/or accompanying user information that in any way states, implies, and/or otherwise suggests that the FSD has been approved for sale in California under Penal Code sections 23650 and 23655 unless the FSD is on the Roster of Approved Firearm Safety Devices. At that time and only while the FSD is listed on the Roster of Approved Firearm Safety Devices, the FSD manufacturer or dealer may place the following statement in the required user information:
“This is a California-approved Firearm Safety Device that meets the requirements of Penal Code section 23655 and the regulations issued thereunder.”
(d) The manufacturer or dealer of an FSD approved under these regulations shall specify, in the packaging or descriptive materials accompanying the device, those firearms for which the device meets the standards and are capable of passing the testing described in these regulations.
NOTE
Authority cited: Sections 23650 and 23655, Penal Code. Reference: Sections 23650 and 23655, Penal Code.
HISTORY
1. Change without regulatory effect renumbering section 977.46 to section 4096, including amendment of subsection (a), filed 6-28-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 26).
2. Change without regulatory effect amending section and Note filed 12-27-2011 pursuant to section 100, title 1, California Code of Regulations (Register 2011, No. 52).
§4097. Required Records, Retention Periods, Reporting Changes.
Note • History
(a) The Certified FSD Laboratory shall, for a minimum of five years from the date of the Firearm Safety Device Compliance Test Report Form BOF 021A (Rev. 01/2012), maintain sufficient records to support the results of any and all such reports. The following information is required to be recorded, reported, and maintained:
(1) The name and address of the Certified FSD Laboratory that conducted the test.
(2) The name and address of the FSD manufacturer or dealer that submitted the FSD model for testing, as well as the name and telephone number of a contact person of the submitting manufacturer or dealer. If the DOJ submitted the FSD, this fact shall be noted in the records.
(3) Date, time, and location of the testing, and any off-site equipment and/or facilities that are used during any portion of the testing.
(4) The unique reference number/identifier issued by the Certified FSD Laboratory for the testing.
(5) The results of each phase of the required testing.
(6) The date the report was submitted to the DOJ.
(7) The name and telephone number of a contact person who should be contacted if there are any questions regarding the testing and/or the report.
(8) The make, model, construction material, and type of FSD tested.
(9) The make, model, caliber, barrel length, and type of each firearm on which the laboratory tested the device.
(10) Identification of the manufacturer and type of primer used in the primed cases used in the testing.
(11) An identification of each of the tests that was performed on the FSD tested.
(12) A statement that the FSD meets each of the standards for FSDs prescribed in these regulations.
(13) The names and business affiliation of all persons who have witnessed any part of the testing procedure.
(14) The name(s) and title(s) of laboratory staff who conducted and/or performed the required testing.
(15) The signature of the lead person who conducted the testing along with his or her title and printed name, and the date of signature.
(b) The following records shall also be maintained by all Certified FSD Laboratories:
(1) A listing of any and all off-site facilities that have been reported to the DOJ, and are or may be used by the Certified FSD Laboratory for FSD testing.
(2) A listing of all current employees who are directly involved in FSD testing.
(3) Records relating to the current ownership of the laboratory.
(4) Records relating each firearm stolen or lost from the laboratory must be retained for at least ten years from the date that the firearm was reported lost or stolen.
(c) The Certified FSD Laboratory shall report within ten (10) working days any changes:
(1) In the ownership, involvements, relationships, license prohibitions, and/or interests identified in sections 4086 and 4090 of these regulations and ensure that any such change would not constitute grounds for denial of an Application for Firearm Safety Device Laboratory Certification Form BOF 019A (Rev. 01/2012).
(2) Involving management personnel, FSD testing supervisor(s) and/or personnel, person(s) authorized to sign Firearm Safety Device Compliance Test Reports (DOJ Form BOF 021A), person(s) who hold COE(s); and/or the FSD testing equipment and/or facilities of the laboratory.
NOTE
Authority cited: Sections 23650 and 23655, Penal Code. Reference: Sections 23650 and 23655, Penal Code.
HISTORY
1. Change without regulatory effect renumbering section 977.47 to section 4097, including amendment of subsection (c)(1), filed 6-28-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 26).
2. Change without regulatory effect amending section and Note filed 12-27-2011 pursuant to section 100, title 1, California Code of Regulations (Register 2011, No. 52).
Note • History
(a) A Certified FSD Laboratory may not utilize any FSD testing equipment and/or facilities that are at a location other than the primary business address of the laboratory unless all of the following conditions are met:
(1) The off-site location is not more than 100 miles from the primary business address.
(2) The laboratory provides the following information to the DOJ prior to beginning any testing at the off-site location: the name of the facility/owner, telephone number, physical address of the location; and the type of equipment and/or facilities to be used and/or the testing to be performed at each location.
(b) Notwithstanding subdivision (a) of this section, if more than one off-site location is needed for testing purposes, the applicant or Certified FSD Laboratory must submit a completed Request to Utilize an Additional Off-Site Location Form BOF 020A (Rev. 01/2012) for each such location. The Form BOF 020A (Rev. 01/2012) shall include the following information:
(1) Applicant or Laboratory Information: The person(s), firm, or corporation name; physical and mailing address(es); and telephone and fax number.
(2) Off-Site Location Information: The name of the owner; physical street address, telephone number; the testing to be performed and/or equipment to be used at the off-site location; the signature of the Certified FSD Laboratory's authorized representative; and the county, state, and date of signature.
(c) The DOJ reserves the right to prohibit a laboratory from conducting FSD tests at an off-site location if the results of any such testing could not be rendered fairly, impartially, and independent of any manufacturer, importer or other entity which has any direct and/or indirect economic interest in the results of the testing.
NOTE
Authority cited: Sections 23650 and 23655, Penal Code. Reference: Sections 23650 and 23655, Penal Code.
HISTORY
1. Change without regulatory effect renumbering section 977.48 to section 4098 filed 6-28-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 26).
2. Change without regulatory effect amending section and Note filed 12-27-2011 pursuant to section 100, title 1, California Code of Regulations (Register 2011, No. 52).
Note • History
(a) At any time during regular business hours and/or when testing is being conducted, the Certified FSD Laboratory shall allow reasonable access by any authorized DOJ employee(s), upon presentation of proper identification. The DOJ employee(s) shall be permitted to inspect facilities and records relating to FSD testing and to observe any FSD tests being performed to ensure compliance with any applicable federal, state, and/or local law(s) and these regulations.
(b) Within six months of the date of FSD Laboratory Certification, the DOJ will conduct a follow-up on-site compliance inspection of the laboratory to observe actual FSD testing and inspect equipment and facilities.
(c) The Certified FSD Laboratory will be notified in writing of the results of any inspection conducted pursuant to this section within 15 days from the date of the completion of the inspection. The notification will include a list of any and all violations of any statute and/or these regulations and the action required to correct each violation.
(d) The corrective action shall be completed within 15 days of the date of notification. An acknowledgment prepared by the DOJ to be signed by the owner, chief executive officer, or person with primary responsibility for the operation of the laboratory that they have been made aware of the violation(s), that the necessary corrective action(s) have been performed, and that all necessary action(s) will be taken to ensure that future violations do not occur. The acknowledgment shall be signed and returned to the DOJ within 15 days from the date of service of the notification unless the DOJ has determined that the violation requires immediate attention. If immediate attention is required, the laboratory shall take the corrective action(s) within the time specified in the DOJ notice.
(e) The Certified FSD Laboratory shall submit to the DOJ a monthly schedule of the days on which it is planning to perform FSD testing. The schedule for each month shall be submitted to the DOJ five days before the beginning of the month being reported. The DOJ may contact the laboratory telephonically for information regarding any additions/deletions to the schedule. The DOJ may accept schedules submitted by electronic transmission.
NOTE
Authority cited: Sections 23650 and 23655, Penal Code. Reference: Sections 23650 and 23655, Penal Code.
HISTORY
1. Change without regulatory effect renumbering section 977.49 to section 4099 filed 6-28-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 26).
2. Change without regulatory effect amending subsections (a), (b) and (e) and amending Note filed 12-27-2011 pursuant to section 100, title 1, California Code of Regulations (Register 2011, No. 52).
Note • History
An acceptable gun safe is either one the following:
(a) A gun safe that meets all of the following standards:
(1) Shall be able to fully contain firearms and provide for their secure storage.
(2) Shall have a locking system consisting of at minimum a mechanical or electronic combination lock. The mechanical or electronic combination lock utilized by the safe shall have at least 10,000 possible combinations consisting of a minimum three numbers, letters, or symbols. The lock shall be protected by a case-hardened (Rc 60+) drill-resistant steel plate, or drill-resistant material of equivalent strength.
(3) Boltwork shall consist of a minimum of three steel locking bolts of at least 1/2-inch thickness that intrude from the door of the safe into the body of the safe or from the body of the safe into the door of the safe, which are operated by a separate handle and secured by the lock.
(4) A gun safe shall be capable of repeated use. The exterior walls shall be constructed of a minimum 12-gauge thick steel for a single-walled safe, or the sum of the steel walls shall add up to at least 0.100 inches for safes with two walls. Doors shall be constructed of a minimum one layer of 7-gauge steel plate reinforced construction or at least two layers of a minimum 12-gauge steel compound construction.
(5) Door hinges shall be protected to prevent the removal of the door. Protective features include, but are not limited to: hinges not exposed to the outside, interlocking door designs, dead bars, jeweler's lugs and active or inactive locking bolts.
(b) A gun safe that is able to fully contain firearms and provide for their secure storage, and is certified to/listed as meeting Underwriters Laboratories Residential Security Container rating standards by a Nationally Recognized Testing Laboratory (NRTL).
NOTE
Authority cited: Sections 23650 and 23655, Penal Code. Reference: Sections 23650 and 23655, Penal Code.
HISTORY
1. Change without regulatory effect renumbering section 977.50 to section 4100 filed 6-28-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 26).
2. Change without regulatory effect amending subsection (a)(3) and Note filed 12-27-2011 pursuant to section 100, title 1, California Code of Regulations (Register 2011, No. 52).
§4101. Gun Safe -- Proof of Ownership of an Acceptable Gun Safe.
Note • History
(a) The firearms purchaser or transferee may establish proof of ownership of an acceptable gun safe by providing the firearms dealer with both of the following:
(1) A receipt for purchase of the gun safe or an affidavit stating ownership and possession of the gun safe.
(2) An affidavit stating that the gun safe meets the standards set forth by section 4100 of these regulations. The affidavit must state the make and model of the gun safe and must state that the gun safe is capable of accommodating the firearm being purchased. The affidavit must contain the statement “I declare under penalty of perjury that all statements made in this affidavit are true and complete.” This statement shall be signed and dated by the firearms purchaser or transferee. For any gun safe which does not display a make and/or model but otherwise meets the acceptable gun safe standard, the term “unknown” will be considered an acceptable entry in the make and/or model fields of the affidavit stating ownership of an acceptable gun safe.
(b) The firearms dealer shall maintain the statement(s) provided pursuant to subdivision (a) of this section for three years with the Dealer's Record of Sale (DROS) for the firearm.
NOTE
Authority cited: Sections 23650 and 23655, Penal Code. Reference: Sections 23650 and 23655, Penal Code.
HISTORY
1. Change without regulatory effect renumbering section 977.51 to section 4101, including amendment of subsection (a)(2), filed 6-28-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 26).
2. Change without regulatory effect amending subsection (b) and Note filed 12-27-2011 pursuant to section 100, title 1, California Code of Regulations (Register 2011, No. 52).
§4102. Lock Box -- Proof of Ownership of an Acceptable “Lock Box” Type Firearm Safety Device.
Note • History
(a) The firearms purchaser or transferee may establish proof of ownership of an acceptable lock box that is listed on the Roster of Approved Firearm Safety Devices by providing the firearms dealer with both of the following:
(1) A receipt for purchase of the lock box.
(2) An affidavit stating that the lock box is listed on the Roster of Approved Firearm Safety Devices and will accommodate the firearm(s) that is being taken into possession. The affidavit must state the make and model of the lock box and that the lock box is capable of accommodating the firearm(s) being purchased. The affidavit must contain the statement “I declare under penalty of perjury that all statements made in this affidavit are true and complete.” This statement shall be signed and dated by the firearms purchaser or transferee.
(b) The firearms dealer shall maintain the statement(s) provided pursuant to subdivision (a) of this section for three years with the DROS for the firearm.
NOTE
Authority cited: Sections 23635, 23650 and 23655, Penal Code. Reference: Sections 23650 and 23655, Penal Code.
HISTORY
1. Change without regulatory effect renumbering section 977.52 to section 4102 filed 6-28-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 26).
2. Change without regulatory effect amending section heading, section and Note filed 12-27-2011 pursuant to section 100, title 1, California Code of Regulations (Register 2011, No. 52).
§4103. Required Warning Notice -- Affixation to Firearms Sold Without Accompanying Packaging.
Note • History
Any firearms dealer who sells or transfers a firearm that does not have accompanying packaging bearing the warning statement specified in Penal Code section 23640 shall, using a string, rubber band, or similar device, affix a warning label described in Penal Code section 23640 to that firearm.
NOTE
Authority cited: Section 23640, Penal Code. Reference: Section 23640, Penal Code.
HISTORY
1. Change without regulatory effect renumbering section 977.55 to section 4103 filed 6-28-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 26).
2. Change without regulatory effect amending section and Note filed 12-27-2011 pursuant to section 100, title 1, California Code of Regulations (Register 2011, No. 52).
Article 5. DOJ Suspension or Revocation of Firearm Safety Device Laboratory Certification
§4104. DOJ Suspension or Revocation of Firearm Safety Device Laboratory Certification.
Note • History
(a) The DOJ may suspend or revoke a laboratory's FSD Laboratory Certification for any of the following:
(1) Any act of gross negligence.
(2) Repeated acts of negligence.
(3) Any violation of these regulations and/or any applicable statute.
(4) Any of the grounds for denial stated in section 4086 of these regulations.
(b) Any suspension or revocation action will be conducted in accordance with Government Code section 11500 et seq.
(c) Upon DOJ suspension or revocation of certification under this section, the laboratory may not test FSDs for approval under these regulations.
NOTE
Authority cited: Sections 32650 and 32655, Penal Code. Reference: Sections 32650 and 32655, Penal Code.
HISTORY
1. Change without regulatory effect renumbering section 977.60 to section 4104, including amendment of subsection (a)(4), filed 6-28-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 26).
2. Change without regulatory effect amending article heading, section heading, subsections (a)(4) and (b)-(c) and Note filed 12-27-2011 pursuant to section 100, title 1, California Code of Regulations (Register 2011, No. 52).
Article 6. Firearm Safety Device Laboratory Certification Renewal; Firearm Safety Device Laboratory Certification After Expiration
§4105. Firearm Safety Device Laboratory Certification Renewal Procedures.
Note • History
An FSD Laboratory Certification must be renewed prior to expiration in order to remain valid. The procedure for FSD Laboratory Certification renewal is as follows:
(a) The DOJ will mail an application to the laboratory 60 days prior to the expiration date of the FSD Laboratory Certification.
(b) The Certified FSD Laboratory wishing to renew its FSD Laboratory Certification shall submit to the DOJ an Application for Firearm Safety Device Laboratory Certification, Form BOF 019A (Rev. 01/2012).
(c) When all applicable requirements are met and the application has been processed, the DOJ will renew the laboratory's FSD Laboratory Certification.
(d) If a laboratory fails to comply with these renewal requirements, the FSD Laboratory Certification shall expire by operation of law at midnight on the expiration date stated on the FSD Laboratory Certification.
NOTE
Authority cited: Sections 23650 and 23655, Penal Code. Reference: Sections 23650 and 23655, Penal Code.
HISTORY
1. Change without regulatory effect renumbering section 977.70 to section 4105 filed 6-28-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 26).
2. Change without regulatory effect amending article heading, section heading, subsection (b) and Note filed 12-27-2011 pursuant to section 100, title 1, California Code of Regulations (Register 2011, No. 52).
§4106. Firearm Safety Device Laboratory Certification After Expiration.
Note • History
When an FSD Laboratory Certification has expired and not been renewed prior to the stated expiration date, the person, firm, or corporation wishing to renew certification shall make a new application to the DOJ on an Application for Firearms Safety Device Laboratory Certification, Form BOF 019A (Rev. 01/2012).
NOTE
Authority cited: Sections 23650 and 23655, Penal Code. Reference: Sections 23650 and 23655, Penal Code.
HISTORY
1. Change without regulatory effect renumbering section 977.71 to section 4106 filed 6-28-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 26).
2. Change without regulatory effect amending section heading, section and Note filed 12-27-2011 pursuant to section 100, title 1, California Code of Regulations (Register 2011, No. 52).
Article 7. Service of Notices, Orders, and Communications
§4107. Service of Notices, Orders, and Communications.
Note • History
(a) Except as otherwise provided by law or in these regulations, notices, orders, and other communications may be sent by United States mail, electronic transmission, and/or common carrier to an applicant or Certified FSD Laboratory at the address shown on the Application for Firearm Safety Device Laboratory Certification, Form BOF 019A (Rev. 01/2012).
(b) Notices and orders shall be deemed to have been served upon their deposit, first-class postage prepaid, in the United States mail, and the time specified in any such notice shall commence to run from the date of such mailing.
NOTE
Authority cited: Sections 23650 and 23655, Penal Code. Reference: Sections 23650 and 23655, Penal Code.
HISTORY
1. Change without regulatory effect renumbering section 977.80 to section 4107 filed 6-28-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 26).
2. Change without regulatory effect amending subsection (a) and Note filed 12-27-2011 pursuant to section 100, title 1, California Code of Regulations (Register 2011, No. 52).
Article 8. Roster of Approved Firearms Safety Devices, Appeal Process
§4108. Roster of Approved Firearm Safety Devices.
Note • History
(a) Within ten (10) days of the receipt of the Firearm Safety Device Compliance Test Report Form BOF 021A (Rev. 01/2012), and one FSD, from the Certified FSD Laboratory; the DOJ will determine whether the FSD may be placed on California's Roster of Approved Firearm Safety Devices. After the determination by the DOJ that the FSD may be listed, the DOJ will add the FSD to the roster of Approved Firearm Safety Devices.
(b) Within ten (10) days of the receipt of the request from an FSD manufacturer or dealer to add an FSD to the Roster of Approved Firearm Safety Devices, the DOJ will determine whether the FSD may be listed without testing. If the DOJ finds that the FSD may be listed, the DOJ will add the FSD to the roster.
(c) An FSD may be excluded from the Roster of Approved Firearm Safety Devices for any of the following reasons:
(1) If it is determined that the FSDs submitted for testing were modified in any way from those that were sold after certification was granted.
(2) If it is determined that the FSD does not meet established standards based upon further testing.
(3) If the FSD manufacturer or dealer requests that the FSD be removed from the roster.
(d) An FSD manufacturer or party of interest may submit a written request to list an FSD that was voluntarily discontinued. The written request must state that no modifications have been made to the model and be submitted to the DOJ.
NOTE
Authority cited: Sections 23650 and 23655, Penal Code. Reference: Sections 23650 and 23655, Penal Code.
HISTORY
1. Change without regulatory effect renumbering section 977.85 to section 4108 filed 6-28-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 26).
2. Change without regulatory effect amending section heading, section and Note filed 12-27-2011 pursuant to section 100, title 1, California Code of Regulations (Register 2011, No. 52).
§4109. Appeal Process for DOJ Exclusion of a FSD Model from the Roster of Approved Firearm Safety Devices.
Note • History
(a) Upon DOJ-initiated removal of a model of an FSD from the Roster of Approved Firearm Safety Devices, or a refusal by the DOJ to list a model of an FSD on the roster, the DOJ shall immediately notify the manufacturer, dealer, or other affected party of interest of the action.
(b) The manufacturer, dealer, or affected party of interest may, within 30 days following the date of removal, appeal the DOJ action by providing the DOJ with the following:
(1) Written request to appeal the removal.
(2) Evidence supporting any claim that the DOJ may have acted improperly in its exclusion of the FSD from the roster or in its refusal to list the device on the roster.
(3) Evidence that the FSD meets the standards described in these regulations.
(4) Any other information that the manufacturer, dealer, or other affected party of interest deems of importance.
(5) Any other information that the DOJ deems necessary to determine whether the FSD meets the standards described in these regulations.
(c) Within 30 days after the deadline prescribed in subdivision (b) of this section, the DOJ shall consider all relevant facts regarding the FSD and make a determination regarding whether that FSD qualifies to be listed on the Roster of Approved Firearm Safety Devices. If the DOJ makes a finding that the device qualifies for listing on the roster, the DOJ shall immediately add that device to the Roster of Approved Firearm Safety Devices.
NOTE
Authority cited: Sections 23650 and 23655, Penal Code. Reference: Sections 23650 and 23655, Penal Code.
HISTORY
1. Change without regulatory effect renumbering section 977.90 to section 4109 filed 6-28-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 26).
2. Change without regulatory effect amending section heading, section and Note filed 12-27-2011 pursuant to section 100, title 1, California Code of Regulations (Register 2011, No. 52).
Chapter 7. Dangerous Weapons
Article 1. General Provisions
Note • History
This chapter shall be known as the “Department of Justice Regulations on Dangerous Weapons,” may be cited as such and are referred to herein as “these regulations.”
NOTE
Authority cited: Sections 18900, 18905, 18910, 32650, 32700, 32705, 32710, 32715, 32720 and 33300, Penal Code. Reference: Sections 18900, 18905, 18910, 32650, 32700, 32705, 32710, 32715, 32720 and 33300, Penal Code.
HISTORY
1. Change without regulatory effect renumbering division 1, chapter 12.5 (articles 1-7, sections 970-976.4) to division 5, chapter 7 (articles 1-7, sections 4125-4153) and renumbering section 970 to section 4125 filed 6-28-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 26).
2. Change without regulatory effect amending section and Note filed 12-27-2011 pursuant to section 100, title 1, California Code of Regulations (Register 2011, No. 52).
Note • History
The provisions of these regulations shall apply to the possession, transportation, and/or sales of dangerous weapons as defined in section 4127 of these regulations.
NOTE
Authority cited: Sections 18900, 18905, 18910, 32650, 32700, 32705, 32710, 32715. 32720 and 33300, Penal Code. Reference: Sections 18900, 18905, 18910, 32650, 32700, 32705, 32710, 32715, 32720 and 33300, Penal Code.
HISTORY
1. Change without regulatory effect renumbering section 970.1 to section 4126, including amendment of section, filed 6-28-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 26).
2. Change without regulatory effect amending Note filed 12-27-2011 pursuant to section 100, title 1, California Code of Regulations (Register 2011, No. 52).
Article 2. Definitions
§4127. Definition of Key Terms.
Note • History
(a) The term “Chief” means the Chief of the Bureau of Firearms, Division of Law Enforcement, Department of Justice (DOJ), State of California.
(b) The term “Administrative Hearing Officer” means an employee of the DOJ designated by the Chief. The hearing officer so designated shall not have participated in the decision to grant, deny, or revoke the license or permit that is the subject of a hearing before him/her.
(c) The term “machinegun license” means a license to sell machineguns pursuant to Penal Code section 32700.
(d) The term “machinegun permit” means a permit to possess, manufacture, or transport machineguns pursuant to Penal Code section 32650.
(e) The term “destructive device permit” means a permit to collect, possess and transport or conduct business in destructive devices pursuant to Penal Code section 18900.
(f) The term “short-barreled shotgun or short-barreled rifle permit” means a permit issued pursuant to Penal Code section 33300.
(g) The term “licensee” means a person holding a machinegun license defined in subdivision (d) of this section.
(h) The term “assault weapon permit” means a permit issued pursuant to Penal Code section 31000.
(i) The term “permittee” means a person holding a permit defined in subdivisions (e), (f), (g) or (i) of this section.
(j) The term “collector” means a person holding a destructive device permit who collects destructive devices as a hobby and not a business.
(k) The term “applicant” means any person who submits the required documentation, proper application forms, and appropriate fees for a dangerous weapons license/permit.
(l) The term “dangerous weapons” means machineguns as defined in Penal Code section 16880, destructive devices as defined in Penal Code section 16460, short-barreled shotguns and short-barreled rifles as defined in Penal Code sections 17170 and 17180, and assault weapons as defined in Penal Code sections 30510 and 30515.
(m) The term “conditions” means express terms that appear on the face of each permit issued by the DOJ. These are conditions or limitations such as time, place and circumstances that permittees shall comply with to retain their permits.
(n) The term “market necessity” means a non-personal commercial need for dangerous weapons which is not being satisfied in the existing market place.
(o) The term “public necessity” means a need for dangerous weapons to be used in government sanctioned training or activities or a need for repair and maintenance of dangerous weapons owned by public agencies.
(p) The term “permit location” means the authorized place of business identified by the DOJ on the face of the license/permit.
(q) The term “initial application” means the application for an individual who does not possess a current, valid license/permit.
(r) The term “renewal application” means an application for a new license/permit term year for an individual holding a current, valid license/permit.
(s) The term “term year” means the 12-month period that a license/permit is valid as stated on its face.
(t) The term “sales demonstration” means the presentation of a dangerous weapon at a site other than the permit location to an agency/individual(s) legally qualified to purchase dangerous weapons. A valid sales demonstration is conducted exclusively for the purpose of generating legally authorized sales of the dangerous weapon being demonstrated.
NOTE
Authority cited: Sections 16880, 18900, 18905, 30520, 31000, 32650, 32700, 32705, 32710, 32715, 32720 and 33300, Penal Code. Reference: Sections 16460, 16880, 17170, 17180, 18900, 18905, 30510, 30515, 31000, 32650, 32655, 32700, 32705, 32710, 32715, 32720, 33300 and 33305, Penal Code.
HISTORY
1. Change without regulatory effect renumbering section 971 to section 4127 filed 6-28-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 26).
2. Change without regulatory effect amending section and Note filed 12-27-2011 pursuant to section 100, title 1, California Code of Regulations (Register 2011, No. 52).
Article 3. Licenses and Permits
Note • History
(a) Except as provided in sections 30900 through 30945, 31050, 31055, and 31100 of the Penal Code, no person shall possess, transport, or sell any dangerous weapon in this state unless he/she has been granted a license and/or permit pursuant to these regulations.
(b) No license or permit shall be issued to any applicant who fails to establish good cause for such license or permit and that such license or permit would not endanger the public safety.
(c) To establish good cause, an applicant must provide the DOJ with clear and convincing evidence that there is a bona fide market or public necessity for the issuance of a dangerous weapons license or permit and that the applicant can satisfy that need without endangering public safety. Except as provided by Penal Code section 33300, good causes recognized by the DOJ to establish a bona fide necessity for issuance of dangerous weapons licenses or permits include the following:
(1) Sales to and/or manufacture for sales to law enforcement, military and/or dangerous weapon licensees/permittees.
(2) Training, research and development; and/or manufacturing pursuant to government contract.
(3) Use and/or manufacture of dangerous weapons as props in commercial motion picture, television production, or other commercial entertainment events.
(4) Possession for the purpose of maintaining a collection of destructive devices as defined in Penal Code section 16460 but such possession shall not be allowed for short-barreled shotguns, short-barreled rifles, machineguns or assault weapons.
(5) Repair and maintenance of dangerous weapons lawfully possessed by others.
(6) Use of dangerous weapons in activities sanctioned by government military agencies by members of those agencies.
(7) The sale of assault weapons and/or the manufacture of assault weapons for the sale to, purchase by, or possession of assault weapons by: the agencies listed in Penal Code section 30625, and the officers described in Penal Code section 30630; entities and persons who have been issued assault weapon permits; entities outside the state who have, in effect, a federal firearms dealer's license solely for the purpose of distribution to an entity listed herein; federal law enforcement and military agencies; law enforcement and military agencies of other states; and foreign governments and agencies approved by the United States State Department.
(8) Use of dangerous weapons for the design, manufacture, demonstration, and sales of dangerous weapons accessories to law enforcement and military agencies, qualifying peace officers, and California dangerous weapons licensee/permittees.
(d) No license or permit shall be issued to any applicant who fails to comply with local zoning restrictions or local fire-protective services regulations or ordinances.
(e) The DOJ shall provide a notice of each license or permit issued to the Chief of Police or Sheriff having jurisdiction over the licensee or permittee's location. Copies of outstanding licenses and permits shall be provided to the Chief or Sheriff of jurisdiction upon request.
NOTE
Authority cited: Sections 18900, 31000, 32650, 32700, 32705, 32710, 32715 and 33300, Penal Code. Reference: Sections 18900, 31000, 32650, 32700, 32705, 32710, 32715 and 33300, Penal Code.
HISTORY
1. Change without regulatory effect renumbering section 972 to section 4128 filed 6-28-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 26).
2. Change without regulatory effect amending section and Note filed 12-27-2011 pursuant to section 100, title 1, California Code of Regulations (Register 2011, No. 52).
§4129. Limited Term Licenses/Permits; Conditions.
Note • History
(a) Limited term licenses/permits (less than one year) may be granted to provide for lawful possession until the DOJ has issued a decision on an application to renew a license/permit if that determination has taken longer than 30 days or for the purpose of using dangerous weapons for a limited term during a commercial motion picture, television production, or other commercial entertainment event. Limited term permits may also be issued when a background investigation has not yet been completed or before a background investigation has been initiated if the applicant is working under a valid federal defense contract.
(b) In addition, permits shall stipulate any conditions or limitations that apply on their face.
NOTE
Authority cited: Sections 18900, 18905, 32650, 32700, 32705, 32710, 32715 and 33300, Penal Code. Reference: Sections 18900, 18905, 32650, 32655, 32700, 32705, 32710, 32715 and 33300, Penal Code.
HISTORY
1. Change without regulatory effect renumbering section 972.1 to section 4129 filed 6-28-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 26).
2. Change without regulatory effect amending section heading, subsection (a) and Note filed 12-27-2011 pursuant to section 100, title 1, California Code of Regulations (Register 2011, No. 52).
Note • History
(a) All licensees/permittees shall maintain records of inventory, acquisitions, dispositions and manufacture of dangerous weapons.
(1) All licensees/permittees shall maintain current records of inventory, acquisitions, dispositions and manufacture which shall contain a description of each dangerous weapon that identifies it uniquely including all identification marks, numbers/letters, and/or serial numbers (for firearms, the record shall contain the make, model, serial number, and caliber). The current records of inventory, acquisitions, dispositions, and manufacture shall be maintained on forms BOF 041 (Rev. 01/2012), 042 (Rev. 01/2012), 043 (Rev. 01/2012), and 044 (Rev. 01/2012), or a computer generated printout of the same format as the forms listed above.
(2) All licensees/permittees shall submit to the DOJ an annual report of inventory, acquisitions, dispositions and manufacture of dangerous weapons with every annual license/permit renewal application submission. The annual report shall be submitted on forms BOF 041 (Rev. 01/2012), 042 (Rev. 01/2012), 043 (Rev. 01/2012), and 044 (Rev. 01/2012), or a computer generated printout of the same format as the forms listed above. The annual report shall be continuous from the prior year's renewal application annual report, the annual report shall present all dangerous weapons possessed by the licensee/permittee at any time during the reporting permit term, and the annual report shall denote all acquisitions, dispositions, manufactured weapons, weapons that have been lost or stolen, and weapons the licensee/permittee continues or continued to possess from the prior permit term.
(A) The annual report shall contain a description of each dangerous weapon as prescribed in paragraph (1) of this subdivision.
(B) The annual report shall identify the date of all transactions, type of transaction (acquisition, disposition, manufacture, loss or theft), the full name, address and, if applicable, the Federal Firearms License (FFL) number and/or California Dangerous Weapons License/Permit number(s), or other authorization of all parties to the transaction.
(b) Licensees/permittees authorized to demonstrate and sell dangerous weapons shall maintain records of dangerous weapons sales demonstrations.
(1) Licensees/permittees authorized to demonstrate and sell dangerous weapons shall maintain current records of all sales demonstrations performed during the term year on form BOF 025 (Rev. 01/2012), or a computer generated printout of the same format as form BOF 025 (Rev. 01/2012). For each demonstration conducted, the records shall include the date, time, place, agency's name, and agency's contact name(s) and rank(s). Records shall also include a description of each dangerous weapon demonstrated as prescribed in subdivision (a)(1) of this section.
(2) Licensees/permittees authorized to demonstrate and sell dangerous weapons shall submit to the DOJ an annual report of all sales demonstrations performed with every annual license/permit renewal application submission.
(A) The annual report shall be submitted on form BOF 025 (Rev. 01/2012) or a computer generated printout of the same format as form BOF 025 (Rev. 01/2012). The annual report shall be continuous from the prior year's renewal application annual report. The annual report shall present the date, time, place, agency's name, and agency's contact name(s) and rank(s). Records shall also include a description of the dangerous weapon(s) demonstrated as prescribed by subdivision (a)(1) of this section.
(B) Licensees/permittees authorized to demonstrate and sell dangerous weapons who have not conducted any sales or demonstrations during the term year shall submit to the DOJ documents demonstrating an effort to sell or demonstrate dangerous weapons. Such documents may include, but are not limited to, business correspondence and bid proposals which show any reasonable effort to sell dangerous weapons, and any rationale why the DOJ should not deny the renewal of the permit pursuant to section 4147, subdivision (a)(4) of these regulations.
(c) Permittees authorized to conduct training and/or research & development shall maintain records of training and/or research & development activities involving dangerous weapons.
(1) Permittees authorized to conduct training and/or research & development shall maintain current records of training and/or research & development activities involving dangerous weapons on form BOF 024 (Rev. 01/2012). For each activity, the records shall include the date(s), location, supervising permittee name and permit number, a description of the dangerous weapon(s) used as prescribed by subdivision (a)(1) of this section, and the pertinent contract number of the contracting governmental agency or subcontractor for whom the training and/or research & development activity is conducted.
(2) Permittees authorized to conduct training and/or research & development shall submit to the DOJ an annual report of all training and/or research & development activities involving dangerous weapons.
(A) The annual report shall be submitted on form BOF 024 (Rev. 01/2012) or a computer generated printout of the same format as form BOF 024 (Rev. 01/2012). The annual report shall be continuous from the prior year's renewal application annual report. The annual report shall present the date(s), location, supervising permittee name and permit number, a description of the dangerous weapon(s) used as prescribed by subdivision (a)(1) of this section, and the pertinent contract number of the contracting governmental agency, or subcontractor, for whom the training and/or research & development activity is conducted.
(B) Permittees authorized to conduct training and/or research & development who have not conducted any training and/or research & development activities during the term year shall submit to the DOJ a detailed explanation why such activities were not performed and provide any rationale why the DOJ should not deny the renewal of the permit pursuant to section 4147, subdivision (a)(4) of these regulations.
(d) Permittees authorized to use dangerous weapons in commercial motion picture, television production, or other commercial entertainment events shall maintain records of those activities.
(1) Permittees authorized to use dangerous weapons in commercial motion picture, television production, or other commercial entertainment events shall maintain records of those activities on form BOF 048 (Rev. 01/2012), or a computer generated printout of the same format as form BOF 048 (Rev. 01/2012). For each activity, the records shall include the date(s), location, production company name and contact person, and a description of the dangerous weapon(s) used as prescribed by subdivision (a)(1) of this section.
(2) Permittees authorized to use dangerous weapons in commercial motion picture, television production, or other commercial entertainment events shall provide an annual report of all commercial motion picture, television production, or other commercial entertainment event activities provided.
(A) The annual report shall be submitted on form BOF 048 (Rev. 01/2012), or a computer generated printout of the same format as form BOF 048 (Rev. 01/2012). The annual report shall be continuous from the prior year's renewal application annual report. The annual report shall present the date(s), location, production company name and contact person, a description of the dangerous weapon(s) used as prescribed by subdivision (a)(1) of this section.
(B) Permittees authorized to use dangerous weapons in commercial motion picture, television production, or other commercial entertainment events who have not provided these services during the term year shall submit to the DOJ a detailed explanation why such activities were not performed and provide rationale why the DOJ should not deny the renewal of the permit pursuant to section 4147, subdivision (a)(4) of these regulations.
(e) Permittees authorized to collect destructive devices shall provide a signed statement that the weapon(s) or ordnance were not fired or discharged. Permittees authorized to publicly display their destructive device inventory shall maintain records of when their collection was put on display.
(1) All permittees authorized to collect destructive devices shall provide a signed statement certifying that the weapon(s) or ordnance have not been fired or discharged on form BOF 026 (Rev. 01/2012).
(2) Permittees authorized to collect destructive devices shall maintain current records of any public displays during the term year on form BOF 026 (Rev. 01/2012), or a computer generated printout of the same format as form BOF 026 (Rev. 01/2012). For each display, the records shall identify the time, place and purpose of the display.
(3) Permittees authorized to collect destructive devices shall submit to the DOJ an annual report of any public displays.
(A) The annual report shall be submitted on form BOF 026 (Rev. 01/2012), or a computer generated printout of the same format as form BOF 026 (Rev. 01/2012). The annual report shall be continuous from the prior year's renewal application annual report. The annual report shall present the time, place, device(s) displayed, and purpose of each display. Destructive devices used shall be described as prescribed by subdivision (a)(1) of this section.
(B) Permittees authorized to collect destructive devices, who have disposed of their collection, shall submit to the DOJ a detailed explanation why the collection was dissolved. Permittees with no collection shall provide any rationale why the DOJ should not deny the renewal of the permit pursuant to section 4147, subdivision (a)(4) of these regulations.
(f) Permittees authorized to conduct repair and maintenance of dangerous weapons shall maintain records of repair and maintenance services provided.
(1) Permittees authorized to repair and maintain dangerous weapons shall maintain current records of those services on form BOF 027 (Rev. 01/2012), or a computer generated printout of the same format as form BOF 027 (Rev. 01/2012). For each service performed, the record shall include the date of service, the service provided, the person to whom the service was provided, and a description of the dangerous weapon as prescribed by subdivision (a)(1) of this section.
(2) Permittees authorized to repair and maintain dangerous weapons shall submit to the DOJ an annual report of all services provided.
(A) The annual report shall be submitted on form BOF 027 (Rev. 01/2012), or a computer generated printout of the same format as form BOF 027 (Rev. 01/2012). The annual report shall be continuous from the prior year's renewal application annual report. The annual report shall include the date of service, the service provided, the person to whom the service was provided, and a description of the weapon.
(B) Permittees authorized to repair and maintain dangerous weapons who have not conducted any repairs or maintenance during the term year shall submit to the DOJ any rationale why the DOJ should not deny the renewal of the permit pursuant to section 4147, subdivision (a)(4) of these regulations.
(g) Military personnel permitted to use personal assault weapons in military sanctioned activities shall maintain records of those activities.
(1) Permittees authorized to use personal assault weapons in military sanctioned activities shall maintain records of those activities on form BOF 047 (Rev. 01/2012), or a computer generated printout of the same format as form BOF 047 (Rev. 01/2012). For each permitted activity, the records shall include the date, location, type of activity and the weapons used. Records shall include a description of the weapon as prescribed by subdivision (a)(1) of this section.
(2) Permittees authorized to use personal assault weapons in military sanctioned activities shall submit to the DOJ an annual report of all services provided.
(A) The annual report shall be submitted on form BOF 047 (Rev. 01/2012), or a computer generated printout of the same format as form BOF 047 (Rev. 01/2012). The annual report shall be continuous from the prior year's renewal application annual report. The annual report shall include the date, location, type of activity, and a description of the weapons used.
(B) Military personnel permitted to use personal assault weapons in military sanctioned activities, who have not conducted any permitted activities, must provide a letter signed by the permittee's Base Commander from the permittee's employing agency stating that such a need still exists.
(h) All records described in this section shall be made available by the licensee/permittee to any peace officer or other persons designated by the Attorney General upon request.
NOTE
Authority cited: Sections 18900, 18905, 18910, 31000, 32650, 32700, 32715, 33300 and 33310, Penal Code. Reference: Sections 18900, 18905, 18910, 31000, 32650, 32700, 32715, 33300 and 33310, Penal Code.
HISTORY
1. Change without regulatory effect renumbering section 972.2 to section 4130, including amendment of subsections (b)(2)(B), (c)(2)(B), (d)(2)(B), (e)(3)(B) and (f)(2)(B), filed 6-28-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 26).
2. Change without regulatory effect amending section and Note filed 12-27-2011 pursuant to section 100, title 1, California Code of Regulations (Register 2011, No. 52).
§4131. Disposition of Trade-In Machineguns.
Note • History
(a) A licensee who takes trade-in machineguns in the process of a sale of contemporary weapons, shall lawfully dispose of such weapons within eighteen months.
(1) The licensee may apply for a longer period of retention by supplying the DOJ with an expression of interest by a qualified purchaser.
(2) In no event shall such a machinegun be retained for a total of more than two years.
(b) The licensee shall be able to provide written documentation that the transfer was concluded. Failure to dispose of such machineguns may result in revocation of the machinegun license/permit.
NOTE
Authority cited: Sections 32700, 32720 and 32750, Penal Code. Reference: Sections 32700, 32720 and 32750, Penal Code.
HISTORY
1. Change without regulatory effect renumbering section 972.3 to section 4131 filed 6-28-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 26).
2. Change without regulatory effect amending section heading, section and Note filed 12-27-2011 pursuant to section 100, title 1, California Code of Regulations (Register 2011, No. 52).
Article 3.5. Documentation of Necessity
Note • History
(a) Documentation required to determine bona fide necessity for sales and demonstration for the purpose of sales of dangerous weapons includes the following:
(1) A list of counties in California where the applicant plans to sell dangerous weapons.
(2) Expressions of interest from a chief of police or designee, sheriff or designee, or head of a government agency or designee in each specified county indicating the number and type of dangerous weapons they plan to buy during the next 18 months and a statement that the agency will consider purchasing dangerous weapons from the applicant.
(3) The number of demonstrations the applicant intends to conduct, the specific agencies to which the applicant intends to demonstrate, and the number/type of dangerous weapons to be used in the demonstrations.
(4) The number/type of dangerous weapons the applicant plans to have in his inventory for demonstrations, and a statement indicating whether these dangerous weapons are for sale.
(5) A plan to notify law enforcement or government agencies concerning demonstrations and/or sales.
(6) Letters from manufacturers authorizing an applicant to represent their dangerous weapons for sale.
(7) A list of manufacturers, makes, and models of dangerous weapons that the applicant plans to market.
(8) A plan to deliver dangerous weapons once a sale is made.
(9) A plan for the disposal of dangerous weapons taken in trade.
(10) A history of the applicant's experience in the handling and demonstrations of dangerous weapons.
(b) Applicants for permits to possess dangerous weapons for sale must also provide evidence of a current FFL, local business license, and current seller's permit issued by the State Board of Equalization.
NOTE
Authority cited: Sections 18900, 31000, 31050, 31055, 32650, 32700, 32705 and 33300, Penal Code. Reference: Sections 18900, 31000, 31050, 31055, 32650, 32700, 32705 and 33300, Penal Code.
HISTORY
1. Change without regulatory effect renumbering section 972.4 to section 4132 filed 6-28-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 26).
2. Change without regulatory effect amending subsection (b) and Note filed 12-27-2011 pursuant to section 100, title 1, California Code of Regulations (Register 2011, No. 52).
§4133. Training; Research & Development; and/or Manufacturing.
Note • History
(a) Documentation required to determine bona fide necessity for training; research & development; and/or manufacturing of dangerous weapons pursuant to Government contract includes the following:
(1) Current copies of government agency contracts.
(2) Detailed statements of objectives of the training, research & development, and/or manufacturing including time frames of the effort and a projected completion date.
NOTE
Authority cited: Sections 18900, 31000, 32650, 32700, 32705 and 33300, Penal Code. Reference: Sections 18900, 31000, 32650, 32700, 32705 and 33300, Penal Code.
HISTORY
1. Change without regulatory effect renumbering section 972.5 to section 4133 filed 6-28-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 26).
2. Change without regulatory effect amending Note filed 12-27-2011 pursuant to section 100, title 1, California Code of Regulations (Register 2011, No. 52).
§4134. Commercial Motion Picture, Television Production, or Other Commercial Entertainment Event.
Note • History
(a) Documentation required to determine bona fide necessity for possession or manufacturing of dangerous weapons for commercial motion picture, television production, or other commercial entertainment event includes the following:
(1) If an agent of a studio, the applicant must provide a letter of need and verification of employment from the studio.
(2) If an agent of a rental company or an independent property master, the applicant must provide letters of interest from the studios.
(b) Persons attempting to establish a business in this area who have not yet been retained by clients shall provide copies or business correspondence or other evidence of their activities which they deem will show reasonable efforts to supply dangerous weapons for use in commercial motion picture, television production, or other commercial entertainment event.
NOTE
Authority cited: Sections 18900, 31000, 32650, 32700, 32705 and 33300, Penal Code. Reference: Sections 18900, 31000, 32650, 32700, 32705 and 33300, Penal Code.
HISTORY
1. Change without regulatory effect renumbering section 972.6 to section 4134 filed 6-28-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 26).
2. Change without regulatory effect amending Note filed 12-27-2011 pursuant to section 100, title 1, California Code of Regulations (Register 2011, No. 52).
§4135. Collection of Destructive Devices.
Note • History
(a) Documentation required to determine bona fide necessity for collecting destructive devices includes the following:
(1) A written statement from applicant certifying that he is a bona fide collector of destructive devices. The statement must identify the weapons or ordnance of interest to the collector and an estimate of the intended size of the collection.
(2) A written statement from applicant certifying that the weapon or ordinance will not be fired or discharged.
NOTE
Authority cited: Sections 18900, 31000, 32650, 32700, 32705 and 33300, Penal Code. Reference: Sections 18900, 31000, 32650, 32700, 32705 and 33300, Penal Code.
HISTORY
1. Change without regulatory effect renumbering section 972.7 to section 4135 filed 6-28-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 26).
2. Change without regulatory effect amending Note filed 12-27-2011 pursuant to section 100, title 1, California Code of Regulations (Register 2011, No. 52).
§4136. Repair and Maintenance.
Note • History
(a) Documentation required to determine bona fide necessity for repair of dangerous weapons includes the following:
(1) The applicant must provide evidence of expertise in the specific weaponry (i.e., educational certificates/diplomas, employment history, experience).
(2) Letters of interest must be provided from individuals/agencies indicating a need for applicant to repair or maintain their weaponry.
NOTE
Authority cited: Sections 18900, 31000, 32650, 32700, 32705 and 33300, Penal Code. Reference: Sections 18900, 31000, 32650, 32700, 32705 and 33300, Penal Code.
HISTORY
1. Change without regulatory effect renumbering section 972.8 to section 4136 filed 6-28-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 26).
2. Change without regulatory effect amending Note filed 12-27-2011 pursuant to section 100, title 1, California Code of Regulations (Register 2011, No. 52).
§4137. Activities Sanctioned by Military--Assault Weapons.
Note • History
(a) Documentation required to determine bona fide necessity for use of personal assault weapons by military personnel in sanctioned activities includes the following:
(1) A current copy of the applicant's official identification card.
(2) The applicant must provide a letter, signed by the applicant's Base Commander, stating that such a need exists.
NOTE
Authority cited: Section 31000, Penal Code. Reference: Section 31000, Penal Code.
HISTORY
1. Change without regulatory effect renumbering section 972.9 to section 4137 filed 6-28-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 26).
2. Change without regulatory effect amending Note filed 12-27-2011 pursuant to section 100, title 1, California Code of Regulations (Register 2011, No. 52).
Article 4. Investigations
Note • History
The DOJ shall conduct investigations of applicants for dangerous weapon licenses/permits to establish grounds for the issuance or denial of the application as follows:
(a) Related Persons. Additional persons who may be investigated are:
(1) Persons with 10 percent or more interest in the licensee/permittee's business.
(2) Persons with authority to make management decisions for the licensee/permittee.
(3) Persons who have access to the dangerous weapon(s).
(b) Applicant's Business Role and/or Control of the Business. The following areas may be investigated concerning the applicant's business role and/or control of the business:
(1) Primary function of the business.
(2) Law enforcement's comments on the business.
(3) Applicant's financial interest in the business and source of funds.
(4) Applicant's role in and/or control of the business.
(5) Spouse's association with the business.
(c) Applicant's Personal Qualifications. The following areas may be investigated concerning the applicant's personal background:
(1) Character assessment by personal and/or business acquaintances and appropriate law enforcement and government agencies.
(2) Criminal history and driving record.
(3) Military record.
(4) Past employment or expertise related to the weapon to be covered by the requested license/permit.
(5) Medical history.
NOTE
Authority cited: Sections 18900, 32650, 32700, 32705 and 33300, Penal Code. Reference: Sections 18900, 26195, 32650, 32700, 32705 and 33300, Penal Code; and Sections 1100, 1101, 1102, 1103 and 1105, Evidence Code.
HISTORY
1. Change without regulatory effect renumbering section 973 to section 4138 filed 6-28-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 26).
2. Change without regulatory effect amending section and Note filed 12-27-2011 pursuant to section 100, title 1, California Code of Regulations (Register 2011, No. 52).
§4139. Investigation of New Information.
Note • History
Each applicant and licensee/permittee shall provide written notification to the DOJ of any change in the information required on the application forms within 10 days of the time that the change occurred. An investigation concerning any such change in information may be conducted.
NOTE
Authority cited: Sections 18900, 32650, 32700, 32705, 32710 and 33300, Penal Code. Reference: Sections 18900, 32650, 32700, 32705, 32710 and 33300, Penal Code.
HISTORY
1. Change without regulatory effect renumbering section 973.1 to section 4139 filed 6-28-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 26).
2. Change without regulatory effect amending section and Note filed 12-27-2011 pursuant to section 100, title 1, California Code of Regulations (Register 2011, No. 52).
Article 5. Security
Note • History
(a) Dangerous weapons shall only be stored in facilities, or transported in vehicles, that meet the security requirements described by section 4141 of these regulations, and that have been reported to the DOJ on form BOF 045 (Rev. 01/2012).
(b) Form BOF 045 (Rev. 01/2012) will require the licensee/permittee to provide the following information:
(1) The phone number and physical address of all primary and, if applicable, secondary security compliant storage locations.
(2) The year, make, model, and vehicle identification or license plate number(s), of all security compliant vehicles and trailers.
(3) Statement that all locations and vehicles meet security requirements.
(4) Date and signature of licensee/permittee, attesting, under penalty of perjury, that the preceding is true.
(c) Any change to the information on security compliant storage facilities or transportation vehicles must be reported to the DOJ within 10 days on a new copy of form BOF 045 (Rev. 01/2012).
(d) A violation of this section establishes grounds for revocation pursuant to section 4147, subdivision (a)(5) of these regulations.
NOTE
Authority cited: Sections 18900, 18910, 32650, 32700, 32720 and 33300, Penal Code. Reference: Sections 18910, 32650, 32700, 32720 and 33300, Penal Code.
HISTORY
1. Change without regulatory effect renumbering section 974 to section 4140, including amendment of subsections (a) and (d), filed 6-28-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 26).
2. Change without regulatory effect amending section and Note filed 12-27-2011 pursuant to section 100, title 1, California Code of Regulations (Register 2011, No. 52).
Note • History
The following is a description of required security for storing and transporting machineguns, short-barreled shotguns, short-barreled rifles, assault weapons and destructive devices:
(a) Exterior Building Security Requirements
(1) All perimeter doors to the building shall be solid core and have dead-bolt locks or the equivalent. Sliding glass doors shall have steel window guards or be connected to an audible or silent alarm to detect entry.
(2) All direct entries into the interior storage room from the exterior of the building, including windows and skylights, require steel window guards (not recommended for private residences), or audible, silent or sonic alarm to detect entry, or 24-hour security guard service.
(3) If the dangerous weapon(s) will be stored at a location different from the principal place of business, or at the applicant's residence and that residence is rented/leased, the applicant shall submit written approval from the owner and the location shall meet all specified exterior and interior security requirements.
(4) When the size of the weapon(s) prohibits storage in a residence or room of a business, the weapon shall be permanently secured to prohibit easy removal, and the firing mechanism and any ammunition shall be removed and stored in a separate locked room, cabinet, or box in an area separate from the storage area for the weapon.
(b) Interior Building Security Requirements
(1) The weapon(s) shall be stored in a separate room away from any general living area or work area. Destructive device collectors may display historic, antique or curio weapons in a general living or work area provided such weapons have been disabled by removal of firing mechanisms which shall be stored separately in a safe or equivalent high security storage area.
(2) All doors leading into the storage room shall be solid core with a dead-bolt lock or the equivalent and be locked while unattended, or the weapon(s) shall be stored in an anchored, locked metal box in the room. Anchored is defined as permanently mounted to the floor or having a gross weight of 1,000 pounds or more so that heavy equipment or tools would be required to remove the box.
(3) Any ammunition shall be removed and stored in a separate and locked room, cabinet or box away from the storage area for the weapon. Ammunition may be stored with a weapon if locked in a safe.
(c) Security Requirements for Transporting Machineguns, Assault Weapons and Short-Barreled Shotguns/Rifles
(1) Machineguns, assault weapons, short-barreled shotguns and short-barreled rifles shall be transported in a locked metal container or the equivalent which is bolted to the floor of the vehicle's trunk or securely fastened to the floor in the passenger compartment of the vehicle to prevent unauthorized access. The vehicle shall be locked at all times while unattended.
(2) All locking devices shall be in good operating condition.
(d) Security Requirements for Transporting Destructive Devices
(1) When size or quantity of the weapon(s) permits storage inside the vehicle:
(A) The weapon(s) shall be transported either concealed in the locked storage area of the vehicle, or in a locked metal box or the equivalent which is bolted to the floor of the vehicle. The vehicle shall be locked at all times while unattended.
(B) All locking devices shall be in good operating condition.
(2) When size or quantity of the weapon(s) prohibits storage inside the vehicle:
(A) If the weapon is transported exposed on a pick-up truck or other vehicle, a locking device connecting the weapon to the vehicle is required. The locking mechanism shall be able to resist common tools such as bolt cutters, hammers and cold chisels.
(B) If the weapon is transported on a trailer, the weapon shall be locked to the trailer and the trailer locked to the vehicle at all times while unattended. The locking mechanism shall be able to resist common tools such as bolt cutters, hammers and cold chisels.
(C) If the weapon is mounted on its own axle, the trailer hitch or tongue shall have a locking device connected to the vehicle at all times while unattended. The locking mechanism shall be able to resist common tools such as bolt cutters, hammers and cold chisels.
(D) If a padlock is used to secure a weapon, it shall be secured with a high security, case-hardened, large shackle padlock which is in good operating condition.
(E) A special event permit may be granted to historical societies, civic organizations or collectors requesting such permits to waive transportation security requirements for the purpose of allowing the authentic display of historic, antique, curio destructive devices in patriotic, historic, civic or cultural events.
NOTE
Authority cited: Sections 18900, 18910, 30510, 30515, 30520, 32650, 32700, 32720 and 33300, Penal Code. Reference: Sections 18900, 18910, 30510, 30515, 30520, 32650, 32700, 32705, 32710, 32715, 32720 and 33300, Penal Code.
HISTORY
1. Change without regulatory effect renumbering section 974.1 to section 4141 filed 6-28-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 26).
2. Change without regulatory effect amending first paragraph and subsections (c)-(c)(1) and amending Note filed 12-27-2011 pursuant to section 100, title 1, California Code of Regulations (Register 2011, No. 52).
Article 6. Application Forms, Processing Time, Reporting Requirements, Renewals, Fees, Denials, Revocations
Note • History
(a) Initial applicants shall do all of the following:
(1) Submit fingerprint impressions at a DOJ approved Live Scan station and obtain an Applicant Tracking Identifier (ATI) number.
(2) Complete an initial Dangerous Weapons License/Permit(s) Application Form BOF 030 (Rev. 01/2012), including the ATI number obtained pursuant to paragraph (1).
(3) If applicable, complete the Facility and Vehicle Security Compliance, Form BOF 045 (Rev. 01/2012) statement as described by section 4140, subdivision (b) of these regulations.
(4) Submit the completed initial Dangerous Weapons License/Permit(s) Application, Form BOF 030 (Rev. 01/2012), applicable fees pursuant to section 4145, and/or the Facility and Vehicle Security Compliance, Form BOF 045 (Rev. 01/2012) statement to the DOJ.
(b) Renewal applicants shall submit a Dangerous Weapons License/Permit(s) Renewal Application BOF 031 (Rev. 01/2012), identifying the permit(s)/license(s) for which they are applying and/or requesting renewal.
(c) The forms described in paragraph (2) of subdivision (a) and subdivision (b) require the applicant to provide the following information:
(1) Initial application will require the following information signed, dated, and certified under penalty of perjury: application type requested; applicant's name; business physical addresses; business mailing address; business phone number; business facsimile number (if any); residence address, residence phone number; gender, date of birth, Applicant Tracking Identifier (ATI) number, United States citizenship; if not a United States citizen, the country of citizenship and the federal Alien Registration Number or federal I-94 number; California driver's license number; social security number; height, weight, eye color, hair color; past and present employer data; spousal history; personal history including criminal and medical history background; personal references; business history; identification of the permit location, and a documentation of necessity for obtaining the license/permit.
(d) Renewal application form requires the following information signed, dated, and certified under penalty of perjury: application type requested; applicant's name; business physical addresses; business mailing address; business phone number; current supervisor's name; residence address, residence phone number; gender, date of birth, United States citizenship; if not a United States citizen, the country of citizenship and the federal Alien Registration Number or federal I-94 number; California driver's license number; social security number; height, weight, eye color, hair color, and updates to any changes of information required by the initial application described in paragraph (1).
(e) False statements on application forms or the Facility and Vehicle Security Compliance statement constitute cause for denial or revocation of license/permit.
NOTE
Authority cited: Sections 18900, 18910, 31000, 32655, 32700, 32705, 32710, 32715, 32720 and 33305, Penal Code. Reference: Sections 18900, 18910, 31000, 32655, 32700, 32705, 32710, 32715, 32720 and 33305, Penal Code.
HISTORY
1. Change without regulatory effect renumbering section 975 to section 4142, including amendment of subsections (a)(3) and (a)(4), filed 6-28-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 26).
2. Change without regulatory effect amending section and Note filed 12-27-2011 pursuant to section 100, title 1, California Code of Regulations (Register 2011, No. 52).
§4143. Processing Time. [Renumbered]
Note • History
NOTE
Authority cited: Section 15376, Government Code. Reference: Sections 12095, 12230, 12250, 12305 and 12306, Penal Code.
HISTORY
1. Change without regulatory effect renumbering section 975.1 to section 4143 filed 6-28-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 26).
§4144. Renewal of License/Permit.
Note • History
(a) Completed applications for renewal of license/permit shall be submitted not less than 30 days prior to expiration of the license/permit.
(b) A penalty of 50% of the license/permit fee shall be assessed in cases where the renewal fee is not paid on or before 30 days prior to expiration of the license/permit.
(c) An application for renewal of a license/permit may be denied for any of the reasons listed under sections 4146 and 4147 of these regulations.
(d) At renewal time, all licensees/permittees shall submit their inventory records in the format described in subdivision 4130 of these regulations.
(e) If the DOJ denies renewal of a license/permit, the DOJ shall provide the licensee/permittee with a Notice of Denial of Renewal which shall specify the causes on which the denial of renewal is based within 10 calendar days from the effective date of denial. The DOJ shall not add any additional causes to a notice that has been transmitted to a licensee/permittee but it may, transmit an amended notice with additional causes on which the denial of renewal is based.
NOTE
Authority cited: Sections 18900, 18905, 18910, 32650, 32700, 32705, 32710, 32715 and 33300, Penal Code. Reference: Sections 18900, 18905, 18910, 31000, 31005, 32650, 32655, 32700, 32705, 32710, 32715, 33300 and 33305, Penal Code.
HISTORY
1. Change without regulatory effect renumbering section 975.2 to section 4144, including amendment of subsections (c) and (d), filed 6-28-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 26).
2. Change without regulatory effect amending section heading, section and Note filed 12-27-2011 pursuant to section 100, title 1, California Code of Regulations (Register 2011, No. 52).
Note • History
(a) Each application for a license/permit shall be accompanied with the appropriate fee(s) as follows:
(1) New Application:
(A) Basic fee $377.00.
(B) When more than one license/permit is applied for at the same time and for the same permit location, a fee of $22.00 is required for each additional license/permit requested by the applicant at the permit location.
(2) Renewal Application:
(A) Basic fee $126.00.
(B) When more than one renewal is applied for at the same time and for the same permit location, a fee of $22.00 is required for each additional renewal requested by the applicant at the permit location.
(3) Annual Inspection Fee
Annual inspection fee is due with the annual renewal fee. Annual inspection fee will be determined by the DOJ based on the licensee's/permittee's prior year's reported inventory. No annual inspection fee will be required with the initial application except for those applicants who have held a dangerous weapon permit within the last 24 months. Applicants who have held a license/permit within the last 24 months will be required to pay the annual inspection fee (based on the prior permit term's inventory) at the time the initial application is approved.
(A) Licensees/permittees with less than five dangerous weapons recorded in their inventory in the last 12 months (regardless of whether or not the dangerous weapons were in the inventory at the same time): inspection fee $165.00.
(B) Licensees/permittees with five to twenty-five dangerous weapons recorded in their inventory in the last 12 months (regardless of whether or not the dangerous weapons were in the inventory at the same time): inspection fee $750.00.
(C) Licensees/permittees with twenty-six or more dangerous weapons recorded in their inventory in the last 12 months (regardless of whether or not the dangerous weapons were in the inventory at the same time): inspection fee $1,500.00.
(D) Out-of-state licensees/permittees with no California based permit location and no California based inventory: inspection fee $100.00.
(b) Inspection Frequency
Annual inspection frequency is based on inventory volume. Licensees/permittees with a combined total of five or more dangerous weapons recorded in their inventory during the last 12 months (regardless of whether or not the dangerous weapons were in the inventory at the same time) shall be subject to on-site inspections annually. All other licensees/permittees, including out-of-state licensees/permittees, shall be subject to an on-site inspection (records only inspection for out-of-state licensees/permittees) at least once every five years.
(c) The DOJ shall review and may adjust the fees annually pursuant to Penal Code sections 18905, 18910, 31000, 31005, 32655, 32715, and 33305 and establish a schedule of those fees.
NOTE
Authority cited: Sections 18900, 18905, 18910, 31000, 31005, 32655, 32700, 32705, 32710, 32715 and 33305, Penal Code; and Stats. 2002, ch. 1106 (Senate Bill 1312), Sec. 3, Stats. 2002, ch. 910 (Assembly Bill 2580), Sec. 3-7. Reference: Sections 18900, 18905, 18910, 31000, 31005, 32655, 32700, 32705, 32710, 32715 and 33305, Penal Code; and Stats. 2002, ch. 1106 (Senate Bill 1312), Sec. 3, Stats. 2002, ch. 910 (Assembly Bill 2580), Sec. 3-7.
HISTORY
1. Change without regulatory effect renumbering section 975.3 to section 4145 filed 6-28-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 26).
2. Change without regulatory effect amending section and Note filed 12-27-2011 pursuant to section 100, title 1, California Code of Regulations (Register 2011, No. 52).
§4146. Denial of Application, Reasons, Reconsideration.
Note • History
(a) Applications for licenses/permits shall be denied for the following reasons:
(1) Applicant fails to establish good cause for issuance of the license or permit.
(2) Applicant does not meet security requirements.
(3) Applicant makes false statements on application.
(4) Applicant fails to establish that issuance of the license or permit would not endanger the public safety.
(5) Applicant fails to notify the DOJ of any changes in information as required by section 4139 of these regulations.
(b) When an initial application is denied, the applicant may file, within 30 days, a written request for reconsideration by an Administrative Hearing Officer. Such request may include any and all evidence and legal arguments the applicant believes relevant to a reconsideration of the application. The DOJ shall provide the applicant with a written notice of its final decision within 60 days of the time the request for reconsideration is filed.
(c) When an application is denied after reconsideration a new application may be filed pursuant to section 4148 of these regulations.
NOTE
Authority cited: Sections 18900, 18905, 18910, 32650, 32700, 32705, 32710, 32715, 33300 and 33315, Penal Code. Reference: Sections 18900, 18905, 18910, 32650, 32665, 32700, 32705. 32710, 32715, 33300 and 33315, Penal Code.
HISTORY
1. Change without regulatory effect renumbering section 975.4 to section 4146, including amendment of subsections (a)(5) and (c), filed 6-28-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 26).
2. Change without regulatory effect amending section and Note filed 12-27-2011 pursuant to section 100, title 1, California Code of Regulations (Register 2011, No. 52).
§4147. Revocation and/or Denial of Renewal of License/Permit, Reasons.
Note • History
(a) A license/permit may be revoked anytime during the license/permit year when it is determined the licensee/permittee is no longer eligible, a legitimate need no longer exists, or the license/permit has been misused. Reasons for revocation of license/permit include, but are not limited to:
(1) The licensee/permittee is arrested for an offense which prohibits possession of the license/permit weapon(s).
(2) The licensee/permittee uses the weapon(s) for purposes other than licensed/permitted.
(3) The licensee/permittee fails to engage in business or violates conditions stipulated in the license/permit.
(4) The licensee/permittee fails to keep or provide records of sales and/or demonstrations, if applicable.
(5) The licensee/permittee fails to provide required security.
(6) The licensee/permittee fails to notify the DOJ of any changes in information as required in section 4139 of these regulations.
(7) The licensee/permittee violates any law punishable as a felony, or is convicted of a substantially related misdemeanor crime.
(8) Any reason which would be grounds for denial of an application pursuant to section 4146 of these regulations.
NOTE
Authority cited: Sections 18900, 18905, 18910, 32650, 32700, 32705, 32710, 32715, 32720, 33300 and 33315, Penal Code. Reference: Sections 18900, 18905, 18910, 32650, 32700, 32705, 32710, 32715, 32720, 33300 and 33315, Penal Code.
HISTORY
1. Change without regulatory effect renumbering section 975.5 to section 4147, including amendment of subsections (a)(6) and (a)(8), filed 6-28-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 26).
2. Change without regulatory effect amending section heading, section and Note filed 12-27-2011 pursuant to section 100, title 1, California Code of Regulations (Register 2011, No. 52).
Note • History
An applicant whose license/permit was either denied or revoked may reapply after one year has elapsed from date of denial/revocation except those persons prohibited from possessing firearms under State or Federal law. The waiting period may be shortened upon a showing of good cause.
NOTE
Authority cited: Sections 18900, 18905, 18910, 32650, 32700, 32705, 32710, 32715, 32720, 33300 and 33315, Penal Code. Reference: Sections 18900, 18905, 18910, 32650, 32700, 32705, 32710, 32715, 32720, 33300 and 33315, Penal Code.
HISTORY
1. Change without regulatory effect renumbering section 975.6 to section 4148 filed 6-28-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 26).
2. Change without regulatory effect amending section and Note filed 12-27-2011 pursuant to section 100, title 1, California Code of Regulations (Register 2011, No. 52).
Article 7. Appeal Process
§4149. Notice of Revocation or Notice of Denial of Renewal.
Note • History
(a) The DOJ shall provide the licensee/permittee with a Notice of Intent to Revoke which shall specify all causes on which the revocation is based. Notice shall be provided by personal service, certified or registered mail.
(b) A licensee/permittee who has been served with a Notice of Intent to Revoke or a Notice of Intent to Deny a Renewal may file, within 30 days, a written answer to the notice, which answer shall be deemed a denial of all of the allegations in the notice not expressly admitted.
(c) A licensee/permittee may request a hearing in his/her answer to the notice or no later than 60 days from the date of Notice of Revocation or Notice of Denial of Renewal. If a hearing is requested, the DOJ shall take no revocation action until completion of hearing proceedings pursuant to section 4153 of these regulations.
(d) Failure to make a written request for a hearing within the time period specified in subdivision (b) constitutes a waiver of the right to a hearing.
(e) If the licensee/permittee fails to answer within the time specified in subdivision (b) or, after answer, withdraws his appeal, the action taken by the DOJ shall be final.
(f) Notwithstanding subdivision (c), the DOJ shall take immediate action to revoke any license or permit when there is reason to believe that public safety may be endangered if the licensee/permittee were to retain the license/permit.
NOTE
Authority cited: Sections 18900, 18905, 18910, 32650, 32700, 32705, 32710, 32715, 32720, 33300 and 33315, Penal Code. Reference: Sections 18900, 18905, 18910, 32650, 32700, 32705, 32710, 32715, 32720, 33300 and 33315, Penal Code.
HISTORY
1. Change without regulatory effect renumbering section 976 to section 4149, including amendment of subsection (c), filed 6-28-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 26).
2. Change without regulatory effect amending section and Note filed 12-27-2011 pursuant to section 100, title 1, California Code of Regulations (Register 2011, No. 52).
§4150. Administrative Hearing.
Note • History
(a) If a hearing is requested by the licensee/permittee, a hearing shall be held within 30 days unless time is waived by the licensee/permittee. The hearing shall be conducted by the DOJ's Administrative Hearing Officer.
(b) The licensee/permittee shall be given the opportunity to be heard and to be represented by counsel during any hearing proceedings.
(c) An Administrative Hearing Officer shall voluntarily disqualify himself or herself and withdraw from any case in which he or she cannot accord a fair and impartial hearing or consideration. Any party may request the disqualification of the Administrative Hearing Officer by filing an affidavit, prior to the taking of evidence at a hearing, stating with particularity the grounds upon which it is claimed that a fair and impartial hearing cannot be accorded. The issue shall be determined by another Administrative Hearing Officer.
(d) The proceedings at the hearing shall be reported by a phonographic reporter; except that, upon the consent of all the parties, the proceedings may be reported electronically.
NOTE
Authority cited: Sections 18900, 18910, 32650, 32700, 32720, 33300 and 33315, Penal Code. Reference: Sections 18900, 18910, 32650, 32700, 32720, 33300 and 33315, Penal Code; and Section 11512, Government Code.
HISTORY
1. Change without regulatory effect renumbering section 976.1 to section 4150 filed 6-28-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 26).
2. Change without regulatory effect amending subsections (a)-(b) and amending Note filed 12-27-2011 pursuant to section 100, title 1, California Code of Regulations (Register 2011, No. 52).
§4151. Time and Place of Administrative Hearing.
Note • History
The DOJ shall notify the licensee/permittee of the time and place of the hearing. Failure of the licensee/permittee to appear at the hearing shall be deemed a withdrawal of his/her answer and the action of the DOJ shall be final.
NOTE
Authority cited: Sections 18900, 18910, 32650, 32700, 32720, 33300 and 33315, Penal Code. Reference: Sections 18900, 18910, 32650, 32700, 32720, 33300 and 33315, Penal Code.
HISTORY
1. Change without regulatory effect renumbering section 976.2 to section 4151 filed 6-28-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 26).
2. Change without regulatory effect amending section and Note filed 12-27-2011 pursuant to section 100, title 1, California Code of Regulations (Register 2011, No. 52).
Note • History
(a) Oral evidence shall be taken only on oath or affirmation.
(b) Each party shall have these rights: to call and examine witnesses; to introduce exhibits; to cross-examine opposing witnesses on any matter relevant to the issues even though that matter was not covered in the direct examination; to impeach any witness regardless of which party first called him to testify; and to rebut the evidence against him. If respondent does not testify in his own behalf he may be called and examined as if under cross-examination.
(c) The hearing need not be conducted according to technical rules relating to evidence and witnesses. Any relevant evidence shall be admitted if it is the sort 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 improper the admission of such evidence over objection in civil actions. Hearsay evidence may be used for the purpose of supplementing or explaining other evidence but shall not be sufficient in itself to support a finding unless it would be admissible over objection in civil actions.
NOTE
Authority cited: Sections 18900, 18910, 32650, 32700, 32720, 33300 and 33315, Penal Code. Reference: Sections 18900, 18910, 32650, 32700, 32720, 33300 and 33315, Penal Code; and Section 11513, Government Code.
HISTORY
1. Change without regulatory effect renumbering section 976.3 to section 4152 filed 6-28-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 26).
2. Change without regulatory effect amending Note filed 12-27-2011 pursuant to section 100, title 1, California Code of Regulations (Register 2011, No. 52).
Note • History
The Administrative Hearing Officer shall prepare a proposed decision in such a form that it may be adopted as the decision in the case. A copy of the proposed decision shall be furnished to the licensee/permittee and the Chief no later than 20 days after the hearing. The Chief may adopt the decision in its entirety or may decide the case upon the record with or without taking additional evidence. The licensee/permittee shall be notified of the Chief's decision within 30 days of the hearing or within 30 days of the taking of additional evidence, whichever is later.
NOTE
Authority cited: Sections 18900, 18910, 32650, 32700, 32720, 33300 and 33315, Penal Code. Reference: Sections 18900, 18910, 32650, 32700, 32720, 33300 and 33315, Penal Code.
HISTORY
1. Change without regulatory effect renumbering section 976.4 to section 4153 filed 6-28-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 26).
2. Change without regulatory effect amending section and Note filed 12-27-2011 pursuant to section 100, title 1, California Code of Regulations (Register 2011, No. 52).
Chapter 38. Olympic Pistol Exemptions
§5455. Exemption of Olympic Pistols.
Note • History
(a) The following definitions shall apply to the regulations contained in this chapter:
(1) “USA Shooting or its successor” means the organization that is recognized by the United States Olympic Committee as the national governing body for international shooting competition in the United States.
(2) “DOJ” means the California Department of Justice.
(3) “New model” means a model not previously listed on the roster of Olympic pistols exempted pursuant to this section.
(4) “Olympic pistol” means a handgun that is all of the following:
(A) Is sanctioned for use in Olympic target shooting events by the International Olympic Committee.
(B) Is sanctioned for use in Olympic target shooting events by USA Shooting, or its successor.
(C) Is used for Olympic target shooting purposes.
(D) Falls within the Penal Code section 31910 definition of “unsafe handgun” and/or the Penal Code section 30515 definition of “assault weapon.”
(b)(1) DOJ shall exempt new models of Olympic pistols from the “assault weapon” definition in Penal Code section 30515 and/or the “unsafe handgun” provisions as provided for in Penal Code sections 16380, 16900, 17140, 31900 et seq., 32000 et seq., and 32100 et seq.
(2) DOJ shall base its exemptions on recommendations made by USA Shooting or its successor. Recommendations must meet all of the following requirements:
(A) The recommendation must be in the form of a notarized statement signed and dated by the current chief executive officer of USA Shooting or its successor.
(B) The recommendation must specify the make, model, and caliber of the pistol(s).
(C) The recommendation must include a statement that the pistol(s) is sanctioned by USA Shooting or its successor for use in Olympic target shooting competition.
(D) The recommendation must include a statement that the pistol(s) is used for Olympic target shooting purposes.
(c) DOJ shall maintain a roster of Olympic pistols exempted pursuant to this section.
NOTE
Authority cited: Sections 30515 and 32105, Penal Code. Reference: Sections 30515, 31910, 32000 and 32105, Penal Code.
HISTORY
1. Change without regulatory effect renumbering division 1, chapter 13.7 (section 995) to division 5, chapter 38 (section 5455) filed 6-28-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 26).
2. Change without regulatory effect amending chapter heading, subsections (a)(4)(D)-(b)(1) and Note filed 12-27-2011 pursuant to section 100, title 1, California Code of Regulations (Register 2011, No. 52).
Chapter 39. Assault Weapons and Large- Capacity Magazines
Article 1. General
Note • History
This chapter shall be known as the “Department of Justice Regulations for Assault Weapons and Large-Capacity Magazines,” may be cited as such and are referred to herein as “these regulations.” The provisions of these regulations shall apply to assault weapons as defined in Penal Code section 30515 and as specified pursuant to Penal Code section 30520, and large-capacity magazines as defined in Penal Code section 16740. These regulations do not apply to assault weapons as defined in Penal Code section 30510.
NOTE
Authority cited: Sections 30520, 30900, 30905, 30910, 30915, 30920, 30925, 30930, 30935, 30940, 30945, 30950, 30955, 30960, 30965 and 32315, Penal Code. Reference: Sections 16170(a), 16350, 16740, 16890, 30515, 30520, 30900, 30905, 12079, 30910, 30915, 30920, 30925, 30930, 30935, 30940, 30945, 30950, 30955, 30960, 30965, 32310, 32315, 32400, 32405, 32410, 32415, 32420, 32425, 32430, 32435, 32440, 32445 and 32450, Penal Code.
HISTORY
1. Change without regulatory effect renumbering division 1, chapter 12.8 (articles 1-4, sections 978.10-978.44) to division 5, chapter 39 (articles 1-4, sections 5459-5484) and renumbering section 978.10 to section 5459 filed 6-28-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 26).
2. Change without regulatory effect amending chapter heading, section and Note filed 12-27-2011 pursuant to section 100, title 1, California Code of Regulations (Register 2011, No. 52).
Article 2. Definitions of Terms Used to Identify Assault Weapons
Note • History
The following definitions apply to terms used in the identification of assault weapons pursuant to Penal Code section 30515:
(a) “Detachable magazine” means any ammunition feeding device that can be removed readily from the firearm with neither disassembly of the firearm action nor use of a tool being required. A bullet or ammunition cartridge is considered a tool. Ammunition feeding device includes any belted or linked ammunition, but does not include clips, en bloc clips, or stripper clips that load cartridges into the magazine.
(b) “Flash suppressor” means any device designed, intended, or that functions to perceptibly reduce or redirect muzzle flash from the shooter's field of vision.
(c) “Forward pistol grip” means a grip that allows for a pistol style grasp forward of the trigger.
(d) “Pistol grip that protrudes conspicuously beneath the action of the weapon” means a grip that allows for a pistol style grasp in which the web of the trigger hand (between the thumb and index finger) can be placed below the top of the exposed portion of the trigger while firing.
(e) “Thumbhole stock” means a stock with a hole that allows the thumb of the trigger hand to penetrate into or through the stock while firing.
NOTE
Authority cited: Section 30520, Penal Code. Reference: Sections 16170(a), 16350, 16890, 30515, 30600, 30605, 30610, 30615, 30620, 30625, 30630, 30635, 30640, 30645, 30650, 30655, 30660, 30665, 30670, 30675, 30900, 30905, 30910, 30915, 30920, 30925, 30930, 30935, 30940, 30945, 30950, 30955, 30960 and 30965, Penal Code.
HISTORY
1. Change without regulatory effect renumbering section 978.20 to section 5469 filed 6-28-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 26).
2. Change without regulatory effect amending section and Note filed 12-27-2011 pursuant to section 100, title 1, California Code of Regulations (Register 2011, No. 52).
Article 3. Assault Weapon Registration
§5470. Requirements for Assault Weapon Registrations Pursuant to Penal Code Section 12285. [Repealed]
Note • History
NOTE
Authority cited: Section 12276.5(i), Penal Code. Reference: Sections 12285(a) and (e), Penal Code.
HISTORY
1. Change without regulatory effect renumbering section 978.30 to section 5470 filed 6-28-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 26).
2. Change without regulatory effect repealing section filed 12-27-2011 pursuant to section 100, title 1, California Code of Regulations (Register 2011, No. 52).
Note • History
NOTE
Authority cited: Section 12276.5(i), Penal Code. Reference: Section 12285(a), Penal Code.
HISTORY
1. Change without regulatory effect renumbering section 978.31 to section 5471 filed 6-28-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 26).
2. Change without regulatory effect repealing section filed 12-27-2011 pursuant to section 100, title 1, California Code of Regulations (Register 2011, No. 52).
§5472. Processing Times. [Repealed]
Note • History
NOTE
Authority cited: Sections 15376 and 15378, Government Code. Reference: Sections 15376 and 15378, Government Code.
HISTORY
1. Change without regulatory effect renumbering section 978.32 to section 5472 filed 6-28-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 26).
2. Change without regulatory effect repealing section filed 12-27-2011 pursuant to section 100, title 1, California Code of Regulations (Register 2011, No. 52).
§5473. Voluntary Cancellations.
Note • History
(a) The DOJ will accept voluntary cancellations for assault weapons that are no longer possessed by the registrant. Cancellations will also be accepted for assault weapons, defined and registered pursuant to Penal Code section 30515, that have been modified or reconfigured to no longer meet the assault weapon definition. Cancellation requests must be signed, dated, and provide the following information:
(1) Registrant's full name, telephone number, and current address; make, model, and serial number of the assault weapon; and the DOJ assault weapon registration number (as indicated on the registration confirmation letter provided to the registrant at the time of registration). If the DOJ assault weapon registration number is unknown, the request must be notarized.
(b) After confirmation of the information provided on the cancellation request, the DOJ will permanently delete the registration for the specified assault weapon(s). If there are no remaining assault weapons registered to the individual, all personal information regarding the registrant will also be deleted from the assault weapon data base. The DOJ will mail confirmation of the cancellation to the address provided on the request.
NOTE
Authority cited: Section 30520, Penal Code. Reference: Sections 30900, 30905, 30910, 30915, 30920, 30925, 30930, 30935, 30940, 30945, 30950, 30955, 30960 and 30965, Penal Code.
HISTORY
1. Change without regulatory effect renumbering section 978.33 to section 5473 filed 6-28-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 26).
2. Change without regulatory effect amending section and Note filed 12-27-2011 pursuant to section 100, title 1, California Code of Regulations (Register 2011, No. 52).
Article 4. Large-Capacity Magazine Permits
§5480. Requirements for Large-Capacity Magazine Permits Pursuant to Penal Code Section 32315.
Note • History
(a) This article applies to Penal Code section 32315 permits for the out-of-state importation and exportation of large-capacity magazines as defined in Penal Code section 16740. Importation and exportation includes the transportation of magazines as necessary to complete a transfer to or from an out-of-state source.
(b) No permit shall be issued to any person who fails to establish “good cause” for issuance of the permit and that the permit would not endanger public safety. “Good cause” shall be established by the following:
(1) A statement from the applicant that a large-capacity magazine marketplace exists for their dealership; and
(2) Compliance with The Dangerous Weapons Control Law comprised of the provisions listed in Penal Code section 16580 relative to large-capacity magazines and record keeping requirements specified in section 5483 of these regulations.
(c) Large-capacity magazine permit applications shall be filed on a DOJ form, BOF 050 (Rev. 01/2012) which requires the following information: California Firearms Dealership (CFD) number; dealership name; dealership mailing address; statement of good cause; signature of dealership licensees; and date.
NOTE
Authority cited: Section 32315, Penal Code. Reference: Sections 16740, 32310, 32315, 32400, 32405, 32410, 32415, 32420, 32425, 32430, 32435, 32440, 32445 and 32450, Penal Code.
HISTORY
1. Change without regulatory effect renumbering section 978.40 to section 5480, including amendment of subsection (b)(2), filed 6-28-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 26).
2. Change without regulatory effect amending article heading, section heading, section and Note filed 12-27-2011 pursuant to section 100, title 1, California Code of Regulations (Register 2011, No. 52).
§5481. Processing Times. [Repealed]
Note • History
NOTE
Authority cited: Sections 15376 and 15378, Government Code. Reference: Sections 15376 and 15378, Government Code.
HISTORY
1. Change without regulatory effect renumbering section 978.41 to section 5481 filed 6-28-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 26).
2. Change without regulatory effect repealing section filed 12-27-2011 pursuant to section 100, title 1, California Code of Regulations (Register 2011, No. 52).
§5482. Term Length of Large-Capacity Magazine Permits.
Note • History
(a) The term of a large-capacity magazine permit shall be from January 1 through December 31. It is the responsibility of the permittee to submit a completed renewal application prior to December 31 of each year in order to maintain uninterrupted status as a large-capacity magazine permittee. Renewal applications shall be submitted on the form BOF 050 (Rev. 01/2012) prescribed in section 5480, subdivision (b) of these regulations.
(b) If at any time a permittee is not among the licensed firearms dealers on the DOJ Centralized List of Firearms Dealers, the large-capacity magazine permit is no longer valid and shall be canceled.
NOTE
Authority cited: Section 32315, Penal Code. Reference: Sections 16740. 32310, 32315, 32400, 32405, 32410, 32415, 32420, 32425, 32430, 32435, 32440, 32445 and 32450, Penal Code.
HISTORY
1. Change without regulatory effect renumbering section 978.42 to section 5482, including amendment of subsection (a), filed 6-28-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 26).
2. Change without regulatory effect amending section heading, section and Note filed 12-27-2011 pursuant to section 100, title 1, California Code of Regulations (Register 2011, No. 52).
§5483. Large-Capacity Magazine Permit Record Keeping.
Note • History
Permittees shall maintain acquisition and disposition transaction records of the importation and exportation of large-capacity magazines. Records shall include transaction date, transaction volume; and the name, address, and Federal Firearms License number (if any) of the out of state transferee or transferor. Records must be maintained at the dealership for three years and be made available to representatives of the DOJ or any other law enforcement agency upon request.
NOTE
Authority cited: Section 32315, Penal Code. Reference: Sections 16740 and 32315, Penal Code.
HISTORY
1. Change without regulatory effect renumbering section 978.43 to section 5483 filed 6-28-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 26).
2. Change without regulatory effect amending section heading, section and Note filed 12-27-2011 pursuant to section 100, title 1, California Code of Regulations (Register 2011, No. 52).
§5484. Large-Capacity Magazine Permit Revocations.
Note • History
(a) Large-capacity magazine permits shall be subject to revocation for failure to comply with record keeping requirements specified in section 5483 of these regulations or for failure to comply with The Dangerous Weapons Control Law comprised of the provisions listed in Penal Code section 16580 relative to large-capacity magazines.
(b) All procedures and hearings related to the revocation of a large-capacity magazine permit shall be conducted in accordance with Government Code sections 11500 et seq.
NOTE
Authority cited: Section 32315, Penal Code. Reference: Sections 16740 and 32315, Penal Code.
HISTORY
1. Change without regulatory effect renumbering section 978.44 to section 5484, including amendment of subsection (a), filed 6-28-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 26).
2. Change without regulatory effect amending section heading, section and Note filed 12-27-2011 pursuant to section 100, title 1, California Code of Regulations (Register 2011, No. 52).
Chapter 40. Assault Weapons Identification
§5495. California Penal Code Section 30510, Subdivisions (a) through (c), Assault Weapons List.
Note • History
(a) Rifles
Armalite AR-180
Beretta AR-70
Bushmaster Assault Rifle
Calico M-900
Colt AR-15 (all)
Daewoo AR100, AR110C
Daewoo K-1, K-2
Daewoo Max 1, Max 2
Fabrique Nationale 308 Match, Sporter
Fabrique Nationale FAL, LAR, FNC
HK 91, 94, PSG-1
HK 93
IMI Galil
IMI Uzi
J&R ENG M-68
MAADI CO AK 47
MAADI CO ARM
Made in China 56
Made in China 56S
Made in China 84S
Made in China 86S
Made in China AK
Made in China AK47
Made in China AKM
Made in China AKS
Made in Spain CETME Sporter
MAS 223
Norinco 56
Norinco 56 S
Norinco 84 S
Norinco 86 S
Norinco SKS w/detachable magazine
Poly technologies AK47
Poly technologies AKS
RPB Industries, Inc. sM10, sM11
SIG AMT, PE-57
SIG SG 550, SG 551
Sterling MK-6
Steyr AUG
SWD Incorporated M11
Valmet M62S, M71S, M78S
Weaver Arms Nighthawk
(b) Pistols
Advance Armament Inc. M11
Bushmaster Pistol
Calico M-950
Encom MP-9, MP-45
IMI UZI
Intratec TEC-9
Military Armament Corp. M-11
RPB Industries Inc. sM10, sM11
Sites Spectre
Sterling MK-7
SWD Incorporated M11
(c) Shotguns
Cobray Streetsweeper - S/S Inc., SS/12
Cobray Striker 12
Franchi SPAS 12, LAW 12
NOTE
Authority cited: Section 30520(h), Penal Code. Reference: Section 30510(a), 30510(b), and 30510(c), Penal Code.
HISTORY
1. Change without regulatory effect renumbering division 1, chapter 12.9 (sections 979.10-979.11), to division 5, chapter 40 (sections 5495-5499) and renumbering section 979.10 to section 5495 filed 6-28-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 26).
2. Change without regulatory effect amending section heading and Note filed 12-27-2011 pursuant to section 100, title 1, California Code of Regulations (Register 2011, No. 52).
§5499. California Penal Code Section 30510, Subdivision (f), Assault Weapons List.
Note • History
(a) Rifles
American Arms AK-C 47
American Arms AK-F 39
American Arms AK-F 47
American Arms AK-Y 39
American Spirit USA Model
Armalite AR 10 (all)
Armalite Golden Eagle
Armalite M15 (all)
Arsenal SLG (all)
Arsenal SLR (all)
B-West AK-47 (all)
Bushmaster XM15 (all)
Colt Law Enforcement (6920)
Colt Match Target (all)
Colt Sporter (all)
Dalphon B.F.D.
DPMS Panther (all)
Eagle Arms EA-15 A2 H-BAR
Eagle Arms EA-15 E1
Eagle Arms M15 (all)
Frankford Arsenal AR-15 (all)
Hesse Arms HAR 15A2 (all)
Hesse Arms Model 47 (all)
Hesse Arms Wieger STG 940 Rifle
Inter Ordnance - Monroe, NC AK-47 (all)
Inter Ordnance - Monroe, NC M-97
Inter Ordnance - Monroe, NC RPK
Kalashnikov USA Hunter Rifle/Saiga
Knights RAS (all)
Knights SR-15 (all)
Knights SR-25 (all)
Les Baer Ultimate AR (all)
MAADI CO MISR (all)
MAADI CO MISTR (all)
Mitchell Arms, Inc. AK-47 (all)
Mitchell Arms, Inc. AK-47 Cal .308 (all)
Mitchell Arms, Inc. M-76
Mitchell Arms, Inc. M-90
Mitchell Arms, Inc. RPK
Norinco 81 S (all)
Norinco 86 (all)
Norinco AK-47 (all)
Norinco Hunter Rifle
Norinco MAK 90
Norinco NHM 90, 90-2, 91 Sport
Norinco RPK Rifle
Ohio Ordnance Works (o.o.w.) AK-74
Ohio Ordnance Works (o.o.w.) ROMAK 991
Olympic Arms AR-15
Olympic Arms Car-97
Olympic Arms PCR (all)
Ordnance, Inc. AR-15
Palmetto SGA (all)
Professional Ordnance, Inc. Carbon 15 Rifle
PWA All Models
Rock River Arms, Inc. Car A2
Rock River Arms, Inc. Car A4 Flattop
Rock River Arms, Inc. LE Tactical Carbine
Rock River Arms, Inc. NM A2 - DCM Legal
Rock River Arms, Inc. Standard A-2
Rock River Arms, Inc. Standard A-4 Flattop
Valmet 76 S
Valmet Hunter Rifle
Wilson Combat AR-15
WUM WUM (all)
(b) Pistols
MARS Pistol
Professional Ordnance, Inc. Carbon 15 Pistol
NOTE
Authority cited: Section 30520(h), Penal Code. Reference: Section 30510(f), Penal Code.
HISTORY
1. Change without regulatory effect renumbering section 979.11 to section 5499 filed 6-28-2006 pursuant to section 100, title 1, California Code of Regulations (Register 2006, No. 26).
2. Change without regulatory effect amending section heading and Note filed 12-27-2011 pursuant to section 100, title 1, California Code of Regulations (Register 2011, No. 52).
Division 9. Commission on Peace Officer Standards and Training
Chapter 2. Feasibility Studies [Repealed]
§9020. Peace Officer Feasibility Study Requirements. [Renumbered]
Note • History
NOTE
Authority cited: Sections 13503, 13506 and 13540, Penal Code. Reference: Sections 13540, 13541, 13542 and 13543, Penal Code.
HISTORY
1. New chapter 2 (section 9020) and renumbering of former section 1019 to section 9020, including amendment of section heading and section, filed 6-8-2007; operative 7-8-2007 (Register 2007, No. 23).
2. Repealer of chapter 2 (section 9020) and renumbering of former section 9020 to section 1019 filed 5-9-2012; operative 6-8-2012 (Register 2012, No. 19).
Division 9. Commission on Peace Officer Standards and Training [Repealed]
HISTORY
1. Change without regulatory effect renumbering sections within division 9 to division 2 and repealing division 9 filed 11-26-2012 pursuant to section 100, title 1, California Code of Regulations (Register 2012, No. 48).
Chapter 3. Participation [Repealed]
§9030. POST Program Participation. [Renumbered]
Note • History
NOTE
Authority cited: Sections 13503 and 13506, Penal Code. Reference: Sections 13503, 13522, 13523, 13524, 13525, 13526, 13526.1 and 13526.2, Penal Code.
HISTORY
1. New chapter 3 (sections 9030-9031), new section heading and renumbering of former section 1010, subsections (a)-(c)(3) and (e)-(g) to section 9030, including amendment of section and Note, filed 6-6-2007; operative 7-6-2007 (Register 2007, No. 23).
2. Change without regulatory effect repealing chapter 3 heading and renumbering section 9030 to new subsections 1010(a)-(a)(8)(C) filed 11-26-2012 pursuant to section 100, title 1, California Code of Regulations (Register 2012, No. 48).
§9031. POST Public Safety Dispatcher Program Participation. [Renumbered]
Note • History
NOTE
Authority cited: Sections 13503 and 13506, Penal Code. Reference: Sections 13503, 13522, 13523, 13524, 13525, 13526, 13526.1 and 13526.2, Penal Code.
HISTORY
1. New section heading and renumbering of former section 1010, subsections (d)-(d)(2) to section 9031, including amendment of section and Note, filed 6-6-2007; operative 7-6-2007 (Register 2007, No. 23).
2. Change without regulatory effect renumbering section 9031 to new subsections 1010(b)-(b)(6) filed 11-26-2012 pursuant to section 100, title 1, California Code of Regulations (Register 2012, No. 48).
Chapter 4. Notifications [Repealed]
§9040. Employment Status Notifications. [Renumbered]
Note • History
NOTE
Authority cited: Section 13506, Penal Code. Reference: Sections 13512 and 13510.3, Penal Code.
HISTORY
1. New chapter 4 (sections 9040-9041) and section filed 10-2-2008; operative 11-1-2008 (Register 2008, No. 40).
2. Amendment of section heading and section filed 10-6-2010; operative 11-5-2010 (Register 2010, No. 41).
3. Change without regulatory effect repealing chapter 4 heading and renumbering section 9040 to new subsections 1003(a)-(b)(2) filed 11-26-2012 pursuant to section 100, title 1, California Code of Regulations (Register 2012, No. 48).
§9041. Disqualification Notification Requirements. [Renumbered]
Note • History
NOTE
Authority cited: Section 13506, Penal Code. Reference: Sections 13512 and 13510.3, Penal Code.
HISTORY
1. New section filed 10-2-2008; operative 11-1-2008 (Register 2008, No. 40).
2. Amendment filed 10-6-2010; operative 11-5-2010 (Register 2010, No. 41).
3. Change without regulatory effect renumbering section 9041 to new subsections 1003(c)-(c)(2)(G) filed 11-26-2012 pursuant to section 100, title 1, California Code of Regulations (Register 2012, No. 48).
Chapter 5. Peace Officer Selection Requirements [Repealed]
§9050. Peace Officer Selection Requirements. [Renumbered]
Note • History
NOTE
Authority cited: Sections 1030, 1031 and 1031.5, Government Code; Section 2267, Vehicle Code; and Sections 13503, 13506 and 13510, Penal Code. Reference: Sections 1029, 1030, 1031, 1031.5 and 12900 et seq., Government Code; Sections 2267 and 12500, Vehicle Code; Sections 12021(c) and 13510, Penal Code; and Title 18 Section 922(d)(9), US Code.
HISTORY
1. New chapter 5 (sections 9050-9055) and section filed 4-1-2009; operative 7-1-2009 (Register 2009, No. 14).
2. Change without regulatory effect repealing chapter 5 heading and renumbering section 9050 to section 1950 filed 11-26-2012 pursuant to section 100, title 1, California Code of Regulations (Register 2012, No. 48).
§9051. Peace Officer Reading and Writing Ability Assessment. [Renumbered]
Note • History
NOTE
Authority cited: Sections 13503, 13506 and 13510, Penal Code. Reference: Section 13510, Penal Code.
HISTORY
1. New section filed 4-1-2009; operative 7-1-2009 (Register 2009, No. 14).
2. Change without regulatory effect renumbering section 9051 to section 1951 filed 11-26-2012 pursuant to section 100, title 1, California Code of Regulations (Register 2012, No. 48).
§9052. Peace Officer Oral Interview. [Renumbered]
Note • History
NOTE
Authority cited: Sections 13503, 13506 and 13510, Penal Code. Reference: Section 13510, Penal Code.
HISTORY
1. New section filed 4-1-2009; operative 7-1-2009 (Register 2009, No. 14).
2. Change without regulatory effect amending subsection (c) filed 10-14-2009 pursuant to section 100, title 1, California Code of Regulations (Register 2009, No. 42).
3. Change without regulatory effect renumbering section 9052 to section 1952 filed 11-26-2012 pursuant to section 100, title 1, California Code of Regulations (Register 2012, No. 48).
§9053. Peace Officer Background Investigation. [Renumbered]
Note • History
NOTE
Authority cited: Sections 1030, 1031, 1031.2 and 1031.5, Government Code; Section 2267, Vehicle Code; and Sections 13503, 13506 and 13510, Penal Code. Reference: Sections 1029, 1030, 1031, 1031.2, 1031.5 and 12900 et seq., Government Code; Sections 2267 and 12500, Vehicle Code; Sections 12021(c) and 13510, Penal Code; and Title 18 Section 922(d)(9), US Code.
HISTORY
1. New section filed 4-1-2009; operative 7-1-2009 (Register 2009, No. 14).
2. Change without regulatory effect amending subsections (b), (c), (e)(5)(A)4. and (e)(10)(A)-(B) filed 10-14-2009 pursuant to section 100, title 1, California Code of Regulations (Register 2009, No. 42).
3. Change without regulatory effect renumbering section 9053 to section 1953 filed 11-26-2012 pursuant to section 100, title 1, California Code of Regulations (Register 2012, No. 48).
§9054. Peace Officer Medical Evaluation. [Renumbered]
Note • History
NOTE
Authority cited: Section 1031, Government Code; Sections 13503, 13506 and 13510, Penal Code. Reference: Section 56.11, Civil Code; Section 1031, Government Code; and Section 13510, Penal Code.
HISTORY
1. New section filed 4-1-2009; operative 7-1-2009 (Register 2009, No. 14).
2. Change without regulatory effect amending subsection (e)(4) filed 10-14-2009 pursuant to section 100, title 1, California Code of Regulations (Register 2009, No. 42).
3. Change without regulatory effect renumbering section 9054 to section 1954 filed 11-26-2012 pursuant to section 100, title 1, California Code of Regulations (Register 2012, No. 48).
§9055. Peace Officer Psychological Evaluation. [Renumbered]
Note • History
NOTE
Authority cited: Section 1031, Government Code; Sections 13503, 13506 and 13510, Penal Code. Reference: Section 56.11, Civil Code; Section 1031, Government Code; and Section 13510, Penal Code.
HISTORY
1. New section filed 4-1-2009; operative 7-1-2009 (Register 2009, No. 14).
2. Change without regulatory effect renumbering section 9055 to section 1955 filed 11-26-2012 pursuant to section 100, title 1, California Code of Regulations (Register 2012, No. 48).
Chapter 5.6. Public Safety Dispatcher Selection Requirements [Repealed]
§9056. Public Safety Dispatcher Selection Requirements. [Renumbered]
Note • History
NOTE
Authority cited: Sections 13503, 13506 and 13510, Penal Code. Reference: Section 13510, Penal Code.
HISTORY
1. New chapter 5.6 (sections 9056-9060) and section filed 4-1-2009; operative 7-1-2009 (Register 2009, No. 14).
2. Change without regulatory effect repealing chapter 5.6 heading and renumbering section 9056 to section 1956 filed 11-26-2012 pursuant to section 100, title 1, California Code of Regulations (Register 2012, No. 48).
§9057. Public Safety Dispatcher Verbal, Reasoning, Memory, and Perceptual Abilities Assessment. [Renumbered]
Note • History
NOTE
Authority cited: Sections 13503, 13506 and 13510, Penal Code. Reference: Section 13510, Penal Code.
HISTORY
1. New section filed 4-1-2009; operative 7-1-2009 (Register 2009, No. 14).
2. Change without regulatory effect amending subsection (b) filed 10-14-2009 pursuant to section 100, title 1, California Code of Regulations (Register 2009, No. 42).
3. Change without regulatory effect renumbering section 9057 to section 1957 filed 11-26-2012 pursuant to section 100, title 1, California Code of Regulations (Register 2012, No. 48).
§9058. Public Safety Dispatcher Oral Communication Assessment. [Renumbered]
Note • History
NOTE
Authority cited: Sections 13503, 13506 and 13510, Penal Code. Reference: Section 13510.
HISTORY
1. New section filed 4-1-2009; operative 7-1-2009 (Register 2009, No. 14).
2. Change without regulatory effect renumbering section 9058 to section 1958 filed 11-26-2012 pursuant to section 100, title 1, California Code of Regulations (Register 2012, No. 48).
§9059. Public Safety Dispatcher Background Investigation. [Renumbered]
Note • History
NOTE
Authority cited: Sections 13503, 13506 and 13510, Penal Code. Reference: Section 13510, Penal Code.
HISTORY
1. New section filed 4-1-2009; operative 7-1-2009 (Register 2009, No. 14).
2. Change without regulatory effect amending subsections (b), (c) and (e)(9)(A)-(B) filed 10-14-2009 pursuant to section 100, title 1, California Code of Regulations (Register 2009, No. 42).
3. Change without regulatory effect renumbering section 9059 to section 1959 filed 11-26-2012 pursuant to section 100, title 1, California Code of Regulations (Register 2012, No. 48).
§9060. Public Safety Dispatcher Medical Evaluation. [Renumbered]
Note • History
NOTE
Authority cited: Sections 13503, 13506 and 13510, Penal Code. Reference: Section 13510, Penal Code; Sections 12900 et seq., 12940 and 12946, Government Code; Section 56.11, Civil Code; and 42 USC 12101.
HISTORY
1. New section filed 4-1-2009; operative 7-1-2009 (Register 2009, No. 14).
2. Change without regulatory effect amending subsection (e)(4) filed 10-14-2009 pursuant to section 100, title 1, California Code of Regulations (Register 2009, No. 42).
3. Change without regulatory effect renumbering section 9060 to section 1960 filed 11-26-2012 pursuant to section 100, title 1, California Code of Regulations (Register 2012, No. 48).
Chapter 7. Certificates [Repealed]
§9070. Professional Certificates -- Peace Officers. [Renumbered]
Note • History
NOTE
Authority cited: Sections 13503 and 13510.1, Penal Code. Reference: Section 1031, Government Code; and Sections 832.4 and 13510.1, Penal Code.
HISTORY
1. New division 9, chapter 7 (sections 9070-9078) and section filed 2-2-2007; operative 3-4-2007 (Register 2007, No. 5).
2. Amendment of subsections (i)(5), (j)(5)-(6) and (k)(5)-(6) filed 3-3-2009; operative 4-2-2009 (Register 2009, No. 10).
3. Redesignation of duplicate subsection (d)(3) designator as (d)(4) and amendment of newly designated subsection (d)(4) and subsection (l)(2) filed 3-30-2011; operative 4-29-2011 (Register 2011, No. 13).
4. Change without regulatory effect repealing chapter 7 heading and renumbering and amending former section 9070 to new subsections 1011(a)-(a)(15) filed 11-26-2012 pursuant to section 100, title 1, California Code of Regulations (Register 2012, No. 48).
§9071. Peace Officer Disqualification and Certificate Records. [Renumbered]
Note • History
NOTE
Authority cited: Sections 1029, Government Code; Sections 13506 and 13510.7, Penal Code. Reference: Sections 13510.7(a)-(b), Penal Code.
HISTORY
1. New section filed 2-2-2007; operative 3-4-2007 (Register 2007, No. 5).
2. Change without regulatory effect renumbering and amending former section 9071 to new subsections 1011(b)-(b)(5)(B) filed 11-26-2012 pursuant to section 100, title 1, California Code of Regulations (Register 2012, No. 48).
§9072. Professional Certificates -- Public Safety Dispatcher. [Renumbered]
Note • History
NOTE
Authority cited: Sections 13503, 13506 and 13510(c), Penal Code. Reference: Section 13510(c), Penal Code.
HISTORY
1. New section filed 2-2-2007; operative 3-4-2007 (Register 2007, No. 5).
2. Amendment of section heading and section filed 6-8-2007; operative 7-8-2007 (Register 2007, No. 23).
3. Amendment of subsection (b) filed 3-30-2011; operative 4-29-2011 (Register 2011, No. 13).
4. Change without regulatory renumbering and amending former section 9072 to new subsections 1011(c)-(c)(7) filed 11-26-2012 pursuant to section 100, title 1, California Code of Regulations (Register 2012, No. 48).
§9073. Professional Certificate -- Records Supervisor. [Renumbered]
Note • History
NOTE
Authority cited: Sections 13503, 13506 and 13510.3, Penal Code. Reference: Section 13510.3 Penal Code.
HISTORY
1. New section filed 2-2-2007; operative 3-4-2007 (Register 2007, No. 5).
2. Amendment of subsection (b) filed 10-2-2008; operative 11-1-2008 (Register 2008, No. 40).
3. Amendment of subsection (c) filed 3-30-2011; operative 4-29-2011 (Register 2011, No. 13).
4. Change without regulatory effect renumbering and amending former section 9073 to new subsections 1011(d)-(d)(6) filed 11-26-2012 pursuant to section 100, title 1, California Code of Regulations (Register 2012, No. 48).
§9076. Certificates of Course Completion. [Renumbered]
Note • History
NOTE
Authority cited: Sections 13503 and 13506, Penal Code. Reference: Sections 13503 and 13506, Penal Code.
HISTORY
1. New section filed 2-2-2007; operative 3-4-2007 (Register 2007, No. 5).
2. Change without regulatory effect renumbering and amending former section 9076 to new subsections 1011(e)-(e)(4) filed 11-26-2012 pursuant to section 100, title 1, California Code of Regulations (Register 2012, No. 48).
§9077. Certificate Replacement. [Renumbered]
Note • History
NOTE
Authority cited: Sections 13503 and 13506, Penal Code. Reference: Sections 13503 and 13506, Penal Code.
HISTORY
1. New section filed 2-2-2007; operative 3-4-2007 (Register 2007, No. 5).
2. Repealer of subsection (a)(2) filed 3-3-2009; operative 4-2-2009 (Register 2009, No. 10).
3. Amendment of subsection (a)(1) filed 3-30-2011; operative 4-29-2011 (Register 2011, No. 13).
4. Change without regulatory effect renumbering and amending former section 9077 to new subsections 1011(f)-(f)(1) filed 11-26-2012 pursuant to section 100, title 1, California Code of Regulations (Register 2012, No. 48).
§9078. Certificate Cancellation. [Renumbered]
Note • History
NOTE
Authority cited: Section 13510.1(e), Penal Code. Reference: Section 13510.1(e), Penal Code.
HISTORY
1. New section filed 2-2-2007; operative 3-4-2007 (Register 2007, No. 5).
2. Change without regulatory effect renumbering and amending former section 9078 to new subsections 1011(g)-(g)(6) filed 11-26-2012 pursuant to section 100, title 1, California Code of Regulations (Register 2012, No. 48).